Vivaldi Capital Management LP — Q3 2020 13F Holdings

Name: Vivaldi Capital Management LP — 13F Holdings, Q3 2020
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 281 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	SCHO	Schwab Short-term US Treas	ETF-Other	6.31%	—	-8.33%
2	SHY	Ishares 1-3 Year Treasury Bo	ETF-Gov Bonds	6.22%	—	-10.42%
3	FINS	Angel Oak Financ Strat INC	Stock-Other	4.45%	—	-53.94%
4	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	3.82%	-0.08%	-6.32%
5	SPDW	Ste Str Spdr Pt Dw EU ETF	ETF-Other	3.75%	+0.59%	+1.12%
6	SPYM	Ste Str Spdr Pt S&p 500 ETF	ETF-Large Cap & Growth	3.39%	+0.18%	-0.43%
7	XMUIX	Blackrock Municipal Income	Stock-Other	1.92%	—	-12.88%
8	MYI	Blackrock Muniyield Qlty Iii	Stock-Other	1.82%	—	-13.04%
9	AAPL	Apple INC	Stock-Tech	1.78%	-0.41%	+271.89%
10	IVV	Ishares Core S&p 500 ETF	ETF-Large Cap & Growth	1.71%	—	-1.47%
11	AFB	Allianceberstein Ntl Muni	Stock-Other	1.45%	—	-11.42%
12	SUB	Ishares Short-term National	ETF-Other	1.43%	—	—
13	EFA	Ishares Msci Eafe ETF	ETF-Other	1.40%	—	-2.07%
14	VTI	Vanguard Total Stock Mkt ETF	ETF-Other	1.39%	-0.06%	-5.73%
15	KTF	Dws Municipal Income Trust	Stock-Other	1.34%	—	-10.57%
16	SPSM	Ss Spdr P S&p 600 Small Cap	ETF-Small Cap	1.29%	+0.17%	-1.35%
17	SPEM	State Street Sp Ptf Em ETF	ETF-Other	1.27%	+0.15%	+0.21%
18	SPMD	Ss Spdr P S&p 400 Midcap ETF	ETF-Other	1.20%	+0.17%	-1.15%
19	NAD	Nuveen Quality Municipal INC	Stock-Other	1.14%	—	-14.36%
20	XNEAX	Nuveen Amt-fr Qlty Muni INC	Stock-Other	1.13%	—	-14.74%
21	ISD	Pgim High Yield Bond Fund	Stock-Other	1.11%	—	-8.89%
22	VEA	Vanguard Ftse Developed ETF	ETF-Other	1.08%	—	-1.78%
23	XEVVX	Eaton Vance LTD Durat INC	Stock-Other	0.99%	—	-9.35%
24	FPA	First Trust Asia Pac Ex-japn	ETF-Other	0.96%	—	-0.89%
25	VVR	Invesco Senior Income Trust	Stock-Other	0.93%	—	-8.32%
26	SCHB	Schwab US Broad Market ETF	ETF-Other	0.93%	—	-11.49%
27	IAUUSD	Ishares Gold Trust	ETF-Commodities	0.91%	—	+54.58%
28	JFR	Nuveen Floating Rate Income	Stock-Other	0.87%	—	-11.03%
29	TSLA	Tesla INC	Stock-Consumer Disc	0.84%	-0.21%	+285.64%
30	MSFT	Microsoft CORP	Stock-Tech	0.81%	-0.31%	+4.49%
31	VOO	Vanguard S&p 500 ETF	ETF-Large Cap & Growth	0.81%	—	-1.80%
32	GHY	Pgim Global High Yield Fund	Stock-Other	0.78%	—	-8.85%
33	VWO	Vanguard Ftse Emerging Marke	ETF-Emerging Markets	0.76%	—	-4.30%
34	SCHX	Schwab US Large-cap ETF	ETF-Other	0.72%	-0.03%	-0.71%
35	ACWI	Ishares Msci Acwi ETF	ETF-Other	0.71%	—	-14.06%
36	DVY	Ishares Select Dividend ETF	ETF-Other	0.69%	+0.08%	-6.46%
37	SCHF	Schwab Intl Equity ETF	ETF-Other	0.68%	+0.09%	+2.84%
38	VO	Vanguard Mid-cap ETF	ETF-Other	0.67%	—	-2.81%
39	IQI	Invesco Quality Muni INC Tr	Stock-Other	0.66%	—	-14.72%
40	IIM	Invesco Value Municipal Inco	Stock-Other	0.66%	—	-14.82%
41	ITOT	Ishares Core S&p Total U.s.	ETF-Other	0.64%	—	+75.47%
42	LYFT	Lyft Inc-a	Stock-Tech	0.60%	—	—
43	XAWFX	Alliancebernstein Gl Hi INC	Stock-Other	0.60%	—	-8.46%
44	SMHC	VanEck China Semiconductor ETF	ETF-Emerging Markets	0.58%	—	-9.06%
45	PG	Procter & Gamble Co/the	Stock-Consumer Staples	0.58%	—	-0.43%
46	TDF	Templeton Dragon Fund, Inc.	Stock-Other	0.55%	—	-8.32%
47	JPM	Jpmorgan Chase & Co	Stock-Financials	0.55%	—	-3.04%
48	XEFRX	Eaton Vance Sr Fltg Rate Tr	Stock-Other	0.54%	—	-9.57%
49	IJH	Ishares Core S&p Midcap ETF	ETF-Other	0.53%	—	-0.24%
50	XRSFX	Rivernorth Capital & Income	Stock-Other	0.53%	—	-7.25%

