0001604488-21-000003.txt : 20210216 0001604488-21-000003.hdr.sgml : 20210216 20210216104558 ACCESSION NUMBER: 0001604488-21-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210216 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: 21634107 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 12-31-2020 12-31-2020 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 02-16-2021 1 138 355793 1 0001125816 028-06487 FIRST TRUST ADVISORS LP INFORMATION TABLE 2 infotable.xml 7GC HOLDINGS UNT Equity 81786A206 1233 116872 SH SOLE 116872 0 0 ACE CONVERGENCE ACQU CORP Equity G0083D112 1337 122728 SH SOLE 122728 0 0 ACKRELL SPAC PARTNERS I UNT Equity 00461L204 463 45000 SH SOLE 45000 0 0 ACON S2 ACQUISITION CL A ORD Equity G00748106 3089 306479 SH SOLE 306479 0 0 AJAX I UNT Equity G0190X118 584 47078 SH SOLE 47078 0 0 ALEXION PHARMACEUTICALS INC Equity 015351109 3743 23957 SH SOLE 23957 0 0 ALUSSA ENERGY ACQUISITION CO Equity G0232J101 2191 217824 SH SOLE 217824 0 0 AMERICAS TECHNOLOGY ACQUISIT RED UNT Equity G0404A128 2584 251333 SH SOLE 251333 0 0 ANWORTH MTG ASSET CORP Equity 037347101 1082 399418 SH DFND 1 399418 0 0 APOLLO STRATEGIC GROW CAP CL A ORD Equity G0411R106 3175 304998 SH SOLE 304998 0 0 ARCLIGHT CLEAN TRANSITION CL A ORD Equity G04561109 596 53820 SH SOLE 53820 0 0 ARTIUS ACQUISITION INC Equity 04316G105 3370 317011 SH SOLE 317011 0 0 ASCENDANT DIGITAL ACQUISITIO Equity G05155125 166 15800 SH SOLE 15800 0 0 AVANTI ACQ UNT Equity G0682V117 3252 300000 SH SOLE 300000 0 0 BCLS ACQUISITION CL A ORD Equity G0904B105 2056 184600 SH SOLE 184600 0 0 BIOTELEMETRY INC Equity 090672106 4794 66515 SH SOLE 66515 0 0 BMC STK HLDGS INC Equity 05591B109 302 5622 SH DFND 1 5622 0 0 BOWX ACQUISITION CORP Equity 103085205 2749 256885 SH SOLE 256885 0 0 BURGUNDY TECHNOLOGY ACQU COR Equity G1702T132 1486 131745 SH SOLE 131745 0 0 CAPSTAR SPL PURP ACQUISITION Equity 14070Y200 137 12640 SH SOLE 12640 0 0 CARNEY TECH ACQ II UNT Equity 143636207 2565 250000 SH SOLE 250000 0 0 CC NEUBERGER PRIN HLDGS II Equity G3166T129 148 14855 SH SOLE 14855 0 0 CELLULAR BIOMEDICINE GROUP I Equity 15117P102 601 32688 SH DFND 1 32688 0 0 CF ACQUISITION IV UNT Equity 12520T201 1019 99000 SH SOLE 99000 0 0 CHP MERGER CORP Equity 12558Y106 1968 191846 SH SOLE 191846 0 0 CHURCHILL CAP CORP II Equity 17143G106 4281 413604 SH SOLE 413604 0 0 CHURCHILL CAPITAL CORP IV Equity 171439201 3612 350651 SH SOLE 350651 0 0 CHURCHILL CAPITAL V UNT Equity 17144T206 1890 180000 SH SOLE 180000 0 0 CLIMATE CHANGE CRISIS REAL CL A ORD Equity 18716C100 2722 254153 SH SOLE 