Vivaldi Capital Management LP — Q3 2018 13F 持股

Name: Vivaldi Capital Management LP — 13F Holdings, Q3 2018
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001682021

申報總市值

US$7.2億

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本季完整持股清單

#	代號	標的名稱	資產子類別	佔比	佔比變動	持倉量變化
1	✓	Vivaldi Opportunities Fd	股票-其他	27.53%	—	—
2	VTI	Vanguard Total Stock Mkt ETF	ETF-其他	4.41%	-0.06%	-1.97%
3	IVV	Ishares Core S&p 500 ETF	ETF-大型股與成長	3.08%	—	-13.35%
4	RILY	Brc Group Holdings INC	股票-其他	3.03%	—	—
5	VO	Vanguard Mid-cap ETF	ETF-其他	2.41%	—	-1.36%
6	VEA	Vanguard Ftse Developed ETF	ETF-其他	2.40%	—	-4.13%
7	VB	Vanguard Small-cap ETF	ETF-其他	2.08%	—	-1.18%
8	SPYM	Ste Str Spdr Pt S&p 500 ETF	ETF-大型股與成長	1.96%	+0.18%	+24.63%
9	VWO	Vanguard Ftse Emerging Marke	ETF-新興市場	1.64%	—	-2.67%
10	SPSM	Ss Spdr P S&p 600 Small Cap	ETF-中小型股	1.49%	+0.17%	+22.72%
11	AFB	Allianceberstein Ntl Muni	股票-其他	1.43%	—	+8.80%
12	VVR	Invesco Senior Income Trust	股票-其他	1.43%	—	+8.74%
13	IWM	Ishares Russell 2000 ETF	ETF-中小型股	1.38%	—	-2.00%
14	SPMD	Ss Spdr P S&p 400 Midcap ETF	ETF-其他	1.34%	+0.17%	+31.73%
15	XNEAX	Nuveen Amt-fr Qlty Muni INC	股票-其他	1.32%	—	+8.09%
16	DVY	Ishares Select Dividend ETF	ETF-其他	1.32%	+0.08%	-3.54%
17	ISD	Pgim High Yield Bond Fund	股票-其他	1.28%	—	+7.26%
18	ROK	Rockwell Automation, Inc.	股票-工業	1.19%	—	+70.13%
19	IIM	Invesco Value Municipal Inco	股票-其他	1.13%	—	+7.95%
20	PNW	Pinnacle West Capital Corporation	股票-公用事業	1.10%	—	—
21	✓		股票-其他	1.08%	—	—
22	AAPL	Apple INC	股票-科技	1.04%	-0.41%	+16.82%
23	DTF	Dtf Tax-free Income 2028 Ter	股票-其他	0.89%	—	+7.62%
24	SCHX	Schwab US Large-cap ETF	ETF-其他	0.83%	-0.03%	+5.35%
25	SPDW	Ste Str Spdr Pt Dw EU ETF	ETF-其他	0.80%	+0.59%	+35.82%
26	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-大型股與成長	0.80%	-0.08%	+15.99%
27	SPEM	State Street Sp Ptf Em ETF	ETF-其他	0.77%	+0.15%	+41.20%
28	XMHIX	Pioneer Muni High INC Tr	股票-其他	0.77%	—	+6.95%
29	XXI	Twenty One Capital, Inc.	股票-其他	0.76%	—	-15.48%
30	✓	Energen CORP	股票-其他	0.72%	—	—
31	GHY	Pgim Global High Yield Fund	股票-其他	0.69%	—	+8.47%
32	XAWFX	Alliancebernstein Gl Hi INC	股票-其他	0.67%	—	+9.09%
33	CBOE	Cboe Global Markets INC	股票-金融	0.67%	—	+23.01%
34	HIO	Western Asset Hi INC Opport	股票-其他	0.67%	—	+9.14%
35	TDF	Templeton Dragon Fund, Inc.	股票-其他	0.66%	—	+9.16%
36	NHS	Neuberger High Yield Strateg	股票-其他	0.66%	—	+9.54%
37	VOO	Vanguard S&p 500 ETF	ETF-大型股與成長	0.65%	—	—
38	HIX	Western Asset High INC Ii	股票-其他	0.63%	—	+8.26%
39	NAD	Nuveen Quality Municipal INC	股票-其他	0.62%	—	+8.24%
40	SCHA	Schwab US Small-cap ETF	ETF-其他	0.60%	—	+4.72%
41	SCHE	Schwab Emrg Mrkts Eqty ETF	ETF-其他	0.58%	—	+13.17%
42	✓	Forest City Realty Trust- A	股票-其他	0.55%	—	—
43	✓		股票-其他	0.55%	—	—
44	VKQ	Invesco Municipal Trust	股票-其他	0.53%	—	+7.85%
45	EIM	Eaton Vance Municipal Bond	股票-其他	0.52%	—	+7.98%
46	EFA	Ishares Msci Eafe ETF	ETF-其他	0.52%	—	-0.05%
47	✓	Lasalle Hotel Pptys	股票-其他	0.50%	—	-6.59%
48	SCHM	Schwab US Mid Cap ETF	ETF-其他	0.49%	—	+6.74%
49	SCHF	Schwab Intl Equity ETF	ETF-其他	0.48%	+0.09%	+0.69%
50	BRK-B	Berkshire Hathaway Inc-cl B	股票-其他	0.48%	—	-0.85%