1–50 of 200

Holding changes this quarter

Position changes disclosed by Vivaldi Capital Management LP for the quarter ending Q3 2020, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	SPDW	Ste Str Spdr Pt Dw EU ETF	+0.5%	+1.12%	Add
2	SPYM	Ste Str Spdr Pt S&p 500 ETF	+0.4%	-0.43%	Trim
3	IAUUSD	Ishares Gold Trust	+0.4%	+54.58%	Add
4	ITOT	Ishares Core S&p Total U.s.	+0.3%	+75.47%	Add
5	SPEM	State Street Sp Ptf Em ETF	+0.2%	+0.21%	Add
6	GOOG	Alphabet Inc-cl C	+0.2%	+13.57%	Add
7	LYFT	Lyft Inc-a	+0.1%	—	Unchanged
8	BND	Vanguard Total Bond Market	+0.1%	+170.34%	Add
9	ISD	Pgim High Yield Bond Fund	0%	-8.89%	Trim
10	JFR	Nuveen Floating Rate Income	0%	-11.03%	Trim
11	BLK	BlackRock, Inc.	-0.1%	-15.89%	Trim
12	PRAA	Pra Group INC	-0.1%	—	Unchanged
13	IIM	Invesco Value Municipal Inco	-0.1%	-14.82%	Trim
14	IQI	Invesco Quality Muni INC Tr	-0.1%	-14.72%	Trim
15	AFB	Allianceberstein Ntl Muni	-0.1%	-11.42%	Trim
16	✓	Ciig Merger CORP	-0.1%	-80.42%	Trim
17	KTF	Dws Municipal Income Trust	-0.1%	-10.57%	Trim
18	VIG	Vanguard Dividend Apprec ETF	-0.1%	-33.27%	Trim
19	BAM	Brookfield Asset Management Ltd.	-0.1%	-66.85%	Trim
20	GLPI	Gaming And Leisure Propertie	-0.1%	-31.07%	Trim
21	XNEAX	Nuveen Amt-fr Qlty Muni INC	-0.1%	-14.74%	Trim
22	NAD	Nuveen Quality Municipal INC	-0.1%	-14.36%	Trim
23	MYI	Blackrock Muniyield Qlty Iii	-0.1%	-13.04%	Trim
24	SCHO	Schwab Short-term US Treas	-0.2%	-8.33%	Trim
25	XMUIX	Blackrock Municipal Income	-0.2%	-12.88%	Trim
26	SHY	Ishares 1-3 Year Treasury Bo	-0.3%	-10.42%	Trim
27	META	Meta Platforms Inc-class A	-1.1%	-85.56%	Trim
28	FINS	Angel Oak Financ Strat INC	-4.4%	-53.94%	Trim
29	SUB	Ishares Short-term National	—	NEW	New buy
30	✓	Exchange Listed Fds Tr	—	EXIT	Sold out
31	EIM	Eaton Vance Municipal Bond	—	EXIT	Sold out
32	LVGO	Livongo Health INC	—	NEW	New buy
33	✓	Haymaker Acquisition CORP Ii	—	NEW	New buy
34	LMEUR	Legg Mason INC	—	EXIT	Sold out
35	ICSH	Ishares Ultra Short Duration	—	NEW	New buy
36	FGNA-U	Fg New America Acquisition C	—	NEW	New buy
37	✓	Far Pt Acquisition CORP	—	EXIT	Sold out
38	LOGMEUR	Logmein INC	—	EXIT	Sold out
39	MTCH	Match Group INC	—	NEW	New buy
40	✓	Spartan Energy Acquisiton Co	—	EXIT	Sold out
41	✓	Netfin Acquisition CORP	—	EXIT	Sold out
42	SHV	Ishares 0-1 Year Treasury Bo	—	EXIT	Sold out
43	GEN	Gen Digital Inc.	—	NEW	New buy
44	✓	Flying Eagle Acquisition Cor	—	EXIT	Sold out
45	CCAP	Crescent Capital BDC, Inc.	—	NEW	New buy
46	✓	Pivotal Invt CORP Ii	—	EXIT	Sold out
47	VKQ	Invesco Municipal Trust	—	EXIT	Sold out
48	VAREUR	Varian Medical Systems INC	—	NEW	New buy
49	✓	Stable Rd Acquisition CORP	—	NEW	New buy
50	JIH-U	Juniper Industrial Holdings	—	EXIT	Sold out