Vivaldi Capital Management LP — Q1 2018 13F Holdings

Name: Vivaldi Capital Management LP — 13F Holdings, Q1 2018
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001682021

Total reported value

$723.5M

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	VTI	Vanguard Total Stock Mkt ETF	ETF-Other	5.70%	-0.06%	-4.36%
2	NXPI	NXP Semiconductors N.V.	Stock-Tech	5.03%	—	+4.46%
3	IVV	Ishares Core S&p 500 ETF	ETF-Large Cap & Growth	4.59%	—	-3.14%
4	VEA	Vanguard Ftse Developed ETF	ETF-Other	3.63%	—	-8.60%
5	VO	Vanguard Mid-cap ETF	ETF-Other	3.26%	—	-8.61%
6	VWO	Vanguard Ftse Emerging Marke	ETF-Emerging Markets	2.79%	—	-6.80%
7	VB	Vanguard Small-cap ETF	ETF-Other	2.74%	—	-7.41%
8	OBDC	Blue Owl Capital Corporation	Stock-Financials	2.05%	—	—
9	✓	Csra INC	Stock-Other	1.94%	—	—
10	DVY	Ishares Select Dividend ETF	ETF-Other	1.84%	+0.08%	-10.48%
11	IWM	Ishares Russell 2000 ETF	ETF-Small Cap	1.78%	—	-0.17%
12	SPYM	Ste Str Spdr Pt S&p 500 ETF	ETF-Large Cap & Growth	1.74%	+0.18%	+44.39%
13	VVR	Invesco Senior Income Trust	Stock-Other	1.71%	—	+18.77%
14	AFB	Allianceberstein Ntl Muni	Stock-Other	1.70%	—	+27.09%
15	✓	Xl Group LTD Com	Stock-Other	1.70%	—	—
16	XNEAX	Nuveen Amt-fr Qlty Muni INC	Stock-Other	1.64%	—	+39.56%
17	✓	Microsemi CORP Com	Stock-Other	1.62%	—	—
18	✓	Liberty Latin America LTD Com Cl A	Stock-Other	1.50%	—	—
19	MULEUSD	Mulesoft INC -a	Stock-Other	1.50%	—	—
20	IIM	Invesco Value Municipal Inco	Stock-Other	1.44%	—	+30.70%
21	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	1.28%	-0.08%	+65.04%
22	✓		Stock-Other	1.26%	—	—
23	SPSM	Ss Spdr P S&p 600 Small Cap	ETF-Small Cap	1.25%	+0.17%	+29.14%
24	CALD	Callidus Software INC	Stock-Other	1.20%	—	—
25	KDP	Keurig Dr Pepper Inc.	Stock-Consumer Staples	1.05%	—	—
26	PRU	Prudential Financial, Inc.	Stock-Financials	1.01%	—	+14.28%
27	SPMD	Ss Spdr P S&p 400 Midcap ETF	ETF-Other	1.01%	+0.17%	+43.76%
28	✓	Dst Sys INC Del Com	Stock-Other	0.99%	—	—
29	SCHX	Schwab US Large-cap ETF	ETF-Other	0.98%	-0.03%	+18.21%
30	NVDA	Nvidia CORP	Stock-Tech	0.98%	-0.17%	+0.43%
31	DTF	Dtf Tax-free Income 2028 Ter	Stock-Other	0.95%	—	+842.71%
32	XMHIX	Pioneer Muni High INC Tr	Stock-Other	0.94%	—	+15.41%
33	CBOE	Cboe Global Markets INC	Stock-Financials	0.94%	—	+10.00%
34	VOO	Vanguard S&p 500 ETF	ETF-Large Cap & Growth	0.83%	—	-27.92%
35	PRU	Prudential Financial, Inc.	Stock-Financials	0.81%	—	—
36	TDF	Templeton Dragon Fund, Inc.	Stock-Other	0.80%	—	+19.06%
37	AAPL	Apple INC	Stock-Tech	0.80%	-0.41%	-9.13%
38	XAWFX	Alliancebernstein Gl Hi INC	Stock-Other	0.79%	—	+18.86%
39	NAD	Nuveen Quality Municipal INC	Stock-Other	0.79%	—	+58.02%
40	HIO	Western Asset Hi INC Opport	Stock-Other	0.78%	—	+19.52%
41	SCHE	Schwab Emrg Mrkts Eqty ETF	ETF-Other	0.78%	—	+28.52%
42	NHS	Neuberger High Yield Strateg	Stock-Other	0.77%	—	+19.92%
43	HIX	Western Asset High INC Ii	Stock-Other	0.77%	—	—
44	SCHA	Schwab US Small-cap ETF	ETF-Other	0.72%	—	+20.89%
45	EFA	Ishares Msci Eafe ETF	ETF-Other	0.69%	—	—
46	✓	Eaton Vance Mun Bd Fd Ii	Stock-Other	0.68%	—	+29.67%
47	EIM	Eaton Vance Municipal Bond	Stock-Other	0.67%	—	+67.37%
48	✓	General Cable INC Com	Stock-Other	0.67%	—	-15.89%
49	VKQ	Invesco Municipal Trust	Stock-Other	0.67%	—	+66.57%
50	SCHF	Schwab Intl Equity ETF	ETF-Other	0.66%	+0.09%	+20.32%