254153 0 0 CM LIFE SCIENCES CL A ORD Equity 18978W109 626 56698 SH SOLE 56698 0 0 CM LIFE SCIENCES INC Equity 18978W208 651 56096 SH SOLE 56096 0 0 COLONNADE ACQUISITION CORP Equity G2283K128 275 18165 SH SOLE 18165 0 0 CONCHO RES INC Equity 20605P101 813 13926 SH DFND 1 13926 0 0 CONCORD ACQUISITION UNT Equity 206071201 2062 200000 SH SOLE 200000 0 0 CORNER GROWTH ACQUISITION UNT Equity G2425N121 2404 230000 SH SOLE 230000 0 0 CRESCENT ACQUISITION CORP Equity 22564L105 4824 461607 SH SOLE 461607 0 0 D8 HOLDINGS CORP Equity G2614K102 1677 156910 SH SOLE 156910 0 0 DELWINDS INS ACQ UNT Equity 24803C201 1377 135000 SH SOLE 135000 0 0 DFP HEALTHCARE ACQUISITNS CO Equity 23343Q100 744 68884 SH SOLE 68884 0 0 DMY TECHNOLOGY GROUP UNT Equity 233278209 2052 180000 SH SOLE 180000 0 0 DPCM CAPITAL UNT Equity 23344P200 2006 182000 SH SOLE 182000 0 0 DUNE ACQUISITION UNT Equity 265334201 461 45000 SH SOLE 45000 0 0 E MERGE TECHNOLOGY ACQUISITI Equity 26873Y203 4238 397594 SH SOLE 397594 0 0 EAST RES ACQUISITION CO Equity 274681105 1150 113285 SH SOLE 113285 0 0 EAST RES ACQUISITION CO Equity 274681204 666 62998 SH SOLE 62998 0 0 EATON VANCE CORP Equity 278265103 25080 369209 SH SOLE 369209 0 0 EDTECHX HLDG ACQ II UNT Equity 28139A201 697 67500 SH SOLE 67500 0 0 ENDURANCE INTL GROUP HLDGS I Equity 29272B105 660 69882 SH DFND 1 69882 0 0 EQUITY DISTR ACQUISITION COR Equity 29465E205 2982 280000 SH SOLE 280000 0 0 FALCON CAPITAL ACQUISITN COR Equity 30606L207 3204 300000 SH SOLE 300000 0 0 FAST ACQUISITION CL A ORD Equity 311875108 328 31992 SH SOLE 31992 0 0 FG NEW AMER ACQUISITION CORP Equity 30259V205 6511 613100 SH SOLE 613100 0 0 FITBIT INC Equity 33812L102 177 25974 SH DFND 1 25974 0 0 FORTRESS VALUE ACQUISITION CL A ORD Equity 349642108 537 50000 SH SOLE 50000 0 0 FORTRESS VALUE ACQUISITION I Equity 349642207 1277 114405 SH SOLE 114405 0 0 FTAC OLYMPUS ACQUISITION CL A ORD Equity G37288100 350 33974 SH SOLE 33974 0 0 FTAC OLYMPUS ACQUISITION COR Equity G37288118 3805 350000 SH SOLE 350000 0 0 FUSION ACQUISITION CORP Equity 36118H105 522 46159 SH SOLE 46159 0 0 GOLDEN FALCON ACQUISITION UNT Equity 38102H208 468 45000 SH SOLE 45000 0 0 GORES HLDGS V INC Equity 382864205 689 63945 SH SOLE 63945 0 0 GREENVISION ACQUISITION CORP Equity 39678G103 138 13409 SH SOLE 13409 0 0 GS ACQUISITION HLDGS CORP II Equity 36258Q204 360 31600 SH SOLE 31600 0 0 GX ACQUISITION CORP Equity 36251A107 2098 190722 SH SOLE 190722 0 0 HIGHLAND TRANSCEND PARTNERS I UNT Equity G44690116 1427 135900 SH SOLE 135900 0 0 HMS HLDGS CORP Equity 40425J101 5199 141478 SH