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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
-0.83%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$462M
AUM Growth
-$36.5M
Cap. Flow
-$24.9M
Cap. Flow %
-5.39%
Top 10 Hldgs %
36.74%
Holding
401
New
56
Increased
41
Reduced
76
Closed
66

Top Buys

Rank Stock Value
1
GE icon
GE Aerospace
GE
+$1.62M
2
ALTA
Altabancorp
ALTA
+$976K
3
CMF icon
iShares California Muni Bond ETF
CMF
+$732K
4
FBC
Flagstar Bancorp, Inc. New
FBC
+$587K
5
CSOD
Cornerstone OnDemand, Inc.
CSOD
+$582K

Top Sells

Rank Stock Value
1
FINS
Angel Oak Financial Strategies Income Term Trust
FINS
+$10.4M
2
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$2.06M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$1.9M
4
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$1.89M
5
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$1.46M

Sector Composition

Rank Sector Weight
1 Financials 5.34%
2 Technology 4.16%
3 Consumer Discretionary 3.39%
4 Healthcare 2.28%
5 Communication Services 1.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JWSM
326
DELISTED
Jaws Mustang Acquisition Corp.
JWSM
$98K 0.02%
+10,000
New +$97.5K
CLRMU
327
DELISTED
Clarim Acquisition Corp. Unit
CLRMU
$98K 0.02%
10,000
– –
SWET
328
DELISTED
Athlon Acquisition Corp. Class A Common stock
SWET
$98K 0.02%
+10,000
New +$96.8K
PRPB
329
DELISTED
CC Neuberger Principal Holdings II Class A Ordinary Shares
PRPB
$98K 0.02%
10,000
– –
BIOT
330
DELISTED
Biotech Acquisition Company Class A Ordinary Shares
BIOT
$97K 0.02%
+10,000
New +$96.9K
FINS.RT
331
DELISTED
Angel Oak Financial Strategies Income Term Trust Rights (expires October 14, 2021)
FINS.RT
$69K 0.01%
+322,593
New +$78.8K
TWAV
332
TaoWeave Inc
TWAV
$4.42M
$54K 0.01%
43
– –
GALT icon
333
Galectin Therapeutics
GALT
$348M
$41K 0.01%
10,668
– –
BLNE
334
Beeline Holdings
BLNE
$33.2M
$29K 0.01%
55
– –
RENO
335
DELISTED
Renovare Environmental, Inc. Common Stock
RENO
$26K 0.01%
18,782
– –
BDX icon
336
Becton Dickinson
BDX
$48.2B
– –
-831
Closed -$200K
CRSP icon
337
CRISPR Therapeutics
CRSP
$5.17B
– –
-1,722
Closed -$218K
DE icon
338
Deere & Co
DE
$168B
– –
-529
Closed -$203K
DEO icon
339
Diageo
DEO
$53.6B
– –
-1,016
Closed -$205K
DKS icon
340
Dick's Sporting Goods
DKS
$18.7B
– –
-1,900
Closed -$207K
FDX icon
341
FedEx
FDX
$75.4B
– –
-852
Closed -$236K
FRGE
342
DELISTED
Forge Global Holdings
FRGE
– –
-1,202
Closed -$176K
IBM icon
343
IBM
IBM
$224B
– –
-1,501
Closed -$205K
JOBY icon
344
Joby Aviation
JOBY
$8.55B
– –
-10,304
Closed -$103K
MO icon
345
Altria Group
MO
$114B
– –
-4,266
Closed -$207K
NAC icon
346
Nuveen California Quality Municipal Income Fund
NAC
$1.85B
– –
-49,772
Closed -$787K
NLY icon
347
Annaly Capital Management
NLY
$17.4B
– –
-2,500
Closed -$86K
NVTS icon
348
Navitas Semiconductor
NVTS
$3.63B
– –
-15,599
Closed -$155K
OPAD icon
349
Offerpad Solutions
OPAD
$23.1M
– –
-131
Closed -$195K
XOS icon
350
Xos
XOS
$37.7M
– –
-667
Closed -$199K
12 13
14
15 16

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Vivaldi Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Vivaldi Capital Management held 401 positions worth $462M, down 7.3% from $498M the previous quarter. Its ten largest holdings account for 37% of the portfolio.

Vivaldi Capital Management withdrew a net $24.9M in Q3 2021, closing 66 positions and reducing 76 holdings. Its most notable exit was PRA Health Sciences, Inc., an estimated $1.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.3% of assets, up from 4.2% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Vivaldi Capital Management opened a new position in Altabancorp worth $1.04M.

  • Vivaldi Capital Management's largest Q3 2021 buy was Altabancorp: 23,547 shares worth $1.04M.
  • Vivaldi Capital Management added most to GE Aerospace in Q3 2021, an estimated $1.62M increase.
  • Vivaldi Capital Management's biggest Q3 2021 reduction was Angel Oak Financial Strategies Income Term Trust, cutting an estimated $10.4M.
  • Vivaldi Capital Management fully exited PRA Health Sciences, Inc. in Q3 2021, selling an estimated $1.17M.
  • Vivaldi Capital Management's ten largest holdings make up 37% of its $462M portfolio in Q3 2021.
  • Vivaldi Capital Management opened 56 new positions and closed 66 in Q3 2021.
  • Vivaldi Capital Management's portfolio value fell 7.3% quarter-over-quarter to $462M.

Based on Vivaldi Capital Management's 13F filing for Q3 2021, filed 16 Nov 2021.