1–50 of 145

本季持股變動

Vivaldi Capital Management LP 於截至 Q3 2018 該季申報之持倉異動，含代號、發行人、權重變化、股數變化與操作類型
#	代號	標的名稱	佔比變動	持倉量變化	異動類型
1	ROK	Rockwell Automation, Inc.	+0.2%	+70.13%	加碼
2	AAPL	Apple INC	-0.1%	+16.82%	加碼
3	SPEM	State Street Sp Ptf Em ETF	-0.1%	+41.20%	加碼
4	SPDW	Ste Str Spdr Pt Dw EU ETF	-0.1%	+35.82%	加碼
5	SPMD	Ss Spdr P S&p 400 Midcap ETF	-0.2%	+31.73%	加碼
6	SPY	Ss Spdr S&p 500 ETF Trust-us	-0.2%	+15.99%	加碼
7	SPYM	Ste Str Spdr Pt S&p 500 ETF	-0.3%	+24.63%	加碼
8	SPSM	Ss Spdr P S&p 600 Small Cap	-0.3%	+22.72%	加碼
9	IWR	Ishares Russell Mid-cap ETF	-0.4%	-28.97%	減碼
10	✓		-0.5%	-27.86%	減碼
11	NVDA	Nvidia CORP	-0.5%	-52.11%	減碼
12	VVR	Invesco Senior Income Trust	-0.6%	+8.74%	加碼
13	XXI	Twenty One Capital, Inc.	-0.7%	-15.48%	減碼
14	IVV	Ishares Core S&p 500 ETF	-2%	-13.35%	減碼
15	VTI	Vanguard Total Stock Mkt ETF	-2.1%	-1.97%	減碼
16	✓	Vivaldi Opportunities Fd	—	NEW	新建倉
17	RILY	Brc Group Holdings INC	—	NEW	新建倉
18	PNW	Pinnacle West Capital Corporation	—	NEW	新建倉
19	✓		—	NEW	新建倉
20	✓	Energen CORP	—	NEW	新建倉
21	✓	Xl Group LTD Com	—	EXIT	清倉
22	✓		—	EXIT	清倉
23	✓	Andeavor Logistics LP	—	EXIT	清倉
24	✓	Rsp Permian INC	—	EXIT	清倉
25	✓	Forest City Realty Trust- A	—	NEW	新建倉
26	✓		—	NEW	新建倉
27	CVI	CVR Energy, Inc.	—	EXIT	清倉
28	✓	Education Realty Trust INC	—	EXIT	清倉
29	✓		—	NEW	新建倉
30	✓	Cavium INC	—	EXIT	清倉
31	✓	Sodastream Intl F	—	NEW	新建倉
32	✓	PNK Entertainment Inc	—	NEW	新建倉
33	✓	Ilg Inc	—	EXIT	清倉
34	INR	Infinity Natural Resources, Inc.	—	EXIT	清倉
35	✓	K2m Group Holdings INC	—	NEW	新建倉
36	SITC	SITE Centers Corp.	—	EXIT	清倉
37	DIS	Walt Disney Co/the	—	NEW	新建倉
38	✓	Convergys CORP Com	—	NEW	新建倉
39	✓	Williams Partners LP	—	EXIT	清倉
40	✓	Dun & Bradstreet CORP Del Ne	—	NEW	新建倉
41	EB4	Eventbrite Inc-class A	—	NEW	新建倉
42	NXPI	NXP Semiconductors N.V.	—	EXIT	清倉
43	IWD	Ishares Russell 1000 Value E	—	NEW	新建倉
44	✓	Cobiz Financial INC	—	NEW	新建倉
45	DAR	Darling Ingredients INC	—	EXIT	清倉
46	DELL	Dell Technologies Inc.	—	NEW	新建倉
47	GILD	Gilead Sciences INC	—	NEW	新建倉
48	AXP	American Express Company	—	NEW	新建倉
49	VIG	Vanguard Dividend Apprec ETF	—	NEW	新建倉
50	IWB	Ishares Russell 1000 ETF	—	NEW	新建倉