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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
CTEV
301
Claritev Corp
CTEV
$556M
– –
-625
Closed -$270K
DM
302
DELISTED
Desktop Metal, Inc.
DM
– –
-3,555
Closed -$371K
FSR
303
DELISTED
Fisker Inc.
FSR
– –
-50,307
Closed -$539K
GOEV
304
DELISTED
Canoo Inc. Class A Common Stock
GOEV
– –
-47
Closed -$232K
RIDE
305
DELISTED
Lordstown Motors Corp. Class A Common Stock
RIDE
– –
-1,175
Closed -$182K
PAYA
306
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
– –
-18,798
Closed -$210K
TRIT
307
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
– –
-49,277
Closed -$530K
TREB.U
308
DELISTED
Trebia Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third of one
TREB.U
– –
-27,600
Closed -$288K
GSAH.U
309
DELISTED
GS Acquisition Holdings Corp II Units, each consisting of one share of Class A Common Stock and one-
GSAH.U
– –
-18,400
Closed -$193K
APXTU
310
DELISTED
Apex Technology Acquisition Corporation Unit
APXTU
– –
-25,000
Closed -$287K
JIH.U
311
DELISTED
Juniper Industrial Holdings, Inc. Units, each consisting of one share of Class A common stock, $0.00
JIH.U
– –
-38,849
Closed -$400K
JWS.U
312
DELISTED
Jaws Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one red
JWS.U
– –
-15,000
Closed -$156K
SMMCU
313
DELISTED
South Mountain Merger Corp. Unit
SMMCU
– –
-19,971
Closed -$212K
IPOC.U
314
DELISTED
Social Capital Hedosophia Holdings Corp. III Units, each consisting of one Class A ordinary share an
IPOC.U
– –
-11,585
Closed -$138K
KCAC.U
315
DELISTED
Kensington Capital Acquisition Corp.Units, each consisting of one share of Class A common stock and
KCAC.U
– –
-36,800
Closed -$369K
AMTD
316
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-7,916
Closed -$288K
LOGM
317
DELISTED
LogMein, Inc.
LOGM
– –
-6,801
Closed -$577K
LM
318
DELISTED
Legg Mason, Inc.
LM
– –
-12,427
Closed -$618K
PTLA
319
DELISTED
Portola Pharmaceuticals, Inc.
PTLA
– –
-11,237
Closed -$202K
CZR
320
DELISTED
Caesars Entertainment Corporation
CZR
– –
-30,400
Closed -$369K
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.