0001604488-20-000017.txt : 20201116 0001604488-20-000017.hdr.sgml : 20201116 20201116095934 ACCESSION NUMBER: 0001604488-20-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-17430 FILM NUMBER: 201314295 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 1 primary_doc.xml 13F-HR LIVE false true false 0001604488 XXXXXXXX 09-30-2020 09-30-2020 false Vivaldi Asset Management, LLC

225 W. Wacker Drive Suite #2100 Chicago IL 60606

13F HOLDINGS REPORT 028-17430 N Jennifer Yong 312-248-8300 Jennifer Yong Chicago IL 11-16-2020 1 115 371948 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 378 5602 SH DFND 1 5602 0 0 ACAMAR PARTNERS ACQSITION CO Equity 004285102 736 72048 SH SOLE 72048 0 0 ACE CONVERGENCE ACQU CORP Equity G0083D112 1258 122728 SH SOLE 122728 0 0 ADVANCED DISP SVCS INC DEL Equity 00790X101 27836 920791 SH SOLE 920791 0 0 ADVANCED DISP SVCS INC DEL Equity 00790X101 1037 34314 SH DFND 1 34314 0 0 AIMMUNE THERAPEUTICS INC Equity 00900T107 18107 525598 SH SOLE 525598 0 0 ALUSSA ENERGY ACQUISITION CO Equity G0232J101 2163 217824 SH SOLE 217824 0 0 AMCI ACQUISITION CORP Equity 00165R101 2867 277262 SH SOLE 277262 0 0 ANDINA ACQUISITION CORP III Equity G04415108 2251 219813 SH SOLE 219813 0 0 ARTIUS ACQUISITION INC Equity 04316G105 1909 192011 SH SOLE 192011 0 0 ASCENDANT DIGITAL ACQUISITIO Equity G05155125 166 15800 SH SOLE 15800 0 0 BITAUTO HLDGS LTD Equity 091727107 513 32549 SH DFND 1 32549 0 0 BOWX ACQUISITION CORP Equity 103085205 721 70290 SH SOLE 70290 0 0 BURGUNDY TECHNOLOGY ACQU COR Equity G1702T132 1312 131745 SH SOLE 131745 0 0 CAPSTAR SPL PURP ACQUISITION Equity 14070Y200 129 12640 SH SOLE 12640 0 0 CC NEUBERGER PRIN HLDGS II Equity G3166T129 153 14855 SH SOLE 14855 0 0 CC NEUBERGER PRINCIPAL HLDNG Equity G1992Y106 361 33332 SH SOLE 33332 0 0 CC NEUBERGER PRINCIPAL HLDNG Equity G1992Y114 156 14999 SH SOLE 14999 0 0 CELLULAR BIOMEDICINE GROUP I Equity 15117P102 653 35613 SH DFND 1 35613 0 0 CF FIN ACQUISITION CORP Equity 12528N107 2885 277381 SH SOLE 277381 0 0 CHP MERGER CORP Equity 12558Y106 1786 175313 SH SOLE 175313 0 0 CHURCHILL CAPITAL CORP IV Equity 171439201 3514 350651 SH SOLE 350651 0 0 CIIG MERGER CORP Equity 12559C202 482 47185 SH SOLE 47185 0 0 CLIMATE CHANGE CRISIS REAL I Equity 18716C209 2412 240000 SH SOLE 240000 0 0 CM LIFE SCIENCES INC Equity 18978W208 1179 112602 SH SOLE 112602 0 0 COLONNADE ACQUISITION CORP Equity G2283K128 1077 108100 SH SOLE 108100 0 0 CRESCENT ACQUISITION CORP Equity 22564L105 3920 390441 SH SOLE 390441 0 0 D8 HOLDINGS CORP Equity G2614K102 1580 156910 SH SOLE 156910 0 0 DFP HEALTHCARE ACQUISITNS CO Equity 23343Q100 715 68884 SH SOLE 68884 0 0 DMY TECHNOLOGY GROUP INC II Equity 233277201 1565 153000 SH SOLE 153000 0 0 E MERGE TECHNOLOGY ACQUISITI Equity 26873Y203 4008 397594 SH SOLE 397594 0 0 E TRADE FINANCIAL CORP Equity 269246401 7595 151750 SH SOLE 151750 0 0 E TRADE