Vivaldi Capital Management LP — Q4 2018 13F Holdings

Name: Vivaldi Capital Management LP — 13F Holdings, Q4 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	✓	Vivaldi Opportunities Fd	Stock-Other	16.60%	—	-22.08%
2	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	4.28%	-0.08%	+676.20%
3	IVV	Ishares Core S&p 500 ETF	ETF-Large Cap & Growth	3.21%	—	+50.50%
4	EFA	Ishares Msci Eafe ETF	ETF-Other	2.98%	—	+722.45%
5	FPA	First Trust Asia Pac Ex-japn	ETF-Other	2.79%	—	—
6	VTI	Vanguard Total Stock Mkt ETF	ETF-Other	2.64%	-0.06%	-12.85%
7	VO	Vanguard Mid-cap ETF	ETF-Other	1.67%	—	+2.29%
8	TLT	iShares 20+ Year Treasury Bond ETF	ETF-Gov Bonds	1.65%	—	—
9	VEA	Vanguard Ftse Developed ETF	ETF-Other	1.61%	—	-2.88%
10	✓	Ishares Tr	Stock-Other	1.54%	—	—
11	VWO	Vanguard Ftse Emerging Marke	ETF-Emerging Markets	1.51%	—	+23.06%
12	✓	Ishares Tr	Stock-Other	1.48%	—	—
13	VB	Vanguard Small-cap ETF	ETF-Other	1.42%	—	+4.11%
14	SPYM	Ste Str Spdr Pt S&p 500 ETF	ETF-Large Cap & Growth	1.38%	+0.18%	+1.32%
15	AFB	Allianceberstein Ntl Muni	Stock-Other	1.37%	—	+21.36%
16	TLT	iShares 20+ Year Treasury Bond ETF	ETF-Gov Bonds	1.36%	—	—
17	DVY	Ishares Select Dividend ETF	ETF-Other	1.28%	+0.08%	+34.82%
18	VVR	Invesco Senior Income Trust	Stock-Other	1.27%	—	+21.33%
19	✓	Ishares	Stock-Other	1.24%	—	—
20	XNEAX	Nuveen Amt-fr Qlty Muni INC	Stock-Other	1.23%	—	+18.94%
21	ISD	Pgim High Yield Bond Fund	Stock-Other	1.13%	—	+18.72%
22	IWM	Ishares Russell 2000 ETF	ETF-Small Cap	1.12%	—	+27.29%
23	IIM	Invesco Value Municipal Inco	Stock-Other	1.05%	—	+17.52%
24	ICF	Ishares Select U.s. Reit ETF	ETF-Other	1.02%	—	—
25	SPSM	Ss Spdr P S&p 600 Small Cap	ETF-Small Cap	0.98%	+0.17%	+3.46%
26	IJH	Ishares Core S&p Midcap ETF	ETF-Other	0.97%	—	+843.13%
27	SPMD	Ss Spdr P S&p 400 Midcap ETF	ETF-Other	0.90%	+0.17%	+2.78%
28	AAPL	Apple INC	Stock-Tech	0.89%	-0.41%	+51.90%
29	✓	Exchange Listed Fds Tr	Stock-Other	0.88%	—	—
30	DTF	Dtf Tax-free Income 2028 Ter	Stock-Other	0.80%	—	+15.98%
31	JPM	Jpmorgan Chase & Co	Stock-Financials	0.73%	—	+706.22%
32	✓	Shire PLC	Stock-Other	0.72%	—	—
33	XMHIX	Pioneer Muni High INC Tr	Stock-Other	0.72%	—	+16.47%
34	BRK-B	Berkshire Hathaway Inc-cl B	Stock-Other	0.68%	—	+83.92%
35	TDF	Templeton Dragon Fund, Inc.	Stock-Other	0.64%	—	+20.84%
36	AAXJ	Ishares Msci All Country Asi	ETF-Other	0.63%	—	—
37	GHY	Pgim Global High Yield Fund	Stock-Other	0.62%	—	+20.20%
38	FLTR	Vaneck Ig Floating Rate ETF	ETF-Other	0.62%	—	—
39	SPEM	State Street Sp Ptf Em ETF	ETF-Other	0.60%	+0.15%	+3.78%
40	HIO	Western Asset Hi INC Opport	Stock-Other	0.60%	—	+21.72%
41	XAWFX	Alliancebernstein Gl Hi INC	Stock-Other	0.59%	—	+21.91%
42	NAD	Nuveen Quality Municipal INC	Stock-Other	0.59%	—	+19.78%
43	IWR	Ishares Russell Mid-cap ETF	ETF-Other	0.59%	—	+892.95%
44	VLO	Valero Energy Corporation	Stock-Energy	0.58%	—	—
45	✓		Stock-Other	0.58%	—	+174.44%
46	XXI	Twenty One Capital, Inc.	Stock-Other	0.58%	—	-9.87%
47	NHS	Neuberger High Yield Strateg	Stock-Other	0.58%	—	+22.80%
48	HIX	Western Asset High INC Ii	Stock-Other	0.56%	—	+21.22%
49	SPDW	Ste Str Spdr Pt Dw EU ETF	ETF-Other	0.55%	+0.59%	-1.44%
50	SCHX	Schwab US Large-cap ETF	ETF-Other	0.53%	-0.03%	-7.62%

