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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
+17.89%
1 Year Est. Return
+58.39%
3 Year Est. Return
+186.4%
5 Year Est. Return
+380.2%
10 Year Est. Return
–
AUM
$356M
AUM Growth
-$16.2M
Cap. Flow
-$39.2M
Cap. Flow %
-11.01%
Top 10 Hldgs %
47.44%
Holding
185
New
80
Increased
10
Reduced
11
Closed
51

Top Buys

Rank Stock Value
1
EV
Eaton Vance Corp.
EV
+$23.1M
2
TIF
Tiffany & Co.
TIF
+$22.5M
3
RP
RealPage, Inc.
RP
+$17.7M
4
VAR
Varian Medical Systems, Inc.
VAR
+$12.4M
5
WORK
Slack Technologies, Inc.
WORK
+$9.72M

Top Sells

Rank Stock Value
1
LVGO
Livongo Health, Inc. Common Stock
LVGO
+$39.6M
2
ADSW
Advanced Disposal Services Inc
ADSW
+$28.9M
3
WTW icon
Willis Towers Watson
WTW
+$23.4M
4
AIMT
Aimmune Therapeutics
AIMT
+$18.1M
5
IMMU
Immunomedics Inc
IMMU
+$17.8M

Sector Composition

Rank Sector Weight
1 Financials 12.85%
2 Technology 12.05%
3 Healthcare 4.54%
4 Industrials 3.11%
5 Consumer Discretionary 2.59%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BTRS
151
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– –
-50,000
Closed -$523K
LOTZ
152
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
– –
-72,048
Closed -$736K
UPH
153
DELISTED
UpHealth, Inc.
UPH
– –
-4,415
Closed -$449K
THCA
154
DELISTED
Tuscan Holdings Corp. II Common Stock
THCA
– –
-26,076
Closed -$260K
RMO
155
DELISTED
Romeo Power, Inc.
RMO
– –
-150,161
Closed -$1.6M
RBAC.U
156
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
– –
-135,900
Closed -$1.44M
FUSE.U
157
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
– –
-63,200
Closed -$651K
SNPR.U
158
DELISTED
Tortoise Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of
SNPR.U
– –
-135,000
Closed -$1.47M
CLII.U
159
DELISTED
Climate Change Crisis Real Impact I Acquisition Corporation Units, each consisting of one share of C
CLII.U
– –
-240,000
Closed -$2.41M
FIIIU
160
DELISTED
Forum Merger III Corporation Units
FIIIU
– –
-176,719
Closed -$1.84M
THBR
161
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
– –
-52,700
Closed -$538K
LACQ
162
DELISTED
Leisure Acquisition Corp.
LACQ
– –
-23,303
Closed -$249K
NGA.U
163
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
– –
-280,000
Closed -$2.8M
VSPRU
164
DELISTED
Vesper Healthcare Acquisition Corp. Unit
VSPRU
– –
-290,900
Closed -$2.98M
DMYD.U
165
DELISTED
dMY Technology Group, Inc. II Units, each consisting of one share of Class A common stock and one-th
DMYD.U
– –
-153,000
Closed -$1.56M
BFT.U
166
DELISTED
Foley Trasimene Acquisition Corp. II Units, each consisting of one share of Class A common stock, an
BFT.U
– –
-84,055
Closed -$857K
CIICU
167
DELISTED
CIIG Merger Corp. Units
CIICU
– –
-47,185
Closed -$482K
ACIA
168
DELISTED
Acacia Communications Inc
ACIA
– –
-5,812
Closed -$392K
PCPL.U
169
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
– –
-33,332
Closed -$361K
LOAK.U
170
DELISTED
Live Oak Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
LOAK.U
– –
-50,000
Closed -$528K
MVC
171
DELISTED
MVC Capital, Inc.
MVC
– –
-66,719
Closed -$521K
HUD
172
DELISTED
Hudson Ltd. Class A Common Shares
HUD
– –
-83,397
Closed -$634K
WMGI
173
DELISTED
Wright Medical Group Inc
WMGI
– –
-427,291
Closed -$13M
JCAP
174
DELISTED
Jernigan Capital, Inc.
JCAP
– –
-47,540
Closed -$815K
BITA
175
DELISTED
Bitauto Holdings Limited
BITA
– –
-32,549
Closed -$513K
4 5 6
7
8

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First Trust Capital Management's Q4 2020 Portfolio in Review

As of Q4 2020, First Trust Capital Management held 185 positions worth $356M, down 4.3% from $372M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

First Trust Capital Management withdrew a net $39.2M in Q4 2020, closing 51 positions and reducing 11 holdings. Its most notable exit was Livongo Health, Inc. Common Stock, an estimated $39.6M position sold in full.

By sector, the portfolio is most concentrated in Financials at 13% of assets, down from 20% a quarter earlier, followed by Technology and Healthcare.

Against the trend, First Trust Capital Management opened a new position in Eaton Vance Corp. worth $25.1M.

  • First Trust Capital Management's largest Q4 2020 buy was Eaton Vance Corp.: 369,209 shares worth $25.1M.
  • First Trust Capital Management added most to Tiffany & Co. in Q4 2020, an estimated $22.5M increase.
  • First Trust Capital Management's biggest Q4 2020 reduction was Willis Towers Watson, cutting an estimated $23.4M.
  • First Trust Capital Management fully exited Livongo Health, Inc. Common Stock in Q4 2020, selling an estimated $39.6M.
  • First Trust Capital Management's ten largest holdings make up 47% of its $356M portfolio in Q4 2020.
  • First Trust Capital Management opened 80 new positions and closed 51 in Q4 2020.
  • First Trust Capital Management's portfolio value fell 4.3% quarter-over-quarter to $356M.

Based on First Trust Capital Management's 13F filing for Q4 2020, filed 16 Feb 2021.