FINANCIAL CORP Equity 269246401 461 9205 SH DFND 1 9205 0 0 EAST RES ACQUISITION CO Equity 274681204 636 62998 SH SOLE 62998 0 0 EQUITY DISTR ACQUISITION COR Equity 29465E205 2884 280000 SH SOLE 280000 0 0 FALCON CAPITAL ACQUISITN COR Equity 30606L207 3087 300000 SH SOLE 300000 0 0 FG NEW AMER ACQUISITION CORP Equity 30259V205 6137 613100 SH SOLE 613100 0 0 FITBIT INC Equity 33812L102 194 27816 SH DFND 1 27816 0 0 FOLEY TRASIMENE ACQUISITION Equity 344328208 857 84055 SH SOLE 84055 0 0 FORTRESS VALUE ACQUISITION I Equity 349642207 1178 114405 SH SOLE 114405 0 0 FORUM MERGER III CORP Equity 349885202 1845 176719 SH SOLE 176719 0 0 FTAC OLYMPUS ACQUISITION COR Equity G37288118 3500 350000 SH SOLE 350000 0 0 FUSION ACQUISITION CORP Equity 36118H204 651 63200 SH SOLE 63200 0 0 GIGCAPITAL2 INC Equity 375036100 449 44151 SH SOLE 44151 0 0 GORES HLDGS V INC Equity 382864205 662 63945 SH SOLE 63945 0 0 GS ACQUISITION HLDGS CORP II Equity 36258Q204 355 31600 SH SOLE 31600 0 0 GX ACQUISITION CORP Equity 36251A107 3225 307128 SH SOLE 307128 0 0 HAYMAKER ACQUISITION CORP II Equity 42087L101 3431 343057 SH SOLE 343057 0 0 HUDSON LTD Equity G46408103 634 83397 SH DFND 1 83397 0 0 HUDSON EXECUTIVE INVT CORP Equity 443761200 584 55857 SH SOLE 55857 0 0 IMMUNOMEDICS INC Equity 452907108 17775 209046 SH SOLE 209046 0 0 INNERWORKINGS INC Equity 45773Y105 344 114962 SH DFND 1 114962 0 0 JERNIGAN CAP INC Equity 476405105 815 47540 SH DFND 1 47540 0 0 JUNIPER INDL HLDGS INC Equity 48205G106 1815 173500 SH SOLE 173500 0 0 JUNIPER INDL HLDGS INC Equity 48205G205 393 34451 SH SOLE 34451 0 0 KENSINGTON CAP ACQUISITION C Equity 490073103 402 24027 SH SOLE 24027 0 0 LEISURE ACQUISITION CORP Equity 52539T107 249 23303 SH SOLE 23303 0 0 LIONHEART ACQUISITION CORP I Equity 53625R203 3327 334000 SH SOLE 334000 0 0 LIVE OAK ACQUISITION CORP Equity 53804F202 528 50000 SH SOLE 50000 0 0 LIVONGO HEALTH INC Equity 539183103 38523 275063 SH SOLE 275063 0 0 LIVONGO HEALTH INC Equity 539183103 1049 7491 SH DFND 1 7491 0 0 LONGVIEW ACQUISITION CORP Equity 543195101 986 100399 SH SOLE 100399 0 0 MALACCA STRAITS ACQUISITION Equity G5859B125 839 84345 SH SOLE 84345 0 0 MEGALITH FINL ACQUISITION CO Equity 58518F109 1687 163595 SH SOLE 163595 0 0 MOMENTA PHARMACEUTICALS INC Equity 60877T100 15914 303245 SH SOLE 303245 0 0 MOMENTA PHARMACEUTICALS INC Equity 60877T100 345 6569 SH DFND 1 6569 0 0 MONOCLE ACQUISITION CORP Equity 609754106 1819 177679 SH SOLE 177679 0 0 MVC CAP INC Equity 553829102 521 66719 SH DFND 1 66719 0 0 NATIONAL GEN HLDGS CORP Equity 636220303 26638 789280 SH SOLE 789280 0 0 NATIONAL GEN HLDGS CORP Equity 636220303 277 8215 SH DFND 1 8215 0 0 NEW PROVIDENCE ACQUISITION Equity 64822P106 4196 416645 SH SOLE 416645 0 0 NEWHOLD INVESTMENT CORP Equity 651448201 826 82116 SH SOLE 82116 0 0 NORTH MOUNTAIN MERGER CORP Equity 661204206 2066 202587 SH SOLE 202587 0 0 NORTHERN