1–50 of 146

Holding changes this quarter

Position changes disclosed by Vivaldi Capital Management LP for the quarter ending Q1 2018, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	DTF	Dtf Tax-free Income 2028 Ter	+0.8%	+842.71%	Add
2	SPY	Ss Spdr S&p 500 ETF Trust-us	+0.4%	+65.04%	Add
3	SPYM	Ste Str Spdr Pt S&p 500 ETF	+0.4%	+44.39%	Add
4	XNEAX	Nuveen Amt-fr Qlty Muni INC	+0.2%	+39.56%	Add
5	SPEM	State Street Sp Ptf Em ETF	+0.2%	+73.88%	Add
6	SPMD	Ss Spdr P S&p 400 Midcap ETF	+0.2%	+43.76%	Add
7	NAD	Nuveen Quality Municipal INC	+0.2%	+58.02%	Add
8	EIM	Eaton Vance Municipal Bond	+0.2%	+67.37%	Add
9	VKQ	Invesco Municipal Trust	+0.2%	+66.57%	Add
10	IIM	Invesco Value Municipal Inco	+0.2%	+30.70%	Add
11	SPSM	Ss Spdr P S&p 600 Small Cap	+0.2%	+29.14%	Add
12	VVR	Invesco Senior Income Trust	+0.1%	+18.77%	Add
13	AFB	Allianceberstein Ntl Muni	+0.1%	+27.09%	Add
14	VOO	Vanguard S&p 500 ETF	-0.5%	-27.92%	Trim
15	DVY	Ishares Select Dividend ETF	-0.6%	-10.48%	Trim
16	VB	Vanguard Small-cap ETF	-0.6%	-7.41%	Trim
17	VO	Vanguard Mid-cap ETF	-0.8%	-8.61%	Trim
18	VEA	Vanguard Ftse Developed ETF	-0.9%	-8.60%	Trim
19	VTI	Vanguard Total Stock Mkt ETF	-1.1%	-4.36%	Trim
20	✓	Buffalo Wild Wings INC	—	EXIT	Sold out
21	OBDC	Blue Owl Capital Corporation	—	NEW	New buy
22	✓	Csra INC	—	NEW	New buy
23	✓	Xl Group LTD Com	—	NEW	New buy
24	✓	Barracuda Networks INC	—	EXIT	Sold out
25	✓	Microsemi CORP Com	—	NEW	New buy
26	✓	Liberty Latin America LTD Com Cl A	—	NEW	New buy
27	MULEUSD	Mulesoft INC -a	—	NEW	New buy
28	✓		—	NEW	New buy
29	TEI	Templeton Emrg Mkts INC	—	EXIT	Sold out
30	✓	Ignyta INC	—	EXIT	Sold out
31	CALD	Callidus Software INC	—	NEW	New buy
32	KDP	Keurig Dr Pepper Inc.	—	NEW	New buy
33	RGCGBP	Regal Entertainment Group-a	—	EXIT	Sold out
34	TIME1EUR	Time INC	—	EXIT	Sold out
35	✓	Dst Sys INC Del Com	—	NEW	New buy
36	PRU	Prudential Financial, Inc.	—	NEW	New buy
37	HIX	Western Asset High INC Ii	—	NEW	New buy
38	EHI	Western Asset Global High In	—	EXIT	Sold out
39	✓	Broadsoft INC	—	EXIT	Sold out
40	✓	Silver Spring Networks INC	—	EXIT	Sold out
41	✓	Bazaarvoice INC	—	EXIT	Sold out
42	✓	Kapstone Paper Packaging CORP Com	—	NEW	New buy
43	✓	Rsp Permian INC	—	NEW	New buy
44	XOM	Exxon Mobil CORP	—	EXIT	Sold out
45	AKRXEUR	Akorn INC	—	EXIT	Sold out
46	✓	Cavium INC	—	NEW	New buy
47	MUB	Ishares National Muni Bond E	—	EXIT	Sold out
48	✓	Sucampo Pharmaceuticals INC	—	EXIT	Sold out
49	AEP	American Electric Power Company, Inc.	—	NEW	New buy
50	DIA	Ss Spdr Dow Jones Indus Avg	—	NEW	New buy