SOLE 141478 0 0 HORIZON ACQUISITION II UNT Equity G46044122 3323 309370 SH SOLE 309370 0 0 HUDSON EXECUTIVE INVT CORP Equity 443761200 637 55857 SH SOLE 55857 0 0 IG ACQUISITION ORD Equity 449534106 1317 130000 SH SOLE 130000 0 0 IG ACQUISITION UNT Equity 449534205 2162 200000 SH SOLE 200000 0 0 INPHI CORP Equity 45772F107 376 2342 SH DFND 1 2342 0 0 JAWS SPITFIRE ACQUISITION UNT Equity G50740128 995 90000 SH SOLE 90000 0 0 JUNIPER INDL HLDGS INC Equity 48205G106 1417 132280 SH SOLE 132280 0 0 JUNIPER INDL HLDGS INC Equity 48205G205 403 34451 SH SOLE 34451 0 0 KINS TECHNOLOGY GROUP UNT Equity 49714K208 2881 280000 SH SOLE 280000 0 0 LIONHEART ACQUISITION CORP I Equity 53625R203 3477 334000 SH SOLE 334000 0 0 LIVE OAK ACQUISITION UNT Equity 53804W205 3146 289983 SH SOLE 289983 0 0 MALACCA STRAITS ACQUISITION Equity G5859B125 866 84345 SH SOLE 84345 0 0 MAXIM INTEGRATED PRODS INC Equity 57772K101 532 6002 SH DFND 1 6002 0 0 MOTIVE CAPITAL UNT Equity G6293A129 2087 198000 SH SOLE 198000 0 0 MUDRICK CAPITAL ACQ II UNT Equity 62477L206 2784 270000 SH SOLE 270000 0 0 NATIONAL GEN HLDGS CORP Equity 636220303 281 8226 SH DFND 1 8226 0 0 NATIONAL GEN HLDGS CORP Equity 636220303 28148 823511 SH SOLE 823511 0 0 NEWHOLD INVESTMENT CORP Equity 651448201 857 82116 SH SOLE 82116 0 0 NORTH MOUNTAIN MERGER CL A ORD Equity 661204107 1253 121310 SH SOLE 121310 0 0 NORTH MOUNTAIN MERGER CORP Equity 661204206 1319 122815 SH SOLE 122815 0 0 OAKTREE ACQUISITION CORP II Equity G6715X129 2223 207548 SH SOLE 207548 0 0 ONE Equity G7000X113 770 67626 SH SOLE 67626 0 0 PARSLEY ENERGY INC Equity 701877102 939 66102 SH DFND 1 66102 0 0 PMV CONSUMER ACQUISITION COR Equity 693486201 1854 180000 SH SOLE 180000 0 0 PNM RES INC Equity 69349H107 441 9092 SH DFND 1 9092 0 0 PRIME IMPACT ACQUISITION I Equity G61074111 3638 342900 SH SOLE 342900 0 0 QELL ACQUISITION CL A ORD Equity G7307X105 452 36764 SH SOLE 36764 0 0 QELL ACQUISITION CORP Equity G7307X121 1202 90741 SH SOLE 90741 0 0 REALPAGE INC Equity 75606N109 23603 270558 SH SOLE 270558 0 0 REDBALL ACQUISITION CL A ORD Equity G7417R105 3059 280900 SH SOLE 280900 0 0 REPLAY ACQUISITION CORP Equity G75130107 585 56283 SH SOLE 56283 0 0 REVOLUTION ACCELERATION UNT Equity 76156P205 765 73440 SH SOLE 73440 0 0 RICE ACQ CL A ORD Equity 762594109 440 40649 SH SOLE 40649 0 0 RICE ACQUISITION UNT Equity 762594208 456 40320 SH SOLE 40320 0 0 RMG ACQUISITION II UNT Equity G76083115 1452 130203 SH SOLE 130203 0 0 SARISSA CAPITAL ACQ UNT Equity G7823W128 1917 180000 SH SOLE 180000 0 0 SC HEALTH CORP Equity G78516203 559 54515 