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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
PLMIU
176
DELISTED
Plum Acquisition Corp. I Units
PLMIU
$491K 0.07%
50,000
– –
MACAU
177
DELISTED
Moringa Acquisition Corp Units
MACAU
$484K 0.07%
48,600
– –
ACKIU
178
DELISTED
Ackrell SPAC Partners I Co Units
ACKIU
$460K 0.07%
45,000
– –
DUNEU
179
DELISTED
Dune Acquisition Corporation Unit
DUNEU
$456K 0.07%
45,000
– –
ITHXU
180
DELISTED
ITHAX Acquisition Corp. Unit
ITHXU
$449K 0.07%
45,000
– –
HHLA.U
181
DELISTED
HH&L Acquisition Co. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
HHLA.U
$447K 0.07%
45,000
– –
OMEG
182
DELISTED
Omega Alpha SPAC Class A Ordinary Shares
OMEG
$447K 0.07%
45,900
– –
INFO
183
DELISTED
IHS Markit Ltd. Common Shares
INFO
$446K 0.07%
3,822
– –
PDOT.U
184
DELISTED
Peridot Acquisition Corp. II Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
PDOT.U
$444K 0.07%
45,000
– –
GFX
185
DELISTED
Golden Falcon Acquisition Corp.
GFX
$439K 0.07%
45,000
– –
QTEK
186
DELISTED
QualTek Services Inc. Class A Common Stock
QTEK
$400K 0.06%
40,297
– –
DCRN
187
DELISTED
Decarbonization Plus Acquisition Corporation II Class A Common stock
DCRN
$361K 0.05%
+36,546
New +$361K
DDMX
188
DELISTED
DD3 Acquisition Corp. II Class A Common Stock
DDMX
$358K 0.05%
+36,089
New +$358K
VER
189
DELISTED
VEREIT, Inc.
VER
$358K 0.05%
7,921
-163,194
-95% -$7.93M
KLAQU
190
DELISTED
KL Acquisition Corp Unit
KLAQU
$356K 0.05%
36,000
– –
TXNM
191
TXNM Energy Inc
TXNM
$6.37B
$354K 0.05%
7,158
-1,391
-16% -$68.1K
CVA
192
DELISTED
Covanta Holding Corporation
CVA
$354K 0.05%
+17,595
New +$348K
FVAM
193
DELISTED
5:01 Acquisition Corp
FVAM
$344K 0.05%
35,042
+1,340
+4% +$13.1K
SAFM
194
DELISTED
Sanderson Farms Inc
SAFM
$344K 0.05%
+1,827
New +$345K
AGGRU
195
DELISTED
Agile Growth Corp Units
AGGRU
$328K 0.05%
33,120
– –
IPOD
196
DELISTED
Social Capital Hedosophia Holdings Corp. IV
IPOD
$320K 0.05%
+31,590
New +$318K
LMAOU
197
DELISTED
LMF Acquisition Opportunities Inc. Unit
LMAOU
$315K 0.05%
30,000
-15,000
-33% -$156K
STFC
198
DELISTED
State Auto Financial Corp
STFC
$315K 0.05%
+6,174
New +$292K
FIVN icon
199
FIVE9
FIVN
$2.21B
$301K 0.05%
+1,884
New +$344K
SEAH
200
DELISTED
Sports Entertainment Acquisition Corp.
SEAH
$275K 0.04%
27,492
-84,880
-76% -$845K
6 7
8
9 10

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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.