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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
MGLN
201
DELISTED
Magellan Health Services, Inc.
MGLN
$243K 0.05%
+2,569
New +$243K
ITMR
202
DELISTED
Itamar Medical Ltd. American Depository Shares
ITMR
$242K 0.05%
+7,992
New +$177K
CVX icon
203
Chevron
CVX
$365B
$238K 0.05%
2,346
– –
EPHY
204
DELISTED
Epiphany Technology Acquisition Corp. Class A Common Stock
EPHY
$238K 0.05%
+24,328
New +$236K
CMI icon
205
Cummins
CMI
$88.7B
$237K 0.05%
1,055
– –
FLOT icon
206
iShares Floating Rate Bond ETF
FLOT
$10.3B
$236K 0.05%
4,651
-1,967
-30% -$99.9K
CAG icon
207
Conagra Brands
CAG
$7.23B
$234K 0.05%
6,920
– –
VCIT icon
208
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.3B
$233K 0.05%
2,470
– –
QQQX icon
209
Nuveen NASDAQ 100 Dynamic Overwrite Fund
QQQX
$1.49B
$230K 0.05%
8,103
– –
ECL icon
210
Ecolab
ECL
$79.6B
$227K 0.05%
1,090
– –
PAYX icon
211
Paychex
PAYX
$42.6B
$225K 0.05%
2,000
– –
KRE icon
212
State Street SPDR S&P Regional Banking ETF
KRE
$4.66B
$223K 0.05%
3,285
– –
DALT
213
DELISTED
Anfield Diversified Alternatives ETF
DALT
$223K 0.05%
21,808
– –
GPGI
214
GPGI Inc
GPGI
$4.3B
$221K 0.05%
26,331
+8,271
+46% +$69.4K
SCR
215
DELISTED
Score Media and Gaming Inc. Class A Subordinate Voting Shares
SCR
$220K 0.05%
+6,423
New +$177K
THS
216
DELISTED
Treehouse Foods
THS
$219K 0.05%
5,500
-1,700
-24% -$69.5K
EMR icon
217
Emerson Electric
EMR
$88.6B
$218K 0.05%
2,318
– –
COST icon
218
Costco
COST
$420B
$217K 0.05%
483
– –
DXJ icon
219
WisdomTree Japan Hedged Equity Fund
DXJ
$7.41B
$217K 0.05%
3,436
– –
PPLI
220
People Inc
PPLI
$3.11B
$214K 0.05%
+2,006
New +$221K
AXP icon
221
American Express
AXP
$230B
$212K 0.05%
1,266
– –
RPM icon
222
RPM International
RPM
$15B
$212K 0.05%
2,730
-1,000
-27% -$84.2K
STPZ icon
223
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$516M
$211K 0.05%
3,853
– –
MSB
224
Mesabi Trust
MSB
$306M
$208K 0.05%
7,000
– –
SDG icon
225
iShares MSCI Global Sustainable Development Goals ETF
SDG
$175M
$204K 0.04%
2,120
– –
7 8
9
10 11

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TFHU
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ZDA
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FIS
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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.