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FTCM

First Trust Capital Management Portfolio holdings

AUM $1.9B
1-Year Est. Return 58.39%
This Fund
S&P 500
This Quarter Est. Return
+8.23%
1 Year Est. Return
+58.39%
3 Year Est. Return
+186.4%
5 Year Est. Return
+380.2%
10 Year Est. Return
–
AUM
$659M
AUM Growth
-$11M
Cap. Flow
-$34.4M
Cap. Flow %
-5.21%
Top 10 Hldgs %
40.66%
Holding
299
New
74
Increased
32
Reduced
12
Closed
77

Top Buys

Rank Stock Value
1
FBC
Flagstar Bancorp, Inc. New
FBC
+$32.7M
2
CSOD
Cornerstone OnDemand, Inc.
CSOD
+$30.7M
3
STL
Sterling Bancorp
STL
+$29.5M
4
KSU
Kansas City Southern
KSU
+$26.4M
5
STMP
Stamps.com, Inc.
STMP
+$25.4M

Top Sells

Rank Stock Value
1
PRAH
PRA Health Sciences, Inc.
PRAH
+$47.4M
2
PFPT
Proofpoint, Inc.
PFPT
+$44M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$43.6M
4
BPY
Brookfield Property Partners L.P. Limited Partnership Units
BPY
+$36.1M
5
HOME
At Home Group Inc.
HOME
+$35.2M

Sector Composition

Rank Sector Weight
1 Financials 35.96%
2 Healthcare 10.68%
3 Industrials 9.69%
4 Technology 6.6%
5 Energy 3.89%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SWETU
251
DELISTED
Athlon Acquisition Corp. Unit
SWETU
– –
-164,873
Closed -$1.65M
ESSC
252
DELISTED
East Stone Acquisition Corporation Ordinary Shares
ESSC
– –
-26,138
Closed -$264K
ENJY
253
DELISTED
Enjoy Technology, Inc. Common Stock
ENJY
– –
-20,946
Closed -$207K
SV
254
DELISTED
Spring Valley Acquisition Corp. Class A Ordinary Share
SV
– –
-436,007
Closed -$4.36M
PPGHU
255
DELISTED
Poema Global Holdings Corp. Unit
PPGHU
– –
-190,000
Closed -$1.91M
GMBTU
256
DELISTED
Pivotal Holdings Corp Unit
GMBTU
– –
-138,000
Closed -$1.38M
MOTV.U
257
DELISTED
Motive Capital Corp Units, each consisting of one Class A ordinary share, and one-third of one redee
MOTV.U
– –
-198,000
Closed -$1.99M
SPAQ.U
258
DELISTED
Spartan Acquisition Corp. III Units, each consisting of one share of Class A common stock and one-fo
SPAQ.U
– –
-180,000
Closed -$1.81M
HCCCU
259
DELISTED
Healthcare Capital Corp. Unit
HCCCU
– –
-172,000
Closed -$1.72M
NXU.U
260
DELISTED
Novus Capital Corporation II Units, each consisting of one share of Class A common stock and one thi
NXU.U
– –
-121,500
Closed -$1.23M
CFFVU
261
DELISTED
CF Acquisition Corp. V Unit
CFFVU
– –
-185,000
Closed -$1.89M
XPDIU
262
DELISTED
Power & Digital Infrastructure Acquisition Corp. Unit
XPDIU
– –
-59,990
Closed -$606K
MACQU
263
DELISTED
MCAP Acquisition Corporation Unit
MACQU
– –
-90,000
Closed -$898K
CMLTU
264
DELISTED
CM Life Sciences III Inc. Unit
CMLTU
– –
-24,114
Closed -$264K
DMYQ.U
265
DELISTED
dMY Technology Group, Inc. IV Units, each consisting of one share of Class A common stock and one-fi
DMYQ.U
– –
-57,374
Closed -$575K
TPGS
266
DELISTED
TPG Pace Solutions Corp.
TPGS
– –
-109,238
Closed -$1.09M
ADF.U
267
DELISTED
Aldel Financial Inc Units
ADF.U
– –
-295,000
Closed -$3.02M
RTPYU
268
DELISTED
Reinvent Technology Partners Y Unit
RTPYU
– –
-285,000
Closed -$2.88M
SWBK
269
DELISTED
Switchback II Corporation
SWBK
– –
-391,994
Closed -$3.88M
CAHC
270
DELISTED
CA Healthcare Acquisition Corp. Class A Common Stock
CAHC
– –
-12,296
Closed -$121K
SRNG
271
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
– –
-220,819
Closed -$2.2M
ACIC
272
DELISTED
Atlas Crest Investment Corp.
ACIC
– –
-84,300
Closed -$840K
QELL
273
DELISTED
Qell Acquisition Corp. Class A Ordinary Shares
QELL
– –
-110,024
Closed -$1.09M
CENH
274
DELISTED
Centricus Acquisition Corp. Class A Ordinary Share
CENH
– –
-88,850
Closed -$880K
PFPT
275
DELISTED
Proofpoint, Inc.
PFPT
– –
-253,075
Closed -$44M
8 9 10
11
12

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First Trust Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, First Trust Capital Management held 299 positions worth $659M, down 1.6% from $670M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

First Trust Capital Management withdrew a net $34.4M in Q3 2021, closing 77 positions and reducing 12 holdings. Its most notable exit was PRA Health Sciences, Inc., an estimated $47.4M position sold in full.

By sector, the portfolio is most concentrated in Financials at 36% of assets, up from 20% a quarter earlier, followed by Healthcare and Industrials.

Against the trend, First Trust Capital Management opened a new position in Flagstar Bancorp, Inc. New worth $35.2M.

  • First Trust Capital Management's largest Q3 2021 buy was Flagstar Bancorp, Inc. New: 692,398 shares worth $35.2M.
  • First Trust Capital Management added most to Kansas City Southern in Q3 2021, an estimated $26.4M increase.
  • First Trust Capital Management's biggest Q3 2021 reduction was CAI International, Inc., cutting an estimated $11M.
  • First Trust Capital Management fully exited PRA Health Sciences, Inc. in Q3 2021, selling an estimated $47.4M.
  • First Trust Capital Management's ten largest holdings make up 41% of its $659M portfolio in Q3 2021.
  • First Trust Capital Management opened 74 new positions and closed 77 in Q3 2021.
  • First Trust Capital Management's portfolio value fell 1.6% quarter-over-quarter to $659M.

Based on First Trust Capital Management's 13F filing for Q3 2021, filed 15 Nov 2021.