SH SOLE 54515 0 0 SCION TECH GROWTH I UNT Equity G31067120 1486 144000 SH SOLE 144000 0 0 SEVEN OAKS ACQUISITION UNT Equity 81787X205 932 90000 SH SOLE 90000 0 0 SLACK TECHNOLOGIES INC Equity 83088V102 744 17614 SH DFND 1 17614 0 0 SLACK TECHNOLOGIES INC Equity 83088V102 11406 270017 SH SOLE 270017 0 0 SOCIAL CAP HEDOSOP HOLD V CL A ORD Equity G8252P105 1413 113616 SH SOLE 113616 0 0 SOCIAL CAPITAL HEDOSOPHIA VI UNT Equity G8251L121 836 64790 SH SOLE 64790 0 0 SOFTWARE ACQUISITN GRUP INC Equity 83407F200 1917 180000 SH SOLE 180000 0 0 SPARTAN ACQUISITION UNT Equity 846775203 2597 240500 SH SOLE 240500 0 0 SPORTS ENT ACQ UNT Equity 84918M205 3179 295685 SH SOLE 295685 0 0 STANDARD AVB FINL CORP Equity 85303B100 240 7375 SH DFND 1 7375 0 0 STARBOARD VALUE ACQUISITN CO Equity 85521J208 2354 228582 SH SOLE 228582 0 0 SUPERNOVA PARTNERS ACQ UNT Equity 86846V207 1873 161309 SH SOLE 161309 0 0 SUSTAINABLE OPPORTNTS ACQ CO Equity G8598Y109 1573 146152 SH SOLE 146152 0 0 TAILWIND ACQUISITION CORP Equity 87403Q201 3546 328945 SH SOLE 328945 0 0 TEKKORP DIGITAL ACQUISITION UNT Equity G8739H122 816 75866 SH SOLE 75866 0 0 TIFFANY & CO NEW Equity 886547108 348 2651 SH DFND 1 2651 0 0 TIFFANY & CO NEW Equity 886547108 23198 176476 SH SOLE 176476 0 0 TORTOISE ACQUISITION CL A ORD Equity G89554102 2431 228286 SH SOLE 228286 0 0 TREBIA ACQUISITION CORP Equity G9027T109 2631 243878 SH SOLE 243878 0 0 TREBIA ACQUISITION CORP Equity G9027T125 375 32408 SH SOLE 32408 0 0 TWC TECH HLDGS II CORP Equity 90117G204 565 52600 SH SOLE 52600 0 0 TWC TECH HOLDINGS II ORD Equity 90117G105 175 16632 SH SOLE 16632 0 0 UNION ACQUISITION CORP II Equity G9402Q100 624 60011 SH SOLE 60011 0 0 VARIAN MED SYS INC Equity 92220P105 568 3244 SH DFND 1 3244 0 0 VARIAN MED SYS INC Equity 92220P105 34069 194666 SH SOLE 194666 0 0 VECTOR ACQUISITION CORP Equity G9442R100 3157 293705 SH SOLE 293705 0 0 VG ACQUISITION CL A ORD Equity G9446E105 1051 91982 SH SOLE 91982 0 0 VIRTUSA CORP Equity 92827P102 381 7458 SH DFND 1 7458 0 0 VPC IMPACT ACQUISITION HLDNG Equity G9441E126 2675 250000 SH SOLE 250000 0 0 VY GLOBAL GROWTH CL A ORD Equity G9444H100 268 25754 SH SOLE 25754 0 0 VY GLOBAL GROWTH UNT Equity G9444H126 1937 180000 SH SOLE 180000 0 0 WADDELL & REED FINL INC Equity 930059100 398 15627 SH DFND 1 15627 0 0 WATFORD HLDGS LTD Equity G94787101 674 19480 SH DFND 1 19480 0 0 WILLIS TOWERS WATSON PLC LTD Equity G96629103 1098 5210 SH DFND 1 5210 0 0 XILINX INC Equity 983919101 492 3467 SH DFND 1 3467 0 0 ZANITE ACQUISITION UNT Equity 98907K202 1420 135000 SH SOLE 135000 0 0