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NCM

Narwhal Capital Management Portfolio holdings

AUM $1.45B
1-Year Est. Return 28.39%
This Fund
S&P 500
This Quarter Est. Return
+9.8%
1 Year Est. Return
+28.39%
3 Year Est. Return
+93.85%
5 Year Est. Return
+119.75%
10 Year Est. Return
+391.36%
AUM
$620M
AUM Growth
+$42.9M
Cap. Flow
+$14.8M
Cap. Flow %
2.38%
Top 10 Hldgs %
38.54%
Holding
160
New
22
Increased
43
Reduced
58
Closed
15

Top Buys

Rank Stock Value
1
V icon
Visa
V
+$5.47M
2
LHX icon
L3Harris
LHX
+$5.03M
3
SWT
Stanley Black & Decker, Inc.
SWT
+$3.55M
4
SWKS icon
Skyworks Solutions
SWKS
+$2.75M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$2.21M

Top Sells

Rank Stock Value
1
CCMP
CMC Materials, Inc. Common Stock
CCMP
+$8.24M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.41M
3
INTC icon
Intel
INTC
+$2.56M
4
NKLAW
Nikola Corporation Warrant expiring 6/3/2025
NKLAW
+$2.54M
5
MXIM
Maxim Integrated Products
MXIM
+$2.31M

Sector Composition

Rank Sector Weight
1 Technology 18.51%
2 Healthcare 10.43%
3 Consumer Staples 8.81%
4 Communication Services 8.76%
5 Financials 7.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HIMS icon
126
Hims & Hers Health
HIMS
$7.31B
$244K 0.04%
20,800
-100
-0.5% -$1.06K
NIM icon
127
Nuveen Select Maturities Municipal Fund
NIM
$117M
$244K 0.04%
23,275
– –
VO icon
128
Vanguard Morningstar Mid-Cap ETF
VO
$109B
$228K 0.04%
5,180
– –
BABA icon
129
Alibaba
BABA
$308B
$226K 0.04%
+770
New +$203K
OMC icon
130
Omnicom Group
OMC
$23.4B
$213K 0.03%
4,305
– –
QNGY
131
DELISTED
Quanergy Systems, Inc.
QNGY
$206K 0.03%
+1,049
New +$207K
BKK
132
DELISTED
Blackrock Municipal 2020 Term Trust
BKK
$206K 0.03%
13,732
-2,650
-16% -$39.8K
AOR icon
133
iShares Core 60/40 Balanced Allocation ETF
AOR
$3.74B
$203K 0.03%
+4,200
New +$203K
BGIO
134
DELISTED
BlackRock 2022 Global Income Opportunity Trust
BGIO
$199K 0.03%
23,000
– –
NZF icon
135
Nuveen Municipal Credit Income Fund
NZF
$2.45B
$193K 0.03%
13,171
– –
SPY icon
136
State Street SPDR S&P 500 ETF Trust
SPY
$810B
$166K 0.03%
+496
New +$164K
FIV
137
DELISTED
First Trust Senior Floating Rate 2022 Target Term Fund Common Shares of Beneficial Interest
FIV
$154K 0.02%
18,195
-2,000
-10% -$17K
SPY icon
138
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$810B
$121K 0.02%
+31,500
New +$10.4M
BFIIW
139
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
$117K 0.02%
49,000
– –
OAC.WS
140
DELISTED
Oaktree Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
OAC.WS
$108K 0.02%
37,000
-21,500
-37% -$37.9K
GE icon
141
GE Aerospace
GE
$384B
$51K 0.01%
1,658
-502
-23% -$16.3K
IWM icon
142
iShares Russell 2000 ETF
IWM
$81.9B
$32K 0.01%
+216
New +$32.5K
GE icon
143
CALL
GE Aerospace
GE
$384B
$16K ﹤0.01%
+23,073
New +$750K
IWM icon
144
PUT
iShares Russell 2000 ETF
IWM
$81.9B
$16K ﹤0.01%
+26,200
New +$3.94M
XXII
145
22nd Century Group
XXII
$1.48M
– –
0
– –
BXMT icon
146
Blackstone Mortgage Trust
BXMT
$2.38B
– –
-30,430
Closed -$733K
CI icon
147
Cigna
CI
$74.6B
– –
-4,175
Closed -$783K
EL icon
148
Estee Lauder
EL
$32B
– –
-3,100
Closed -$585K
GILD icon
149
Gilead Sciences
GILD
$165B
– –
-3,625
Closed -$279K
LQD icon
150
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$32.8B
– –
-1,640
Closed -$221K
3 4 5
6
7

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VIP
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SIM
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CHAM
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HTI
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SWP
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L7C
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WBC
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Narwhal Capital Management's Q3 2020 Portfolio in Review

As of Q3 2020, Narwhal Capital Management held 160 positions worth $620M, up 7.4% from $577M the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Narwhal Capital Management's Q3 2020 filing shows 22 new, 43 increased, 58 reduced and 15 closed positions. Its largest new stake was Stanley Black & Decker, Inc.: 36,393 shares worth $3.67M. The largest sale was CMC Materials, Inc. Common Stock, an estimated $8.24M.

By sector, the portfolio is most concentrated in Technology at 19% of assets, down from 19% a quarter earlier, followed by Healthcare and Consumer Staples.

  • Narwhal Capital Management's largest Q3 2020 buy was Stanley Black & Decker, Inc.: 36,393 shares worth $3.67M.
  • Narwhal Capital Management added most to Visa in Q3 2020, an estimated $5.47M increase.
  • Narwhal Capital Management's biggest Q3 2020 reduction was iShares Core S&P 500 ETF, cutting an estimated $6.41M.
  • Narwhal Capital Management fully exited CMC Materials, Inc. Common Stock in Q3 2020, selling an estimated $8.24M.
  • Narwhal Capital Management's ten largest holdings make up 39% of its $620M portfolio in Q3 2020.
  • Narwhal Capital Management opened 22 new positions and closed 15 in Q3 2020.
  • Narwhal Capital Management's portfolio value rose 7.4% quarter-over-quarter to $620M.

Based on Narwhal Capital Management's 13F filing for Q3 2020, filed 26 Oct 2020.