0001604488-20-000012.txt : 20200818 0001604488-20-000012.hdr.sgml : 20200818 20200818153711 ACCESSION NUMBER: 0001604488-20-000012 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200818 DATE AS OF CHANGE: 20200818 EFFECTIVENESS DATE: 20200818 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vivaldi Asset Management, LLC CENTRAL INDEX KEY: 0001604488 IRS NUMBER: 901006997 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-17430 FILM NUMBER: 201113387 BUSINESS ADDRESS: STREET 1: 225 W. WACKER DRIVE STREET 2: SUITE #2100 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-248-8300 MAIL ADDRESS: STREET 1: 225 W. WACKER DRIVE STREET 2: SUITE #2100 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true true 0001604488 XXXXXXXX 03-31-2020 03-31-2020 true 1 RESTATEMENT false Vivaldi Asset Management, LLC

225 W. Wacker Drive Suite #2100 Chicago IL 60606

13F HOLDINGS REPORT 028-17430 N Jennifer Yong 312-248-8292 Jennifer Yong Chicago IL 08-18-2020 1 46 194351 1 0001125816 028-06487 FIRST TRUST ADVISORS LP INFORMATION TABLE 2 infotable.xml ACACIA COMMUNICATIONS INC Equity 00401C108 14 210 SH SOLE 210 0 0 ACACIA COMMUNICATIONS INC Equity 00401C108 54 810 SH DFND 1 810 0 0 ADESTO TECHNOLOGIES CORP Equity 00687D101 1711 152942 SH SOLE 152942 0 0 ADESTO TECHNOLOGIES CORP Equity 00687D101 27 2421 SH DFND 1 2421 0 0 ADVANCED DISP SVCS INC DEL Equity 00790X101 149 4550 SH DFND 1 4550 0 0 ADVANCED DISP SVCS INC DEL Equity 00790X101 76 2308 SH SOLE 2308 0 0 ALLERGAN PLC Equity G0177J108 81 460 SH DFND 1 460 0 0 ALLERGAN PLC Equity G0177J108 93224 526393 SH SOLE 526393 0 0 CAESARS ENTMT CORP Equity 127686103 12 1764 SH DFND 1 1764 0 0 CAESARS ENTMT CORP Equity 127686103 8 1192 SH SOLE 1192 0 0 CYPRESS SEMICONDUCTOR CORP Equity 232806109 50 2142 SH DFND 1 2142 0 0 CYPRESS SEMICONDUCTOR CORP Equity 232806109 299 12831 SH SOLE 12831 0 0 EL PASO ELEC CO Equity 283677854 87 1278 SH DFND 1 1278 0 0 EL PASO ELEC CO Equity 283677854 23 340 SH SOLE 340 0 0 FGL HLDGS Equity G3402M102 200 20406 SH SOLE 20406 0 0 FITBIT INC Equity 33812L102 26 3972 SH DFND 1 3972 0 0 FORESCOUT TECHNOLOGIES INC Equity 34553D101 55 1747 SH DFND 1 1747 0 0 FORESCOUT TECHNOLOGIES INC Equity 34553D101 1435 45440 SH SOLE 45440 0 0 FORTY SEVEN INC Equity 34983P104 36 374 SH DFND 1 374 0 0 FORTY SEVEN INC Equity 34983P104 12922 135421 SH SOLE 135421 0 0 FRONT YD RESIDENTIAL CORP Equity 35904G107 41 3454 SH DFND 1 3454 0 0 GAIN CAP HLDGS INC Equity 36268W100 25 4395 SH DFND 1 4395 0 0 GAIN CAP HLDGS INC Equity 36268W100 1948 349113 SH SOLE 349113 0 0 IBERIABANK CORP Equity 450828108 44 1224 SH DFND 1 1224 0 0 IBERIABANK CORP Equity 450828108 3867 106928 SH SOLE 106928 0 0 KEMET CORP Equity 488360207 45 1860 SH DFND 1 1860 0 0 KEMET CORP Equity 488360207 13 549 SH SOLE 549 0 0 LEGG MASON INC Equity 524901105 9661 197768 SH SOLE 197768 0 0 LEGG MASON INC Equity 524901105 83 1701 SH DFND 1 1701 0 0 LOGMEIN INC Equity 54142L109 13608 163396 SH SOLE 163396 0 0 LOGMEIN INC Equity 54142L109 114 1364 SH DFND 1 1364 0 0 PROGENICS PHARMACEUTICALS IN Equity 743187106 85 22293 SH DFND 1 22293 0 0 RA PHARMACEUTICALS INC Equity 74933V108 21 446 SH SOLE 446 0 0 TALLGRASS ENERGY LP Equity 874696107 100 6052 SH DFND 1 6052 0 0 TAUBMAN CTRS INC Equity 876664103 9902 236428 SH SOLE 236428 0 0 TAUBMAN CTRS INC Equity 876664103 36 861 SH DFND 1 861 0 0 TD AMERITRADE HLDG CORP Equity 87236Y108 49 1408 SH DFND 1 1408 0 0 TECH DATA CORP Equity 878237106 11220 85744 SH SOLE 85744 0 0 TECH DATA CORP Equity 878237106 70 532 SH DFND 1 532 0 0 TEXAS CAP BANCSHARES INC Equity 88224Q107 28 1247 SH DFND 1 1247 0 0 TIFFANY & CO NEW Equity 886547108 52 404 SH DFND 1 404 0 0 TIFFANY & CO NEW Equity 886547108 52 404 SH SOLE 404 0 0 WABCO HLDGS INC Equity 92927K102 24858 184064 SH SOLE 184064 0 0 WABCO HLDGS INC Equity 92927K102 78 577 SH DFND 1 577 0 0 WRIGHT MED GROUP N V Equity N96617118 7813 272693 SH SOLE 272693 0 0 WRIGHT MED GROUP N V Equity N96617118 49 1710 SH DFND 1 1710 0 0