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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
+11.37%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$468M
AUM Growth
+$17.3M
Cap. Flow
-$7.1M
Cap. Flow %
-1.52%
Top 10 Hldgs %
33.81%
Holding
353
New
72
Increased
90
Reduced
77
Closed
47

Top Buys

Rank Stock Value
1
SUB icon
iShares Short-Term National Muni Bond ETF
SUB
+$1.65M
2
GLPI icon
Gaming and Leisure Properties
GLPI
+$1.62M
3
DHI icon
D.R. Horton
DHI
+$1.54M
4
GE icon
GE Aerospace
GE
+$1.32M
5
FNOV icon
FT Vest US Equity Buffer ETF November
FNOV
+$1.05M

Top Sells

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$3.49M
2
SCHO icon
Schwab Short-Term US Treasury ETF
SCHO
+$2.84M
3
RSF
RiverNorth Capital and Income Fund
RSF
+$2.31M
4
BYM
BlackRock Municipal Income Quality Trust
BYM
+$2.01M
5
NEE icon
NextEra Energy
NEE
+$1.85M

Sector Composition

Rank Sector Weight
1 Technology 4.54%
2 Financials 3.54%
3 Consumer Discretionary 2.74%
4 Healthcare 2.3%
5 Communication Services 1.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
URGN icon
326
UroGen Pharma
URGN
$2.29B
– –
-10,000
Closed -$233K
SNAX
327
DELISTED
Stryve Foods, Inc. Class A Common Stock
SNAX
– –
-1,626
Closed -$250K
BTRS
328
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– –
-19,970
Closed -$209K
LOTZ
329
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
– –
-38,625
Closed -$395K
UPH
330
DELISTED
UpHealth, Inc.
UPH
– –
-1,835
Closed -$186K
ACEVU
331
DELISTED
ACE Convergence Acquisition Corp
ACEVU
– –
-21,462
Closed -$220K
THCA
332
DELISTED
Tuscan Holdings Corp. II Common Stock
THCA
– –
-13,972
Closed -$139K
RMO
333
DELISTED
Romeo Power, Inc.
RMO
– –
-20,000
Closed -$214K
NMMCU
334
DELISTED
North Mountain Merger Corp. Unit
NMMCU
– –
-16,954
Closed -$173K
RBAC.U
335
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
– –
-15,100
Closed -$160K
ELMS
336
DELISTED
Electric Last Mile Solutions, Inc. Class A Common stock
ELMS
– –
-17,300
Closed -$172K
FUSE.U
337
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
– –
-20,000
Closed -$206K
QELLU
338
DELISTED
Qell Acquisition Corp. Unit
QELLU
– –
-20,000
Closed -$203K
SNPR.U
339
DELISTED
Tortoise Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of
SNPR.U
– –
-15,000
Closed -$163K
CMLFU
340
DELISTED
CM Life Sciences, Inc. Unit
CMLFU
– –
-12,511
Closed -$131K
CLII.U
341
DELISTED
Climate Change Crisis Real Impact I Acquisition Corporation Units, each consisting of one share of C
CLII.U
– –
-20,000
Closed -$201K
NGA.U
342
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
– –
-20,000
Closed -$200K
VSPRU
343
DELISTED
Vesper Healthcare Acquisition Corp. Unit
VSPRU
– –
-20,100
Closed -$206K
CIICU
344
DELISTED
CIIG Merger Corp. Units
CIICU
– –
-10,223
Closed -$104K
PCPL.U
345
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
– –
-15,842
Closed -$172K
IBDL
346
DELISTED
iShares iBonds Dec 2020 Term Corporate ETF
IBDL
– –
-28,568
Closed -$719K
DNKN
347
DELISTED
Dunkin' Brands Group, Inc.
DNKN
– –
-2,400
Closed -$255K
LVGO
348
DELISTED
Livongo Health, Inc. Common Stock
LVGO
– –
-5,508
Closed -$771K
IMMU
349
DELISTED
Immunomedics Inc
IMMU
– –
-4,280
Closed -$364K
RST
350
DELISTED
ROSETTA STONE INC
RST
– –
-10,953
Closed -$328K
11 12 13
14
15

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Vivaldi Capital Management's Q4 2020 Portfolio in Review

As of Q4 2020, Vivaldi Capital Management held 353 positions worth $468M, up 3.8% from $450M the previous quarter. Its ten largest holdings account for 34% of the portfolio.

Vivaldi Capital Management's Q4 2020 filing shows 72 new, 90 increased, 77 reduced and 47 closed positions. Its largest new stake was D.R. Horton: 21,053 shares worth $1.45M. The largest sale was iShares 1-3 Year Treasury Bond ETF, an estimated $3.49M.

By sector, the portfolio is most concentrated in Technology at 4.5% of assets, down from 4.6% a quarter earlier, followed by Financials and Consumer Discretionary.

  • Vivaldi Capital Management's largest Q4 2020 buy was D.R. Horton: 21,053 shares worth $1.45M.
  • Vivaldi Capital Management added most to iShares Short-Term National Muni Bond ETF in Q4 2020, an estimated $1.65M increase.
  • Vivaldi Capital Management's biggest Q4 2020 reduction was iShares 1-3 Year Treasury Bond ETF, cutting an estimated $3.49M.
  • Vivaldi Capital Management fully exited BlackRock Municipal Income Quality Trust in Q4 2020, selling an estimated $2.01M.
  • Vivaldi Capital Management's ten largest holdings make up 34% of its $468M portfolio in Q4 2020.
  • Vivaldi Capital Management opened 72 new positions and closed 47 in Q4 2020.
  • Vivaldi Capital Management's portfolio value rose 3.8% quarter-over-quarter to $468M.

Based on Vivaldi Capital Management's 13F filing for Q4 2020, filed 16 Feb 2021.