Vivaldi Capital Management LP — Q4 2019 13F Holdings

Name: Vivaldi Capital Management LP — 13F Holdings, Q4 2019
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001682021

Total reported value

$723.5M

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Full holdings list this quarter

Showing top 200 holdings (of 218 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	✓	Vivaldi Opportunities Fd	Stock-Other	13.87%	—	+0.25%
2	ICSH	Ishares Ultra Short Duration	ETF-Other	4.67%	—	+278.91%
3	FTSM	First Trust Enh Short Mat Fd	ETF-Other	4.65%	—	—
4	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	3.44%	-0.08%	+5.89%
5	SPYM	Ste Str Spdr Pt S&p 500 ETF	ETF-Large Cap & Growth	3.16%	+0.18%	+1.71%
6	META	Meta Platforms Inc-class A	Stock-Comm Services	3.12%	-0.94%	-40.27%
7	FPE	Ft-preferred Secur & INC ETF	ETF-Other	2.82%	—	+1.75%
8	SPDW	Ste Str Spdr Pt Dw EU ETF	ETF-Other	2.42%	+0.59%	+2.79%
9	IVV	Ishares Core S&p 500 ETF	ETF-Large Cap & Growth	1.86%	—	-1.31%
10	VTI	Vanguard Total Stock Mkt ETF	ETF-Other	1.82%	-0.06%	+8.61%
11	EFA	Ishares Msci Eafe ETF	ETF-Other	1.82%	—	+2.14%
12	MYI	Blackrock Muniyield Qlty Iii	Stock-Other	1.41%	—	+2.70%
13	ISD	Pgim High Yield Bond Fund	Stock-Other	1.38%	—	+1.30%
14	FPA	First Trust Asia Pac Ex-japn	ETF-Other	1.30%	—	-2.63%
15	MINT	Pimco Enhanced Short Maturit	ETF-Other	1.28%	—	—
16	VEA	Vanguard Ftse Developed ETF	ETF-Other	1.23%	—	+5.03%
17	AFB	Allianceberstein Ntl Muni	Stock-Other	1.21%	—	+1.15%
18	VVR	Invesco Senior Income Trust	Stock-Other	1.19%	—	-22.71%
19	AAPL	Apple INC	Stock-Tech	1.11%	-0.41%	-29.33%
20	XMUIX	Blackrock Municipal Income	Stock-Other	1.06%	—	+15.35%
21	SPSM	Ss Spdr P S&p 600 Small Cap	ETF-Small Cap	1.04%	+0.17%	-3.31%
22	VWO	Vanguard Ftse Emerging Marke	ETF-Emerging Markets	1.01%	—	-2.72%
23	SPMD	Ss Spdr P S&p 400 Midcap ETF	ETF-Other	1.01%	+0.17%	-2.42%
24	MLPAUSD	Global X Mlp ETF	ETF-Other	0.92%	—	+858.83%
25	JFR	Nuveen Floating Rate Income	Stock-Other	0.90%	—	—
26	SPEM	State Street Sp Ptf Em ETF	ETF-Other	0.85%	+0.15%	-0.46%
27	JPM	Jpmorgan Chase & Co	Stock-Financials	0.83%	—	-32.39%
28	FINS	Angel Oak Financ Strat INC	Stock-Other	0.80%	—	-50.56%
29	GHY	Pgim Global High Yield Fund	Stock-Other	0.80%	—	+1.42%
30	DVY	Ishares Select Dividend ETF	ETF-Other	0.80%	+0.08%	-0.64%
31	LYFT	Lyft Inc-a	Stock-Tech	0.79%	—	-3.80%
32	IWM	Ishares Russell 2000 ETF	ETF-Small Cap	0.78%	—	-0.35%
33	SMHC	VanEck China Semiconductor ETF	ETF-Emerging Markets	0.77%	—	—
34	XAWFX	Alliancebernstein Gl Hi INC	Stock-Other	0.77%	—	+1.70%
35	VOYA	Voya Financial, Inc.	Stock-Financials	0.77%	—	+2.22%
36	VO	Vanguard Mid-cap ETF	ETF-Other	0.76%	—	-8.28%
37	TDF	Templeton Dragon Fund, Inc.	Stock-Other	0.72%	—	+2.09%
38	XEVVX	Eaton Vance LTD Durat INC	Stock-Other	0.67%	—	+7.11%
39	MSFT	Microsoft CORP	Stock-Tech	0.66%	-0.31%	-30.22%
40	XNEAX	Nuveen Amt-fr Qlty Muni INC	Stock-Other	0.63%	—	-54.65%
41	NAD	Nuveen Quality Municipal INC	Stock-Other	0.61%	—	+7.30%
42	PG	Procter & Gamble Co/the	Stock-Consumer Staples	0.60%	—	-10.14%
43	VB	Vanguard Small-cap ETF	ETF-Other	0.59%	—	-11.48%
44	IJH	Ishares Core S&p Midcap ETF	ETF-Other	0.55%	—	-0.18%
45	PRAA	Pra Group INC	Stock-Other	0.54%	—	—
46	✓	Exchange Listed Fds Tr	Stock-Other	0.51%	—	-3.43%
47	ICF	Ishares Select U.s. Reit ETF	ETF-Other	0.50%	—	-6.34%
48	VKQ	Invesco Municipal Trust	Stock-Other	0.48%	—	+8.29%
49	PFE	Pfizer INC	Stock-Healthcare	0.46%	—	+0.19%
50	IWR	Ishares Russell Mid-cap ETF	ETF-Other	0.46%	—	+11.79%