GENESIS ACQUISITION Equity 66516T203 2797 280000 SH SOLE 280000 0 0 OAKTREE ACQUISITION CORP II Equity G6715X129 1852 180000 SH SOLE 180000 0 0 ONE Equity G7000X113 737 67626 SH SOLE 67626 0 0 PMV CONSUMER ACQUISITION COR Equity 693486201 1798 180000 SH SOLE 180000 0 0 PRIME IMPACT ACQUISITION I Equity G61074111 3436 342900 SH SOLE 342900 0 0 QELL ACQUISITION CORP Equity G7307X121 2845 280000 SH SOLE 280000 0 0 REDBALL ACQUISITION CORP Equity G7417R121 1436 135900 SH SOLE 135900 0 0 REPLAY ACQUISITION CORP Equity G75130107 651 63913 SH SOLE 63913 0 0 RMG ACQUISITION CORP Equity 749641106 1605 150161 SH SOLE 150161 0 0 ROSETTA STONE INC Equity 777780107 16345 545192 SH SOLE 545192 0 0 SC HEALTH CORP Equity G78516203 550 54515 SH SOLE 54515 0 0 SCHULTZE SPL PURP ACQUSTN CO Equity 80821R109 134 13183 SH SOLE 13183 0 0 SILVER SPIKE ACQUISITION COR Equity G8136L106 414 40893 SH SOLE 40893 0 0 SOCIAL CAP HEDSPIA HLDG CO I Equity G8251K107 3249 260736 SH SOLE 260736 0 0 SOFTWARE ACQUISITN GRUP INC Equity 83407F200 1791 180000 SH SOLE 180000 0 0 SOUTH MTN MERGER CORP Equity 838884104 523 50000 SH SOLE 50000 0 0 STABLE RD ACQUISITION CORP Equity 85236Q109 1176 116657 SH SOLE 116657 0 0 STARBOARD VALUE ACQUISITN CO Equity 85521J208 2309 228582 SH SOLE 228582 0 0 SUSTAINABLE OPPORTNTS ACQ CO Equity G8598Y109 1032 101152 SH SOLE 101152 0 0 TAILWIND ACQUISITION CORP Equity 87403Q201 3306 328945 SH SOLE 328945 0 0 TD AMERITRADE HLDG CORP Equity 87236Y108 325 8311 SH DFND 1 8311 0 0 THUNDER BRDG ACQUISTION II L Equity G8857S116 538 52700 SH SOLE 52700 0 0 TIFFANY & CO NEW Equity 886547108 47 404 SH SOLE 404 0 0 TIFFANY & CO NEW Equity 886547108 332 2869 SH DFND 1 2869 0 0 TORTOISE ACQUISITION CORP II Equity G89554110 1469 135000 SH SOLE 135000 0 0 TREBIA ACQUISITION CORP Equity G9027T109 583 57278 SH SOLE 57278 0 0 TREBIA ACQUISITION CORP Equity G9027T125 404 37400 SH SOLE 37400 0 0 TRINE ACQUISITION CORP Equity 89628U108 150 13846 SH SOLE 13846 0 0 TUSCAN HLDGS CORP Equity 90069K104 3096 304125 SH SOLE 304125 0 0 TUSCAN HLDGS CORP II Equity 90070A103 260 26076 SH SOLE 26076 0 0 UNION ACQUISITION CORP II Equity G9402Q100 596 60011 SH SOLE 60011 0 0 VARIAN MED SYS INC Equity 92220P105 21114 122757 SH SOLE 122757 0 0 VARIAN MED SYS INC Equity 92220P105 600 3489 SH DFND 1 3489 0 0 VECTOR ACQUISITION CORP Equity G9442R100 2978 293705 SH SOLE 293705 0 0 VESPER HEALTHCARE ACQSTN COR Equity 92538T203 2985 290900 SH SOLE 290900 0 0 VIVINT SOLAR INC Equity 92854Q106 564 13318 SH DFND 1 13318 0 0 VPC IMPACT ACQUISITION HLDNG Equity G9441E126 2500 250000 SH SOLE 250000 0 0 WILLIS TOWERS WATSON PLC LTD Equity G96629103 23822 114081 SH SOLE 114081 0 0 WILLIS TOWERS WATSON PLC LTD Equity G96629103 1008 4825 SH DFND 1 4825 0 0 WRIGHT MED GROUP N V Equity N96617118 12694 415661 SH SOLE 415661 0 0 WRIGHT MED GROUP N V Equity N96617118 355 11630 SH DFND 1 11630 0 0