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VCM

Vivaldi Capital Management Portfolio holdings

AUM $723M
1-Year Est. Return 30.89%
This Fund
S&P 500
This Quarter Est. Return
+0.42%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$422M
AUM Growth
+$39.4M
Cap. Flow
+$39.7M
Cap. Flow %
9.4%
Top 10 Hldgs %
41.16%
Holding
263
New
25
Increased
99
Reduced
69
Closed
37

Top Buys

Rank Stock Value
1
META icon
Meta Platforms (Facebook)
META
+$19.3M
2
RILY icon
BRC Group Holdings
RILY
+$17.5M
3
FPE icon
First Trust Preferred Securities and Income ETF
FPE
+$10.9M
4
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$5.67M
5
LYFT icon
Lyft
LYFT
+$4.31M

Top Sells

Rank Stock Value
1
RSF
RiverNorth Capital and Income Fund
RSF
+$3.62M
2
IIM icon
Invesco Value Municipal Income Trust
IIM
+$2.99M
3
NHS
Neuberger High Yield Strategies Fund Inc
NHS
+$2.9M
4
HIX
Western Asset High Income Fund II
HIX
+$2.81M
5
LEXEA
Liberty Expedia Holdings, Inc. Class A Common Stock
LEXEA
+$2.36M

Sector Composition

Rank Sector Weight
1 Financials 10.48%
2 Communication Services 6.29%
3 Technology 3.69%
4 Healthcare 3.06%
5 Consumer Staples 1.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GSG icon
226
iShares S&P GSCI Commodity-Indexed Trust
GSG
$952M
– –
-25,000
Closed -$391K
GT icon
227
Goodyear
GT
$1.99B
– –
-16,250
Closed -$249K
HIX
228
Western Asset High Income Fund II
HIX
$354M
– –
-400,142
Closed -$2.81M
IBB icon
229
iShares Biotechnology ETF
IBB
$9.47B
– –
-7,222
Closed -$788K
IJJ icon
230
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.96B
– –
-14,700
Closed -$1.17M
ITW icon
231
Illinois Tool Works
ITW
$85.5B
– –
-1,391
Closed -$209K
NHS
232
Neuberger High Yield Strategies Fund Inc
NHS
$254M
– –
-248,102
Closed -$2.9M
NVS icon
233
Novartis
NVS
$294B
– –
-2,420
Closed -$221K
SH icon
234
ProShares Short S&P500
SH
$900M
– –
-2,027
Closed -$216K
SLB icon
235
SLB Ltd
SLB
$74.1B
– –
-5,175
Closed -$205K
SYY icon
236
Sysco
SYY
$40.3B
– –
-3,395
Closed -$240K
TFI icon
237
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.13B
– –
-5,240
Closed -$263K
XLI icon
238
State Street Industrial Select Sector SPDR ETF
XLI
$33.9B
– –
-3,760
Closed -$291K
XLV icon
239
State Street Health Care Select Sector SPDR ETF
XLV
$42.3B
– –
-3,678
Closed -$341K
XOP icon
240
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.49B
– –
-3,756
Closed -$409K
NXR
241
DELISTED
NUVEEN ELECT TAX-FREE INC 3
NXR
– –
-53,725
Closed -$830K
OAK
242
DELISTED
OAKTREE CAPITAL GROUP, LLC
OAK
– –
-5,049
Closed -$250K
DFRG
243
DELISTED
Del Frisco's Restaurant Group, Inc. Common Stock
DFRG
– –
-10,904
Closed -$87K
WAGE
244
DELISTED
WageWorks, Inc.
WAGE
– –
-10,508
Closed -$534K
APU
245
DELISTED
AmeriGas Partners, L.P.
APU
– –
-31,657
Closed -$1.1M
APC
246
DELISTED
Anadarko Petroleum
APC
– –
-15,473
Closed -$1.09M
DATA
247
DELISTED
Tableau Software, Inc.
DATA
– –
-7,263
Closed -$1.21M
WP
248
DELISTED
Worldpay, Inc.
WP
– –
-26,900
Closed -$1.65M
ARRY
249
DELISTED
Array Biopharma Inc
ARRY
– –
-6,738
Closed -$312K
ANDX
250
DELISTED
Andeavor Logistics LP
ANDX
– –
-29,003
Closed -$1.05M
7 8 9
10
11

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Vivaldi Capital Management's Q3 2019 Portfolio in Review

As of Q3 2019, Vivaldi Capital Management held 263 positions worth $422M, up 10% from $383M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Vivaldi Capital Management deployed $39.7M of net new capital in Q3 2019, opening 25 new positions and adding to 99 existing holdings. Its largest new stake was BlackRock MuniYield Quality Fund III: 422,043 shares worth $5.73M.

By sector, the portfolio is most concentrated in Financials at 10% of assets, up from 5.7% a quarter earlier, followed by Communication Services and Technology.

On the sell side, the largest reduction was RiverNorth Capital and Income Fund, an estimated $3.62M trimmed.

  • Vivaldi Capital Management's largest Q3 2019 buy was BlackRock MuniYield Quality Fund III: 422,043 shares worth $5.73M.
  • Vivaldi Capital Management added most to Meta Platforms (Facebook) in Q3 2019, an estimated $19.3M increase.
  • Vivaldi Capital Management's biggest Q3 2019 reduction was RiverNorth Capital and Income Fund, cutting an estimated $3.62M.
  • Vivaldi Capital Management fully exited Neuberger High Yield Strategies Fund Inc in Q3 2019, selling an estimated $2.9M.
  • Vivaldi Capital Management's ten largest holdings make up 41% of its $422M portfolio in Q3 2019.
  • Vivaldi Capital Management opened 25 new positions and closed 37 in Q3 2019.
  • Vivaldi Capital Management's portfolio value rose 10% quarter-over-quarter to $422M.

Based on Vivaldi Capital Management's 13F filing for Q3 2019, filed 14 Nov 2019.