1–50 of 200

Holding changes this quarter

Position changes disclosed by Vivaldi Capital Management LP for the quarter ending Q4 2019, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	ICSH	Ishares Ultra Short Duration	+3.5%	+278.91%	Add
2	MLPAUSD	Global X Mlp ETF	+0.8%	+858.83%	Add
3	SPY	Ss Spdr S&p 500 ETF Trust-us	+0.5%	+5.89%	Add
4	SPYM	Ste Str Spdr Pt S&p 500 ETF	+0.4%	+1.71%	Add
5	VTI	Vanguard Total Stock Mkt ETF	+0.3%	+8.61%	Add
6	SPDW	Ste Str Spdr Pt Dw EU ETF	+0.3%	+2.79%	Add
7	EFA	Ishares Msci Eafe ETF	+0.2%	+2.14%	Add
8	XMUIX	Blackrock Municipal Income	+0.2%	+15.35%	Add
9	VEA	Vanguard Ftse Developed ETF	+0.2%	+5.03%	Add
10	✓		+0.2%	+108.01%	Add
11	IVV	Ishares Core S&p 500 ETF	+0.2%	-1.31%	Trim
12	✓	Vivaldi Opportunities Fd	+0.1%	+0.25%	Add
13	UNH	Unitedhealth Group INC	-0.1%	-47.53%	Trim
14	DIS	Walt Disney Co/the	-0.1%	-42.86%	Trim
15	CF	Cf Industries Holdings INC	-0.1%	-59.92%	Trim
16	NEE	Nextera Energy INC	-0.1%	-49.83%	Trim
17	BAM	Brookfield Asset Management Ltd.	-0.2%	-35.48%	Trim
18	TXN	Texas Instruments INC	-0.2%	-69.46%	Trim
19	MSFT	Microsoft CORP	-0.2%	-30.22%	Trim
20	JPM	Jpmorgan Chase & Co	-0.2%	-32.39%	Trim
21	IACIEUR	Iac/interactivecorp	-0.2%	-53.57%	Trim
22	TMO	Thermo Fisher Scientific INC	-0.2%	-41.31%	Trim
23	CME	Cme Group INC	-0.2%	-43.49%	Trim
24	VVR	Invesco Senior Income Trust	-0.3%	-22.71%	Trim
25	XRSFX	Rivernorth Capital & Income	-0.4%	-87.85%	Trim
26	EIM	Eaton Vance Municipal Bond	-0.5%	-56.62%	Trim
27	XNEAX	Nuveen Amt-fr Qlty Muni INC	-0.7%	-54.65%	Trim
28	FINS	Angel Oak Financ Strat INC	-0.8%	-50.56%	Trim
29	META	Meta Platforms Inc-class A	-1.3%	-40.27%	Trim
30	RILY	Brc Group Holdings INC	—	EXIT	Sold out
31	FTSM	First Trust Enh Short Mat Fd	—	NEW	New buy
32	ULST	Ss Ultra Short Tm Bond ETF	—	EXIT	Sold out
33	MINT	Pimco Enhanced Short Maturit	—	NEW	New buy
34	JFR	Nuveen Floating Rate Income	—	NEW	New buy
35	HYT	Blackrock CORP Hi Yld	—	EXIT	Sold out
36	SMHC	VanEck China Semiconductor ETF	—	NEW	New buy
37	HIO	Western Asset Hi INC Opport	—	EXIT	Sold out
38	PRAA	Pra Group INC	—	NEW	New buy
39	LPTUSD	Liberty Property Trust	—	NEW	New buy
40	✓		—	EXIT	Sold out
41	✓	Ishares Tr	—	EXIT	Sold out
42	CELG	Celgene CORP	—	EXIT	Sold out
43	VIAB	Viacom Inc-class B	—	EXIT	Sold out
44	DSI	Ishares Esg Msci Kld 400 ETF	—	NEW	New buy
45	XLY	Ss Consumer Disc Select Sect	—	EXIT	Sold out
46	BND	Vanguard Total Bond Market	—	EXIT	Sold out
47	TEGPUSD	Tallgrass Energy LP	—	NEW	New buy
48	MHD	BlackRock MuniHoldings Fund, Inc.	—	NEW	New buy
49	BIP	Brookfield Infrastructure Partners L.P.	—	NEW	New buy
50	✓	Nuveen Select Tax Free Incm	—	EXIT	Sold out