1–50 of 200

Holding changes this quarter

Position changes disclosed by Vivaldi Capital Management LP for the quarter ending Q4 2018, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	SPY	Ss Spdr S&p 500 ETF Trust-us	+3.5%	+676.20%	Add
2	EFA	Ishares Msci Eafe ETF	+2.5%	+722.45%	Add
3	IJH	Ishares Core S&p Midcap ETF	+0.8%	+843.13%	Add
4	JPM	Jpmorgan Chase & Co	+0.6%	+706.22%	Add
5	IWD	Ishares Russell 1000 Value E	+0.4%	+450.13%	Add
6	✓		+0.3%	+174.44%	Add
7	IWR	Ishares Russell Mid-cap ETF	+0.2%	+892.95%	Add
8	BRK-B	Berkshire Hathaway Inc-cl B	+0.2%	+83.92%	Add
9	GLPI	Gaming And Leisure Propertie	+0.2%	+117.32%	Add
10	IVV	Ishares Core S&p 500 ETF	+0.1%	+50.50%	Add
11	VB	Vanguard Small-cap ETF	-0.7%	+4.11%	Add
12	VO	Vanguard Mid-cap ETF	-0.7%	+2.29%	Add
13	VEA	Vanguard Ftse Developed ETF	-0.8%	-2.88%	Trim
14	VTI	Vanguard Total Stock Mkt ETF	-1.8%	-12.85%	Trim
15	✓	Vivaldi Opportunities Fd	-10.9%	-22.08%	Trim
16	FPA	First Trust Asia Pac Ex-japn	—	NEW	New buy
17	RILY	Brc Group Holdings INC	—	EXIT	Sold out
18	TLT	iShares 20+ Year Treasury Bond ETF	—	NEW	New buy
19	✓	Ishares Tr	—	NEW	New buy
20	✓	Ishares Tr	—	NEW	New buy
21	TLT	iShares 20+ Year Treasury Bond ETF	—	NEW	New buy
22	✓	Ishares	—	NEW	New buy
23	ICF	Ishares Select U.s. Reit ETF	—	NEW	New buy
24	ROK	Rockwell Automation, Inc.	—	EXIT	Sold out
25	PNW	Pinnacle West Capital Corporation	—	EXIT	Sold out
26	✓	Exchange Listed Fds Tr	—	NEW	New buy
27	✓		—	EXIT	Sold out
28	✓	Shire PLC	—	NEW	New buy
29	AAXJ	Ishares Msci All Country Asi	—	NEW	New buy
30	FLTR	Vaneck Ig Floating Rate ETF	—	NEW	New buy
31	✓	Energen CORP	—	EXIT	Sold out
32	VLO	Valero Energy Corporation	—	NEW	New buy
33	✓	Forest City Realty Trust- A	—	EXIT	Sold out
34	✓		—	EXIT	Sold out
35	✓	Lasalle Hotel Pptys	—	EXIT	Sold out
36	D	Dominion Energy, Inc.	—	NEW	New buy
37	IGSB	Ishares 1-5y Inv Grade CORP	—	NEW	New buy
38	✓		—	EXIT	Sold out
39	✓	Sodastream Intl F	—	EXIT	Sold out
40	✓		—	EXIT	Sold out
41	IWF	Ishares Russell 1000 Growth	—	NEW	New buy
42	IEFA	Ishares Core Msci Eafe ETF	—	NEW	New buy
43	BSV	Vanguard Short-term Bond ETF	—	NEW	New buy
44	✓	PNK Entertainment Inc	—	EXIT	Sold out
45	ABBV	Abbvie INC	—	NEW	New buy
46	KYN	Kayne Anderson Energy Infra	—	NEW	New buy
47	VT	Vanguard Tot World Stk ETF	—	NEW	New buy
48	UNH	Unitedhealth Group INC	—	NEW	New buy
49	NVDA	Nvidia CORP	—	EXIT	Sold out
50	BAM	Brookfield Asset Management Ltd.	—	NEW	New buy