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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
+5.9%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$450M
AUM Growth
-$30.1M
Cap. Flow
-$43.5M
Cap. Flow %
-9.66%
Top 10 Hldgs %
35.15%
Holding
321
New
55
Increased
44
Reduced
134
Closed
40

Top Buys

Rank Stock Value
1
SUB icon
iShares Short-Term National Muni Bond ETF
SUB
+$6.46M
2
NEE icon
NextEra Energy
NEE
+$1.67M
3
IAU icon
iShares Gold Trust
IAU
+$1.47M
4
ITOT icon
iShares Core S&P Total US Stock Market ETF
ITOT
+$1.14M
5
ARKO icon
ARKO Corp
ARKO
+$771K

Top Sells

Rank Stock Value
1
FINS
Angel Oak Financial Strategies Income Term Trust
FINS
+$22.9M
2
META icon
Meta Platforms (Facebook)
META
+$5.22M
3
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$3.26M
4
SCHO icon
Schwab Short-Term US Treasury ETF
SCHO
+$2.59M
5
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$1.82M

Sector Composition

Rank Sector Weight
1 Technology 4.57%
2 Financials 3.23%
3 Healthcare 2.41%
4 Consumer Discretionary 2.04%
5 Communication Services 1.99%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SAIIU
251
DELISTED
Software Acquisition Group Inc. II Unit
SAIIU
$199K 0.04%
+20,000
New +$200K
UPH
252
DELISTED
UpHealth, Inc.
UPH
$186K 0.04%
1,835
– –
DSL
253
DoubleLine Income Solutions Fund
DSL
$1.24B
$179K 0.04%
11,100
– –
ORGN
254
DELISTED
Origin Materials
ORGN
$174K 0.04%
+583
New +$174K
NMMCU
255
DELISTED
North Mountain Merger Corp. Unit
NMMCU
$173K 0.04%
+16,954
New +$173K
ELMS
256
DELISTED
Electric Last Mile Solutions, Inc. Class A Common stock
ELMS
$172K 0.04%
+17,300
New +$171K
PCPL.U
257
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
$172K 0.04%
15,842
-9,158
-37% -$98.4K
SNPR.U
258
DELISTED
Tortoise Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of
SNPR.U
$163K 0.04%
+15,000
New +$162K
RBAC.U
259
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
$160K 0.04%
+15,100
New +$156K
ALUS
260
DELISTED
Alussa Energy Acquisition Corp
ALUS
$154K 0.03%
+15,478
New +$154K
FAII.U
261
DELISTED
Fortress Value Acquisition Corp. II Units, each consisting of one share of Class A common stock and
FAII.U
$147K 0.03%
+14,225
New +$146K
ETACU
262
DELISTED
E.Merge Technology Acquisition Corp. Unit
ETACU
$144K 0.03%
+14,250
New +$143K
NLY icon
263
Annaly Capital Management
NLY
$17.4B
$142K 0.03%
+4,676
New +$135K
THCA
264
DELISTED
Tuscan Holdings Corp. II Common Stock
THCA
$139K 0.03%
+13,972
New +$140K
KYN icon
265
Kayne Anderson Energy Infrastructure Fund
KYN
$2.4B
$134K 0.03%
24,863
-2,000
-7% -$9.54K
LCID icon
266
Lucid Motors
LCID
$2.77B
$134K 0.03%
+1,368
New +$134K
CMLFU
267
DELISTED
CM Life Sciences, Inc. Unit
CMLFU
$131K 0.03%
+12,511
New +$132K
PIAI.U
268
DELISTED
Prime Impact Acquisition I Units, each consisting of one Class A ordinary share, and one-third of a redeemable Warrant to acquire one Class A ordinary share
PIAI.U
$130K 0.03%
+13,000
New +$130K
SREV
269
DELISTED
ServiceSource International, Inc.
SREV
$121K 0.03%
87,500
– –
SVACU
270
DELISTED
Starboard Value Acquisition Corp. Unit
SVACU
$112K 0.02%
+11,098
New +$112K
CIICU
271
DELISTED
CIIG Merger Corp. Units
CIICU
$104K 0.02%
10,223
-42,000
-80% -$441K
FTOCU
272
DELISTED
FTAC Olympus Acquisition Corp. Unit
FTOCU
$101K 0.02%
+10,100
New +$101K
BTAQU
273
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
$100K 0.02%
+10,000
New +$99.8K
DTEA
274
DELISTED
DAVIDsTEA Inc. Common Stock
DTEA
$95K 0.02%
81,500
– –
GALT icon
275
Galectin Therapeutics
GALT
$348M
$42K 0.01%
15,439
– –
9 10
11
12 13

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Vivaldi Capital Management's Q3 2020 Portfolio in Review

As of Q3 2020, Vivaldi Capital Management held 321 positions worth $450M, down 6.3% from $480M the previous quarter. Its ten largest holdings account for 35% of the portfolio.

Vivaldi Capital Management withdrew a net $43.5M in Q3 2020, closing 40 positions and reducing 134 holdings. Its most notable exit was Eaton Vance Municipal Bond Fund, an estimated $1.61M position sold in full.

By sector, the portfolio is most concentrated in Technology at 4.6% of assets, up from 4.4% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Vivaldi Capital Management opened a new position in iShares Short-Term National Muni Bond ETF worth $6.45M.

  • Vivaldi Capital Management's largest Q3 2020 buy was iShares Short-Term National Muni Bond ETF: 59,718 shares worth $6.45M.
  • Vivaldi Capital Management added most to NextEra Energy in Q3 2020, an estimated $1.67M increase.
  • Vivaldi Capital Management's biggest Q3 2020 reduction was Angel Oak Financial Strategies Income Term Trust, cutting an estimated $22.9M.
  • Vivaldi Capital Management fully exited Eaton Vance Municipal Bond Fund in Q3 2020, selling an estimated $1.61M.
  • Vivaldi Capital Management's ten largest holdings make up 35% of its $450M portfolio in Q3 2020.
  • Vivaldi Capital Management opened 55 new positions and closed 40 in Q3 2020.
  • Vivaldi Capital Management's portfolio value fell 6.3% quarter-over-quarter to $450M.

Based on Vivaldi Capital Management's 13F filing for Q3 2020, filed 16 Nov 2020.