0001682021-17-000008.txt : 20170809 0001682021-17-000008.hdr.sgml : 20170809 20170809161420 ACCESSION NUMBER: 0001682021-17-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170809 DATE AS OF CHANGE: 20170809 EFFECTIVENESS DATE: 20170809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vivaldi Capital Management, LLC CENTRAL INDEX KEY: 0001682021 IRS NUMBER: 453825664 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18047 FILM NUMBER: 171018035 BUSINESS ADDRESS: STREET 1: 225 W. WACKER DRIVE - SUITE 2100 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-248-8300 MAIL ADDRESS: STREET 1: 225 W. WACKER DRIVE - SUITE 2100 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001682021 XXXXXXXX 06-30-2017 06-30-2017 false Vivaldi Capital Management, LLC

225 W. Wacker Drive - Suite 2100 Chicago IL 60606

13F HOLDINGS REPORT 028-18047 N Michelle M. Comella 312-248-8292 /s Michelle M. Comella Chicago IL 06-30-2017 0 100 53418190 INFORMATION TABLE 2 infotable.xml REYNOLDS AMERICAN INC Equity 761713106 7418072 114054 SH SOLE 114054 0 0 NXP SEMICONDUCTORS N V Equity N6596X109 6807681 62199 SH SOLE 62199 0 0 BARD C R INC Equity 067383109 5669433 17935 SH SOLE 17935 0 0 MOBILEYE N V AMSTELVEEN Equity N51488117 5538458 88192 SH SOLE 88192 0 0 PANERA BREAD CO Equity 69840W108 5066019 16101 SH SOLE 16101 0 0 VCA INC Equity 918194101 4356294 47192 SH SOLE 47192 0 0 VWR CORP Equity 91843L103 3733893 113114 SH SOLE 113114 0 0 LEVEL 3 COMMUNICATIONS INC Equity 52729N308 2755137 46461 SH SOLE 46461 0 0 KATE SPADE & CO Equity 485865109 2640243 142793 SH SOLE 142793 0 0 STRAIGHT PATH COMMUNICATNS I Equity 862578101 1643798 9150 SH SOLE 9150 0 0 DUPONT FABROS TECHNOLOGY INC Equity 26613Q106 1438483 23520 SH SOLE 23520 0 0 WORLD PT TERMS LP Equity 98159G107 1283334 74267 SH SOLE 74267 0 0 PACIFIC CONTINENTAL CORP Equity 69412V108 1193159 46699 SH SOLE 46699 0 0 SYNERON MEDICAL LTD Equity M87245102 851505 77763 SH SOLE 77763 0 0 CARDCONNECT CORP Equity 14141X108 785580 52198 SH SOLE 52198 0 0 VTTI ENERGY PARTNERS LP Equity Y9384M101 724024 36846 SH SOLE 36846 0 0 NUTRACEUTICAL INTL CORP Equity 67060Y101 463065 11118 SH SOLE 11118 0 0 FORTRESS INVESTMENT GROUP LL Equity 34958B106 435479 54503 SH SOLE 54503 0 0 SPECTRANETICS CORP Equity 84760C107 243341 6337 SH SOLE 6337 0 0 NOVADAQ TECHNOLOGIES INC Equity 66987G102 133397 11382 SH SOLE 11382 0 0 PARKWAY INC Equity 70156Q107 122759 5363 SH SOLE 5363 0 0 FIRST POTOMAC RLTY TR Equity 33610F109 64416 5798 SH SOLE 5798 0 0 VANGUARD INDEX FDS ETF 922908769 7712 61967 SH SOLE 61967 0 0 ISHARES TR ETF 464287168 3299 35777 SH SOLE 35777 0 0 VANGUARD TAX MANAGED INTL FD ETF 921943858 2944 71257 SH SOLE 71257 0 0 ENERNOC INC Equity 292764107 2240 289 SH SOLE 289 0 0 ISHARES TR ETF 464287200 2142 8800 SH SOLE 8800 0 0 VANGUARD INDEX FDS ETF 922908629 1670 11719 SH SOLE 11719 0 0 VANGUARD SCOTTSDALE FDS ETF 92206C409 1530 19111 SH SOLE 19111 0 0 VANGUARD INDEX FDS ETF 922908363 1260 5672 SH SOLE 5672 0 0 ISHARES TR ETF 464287465 1241 19040 SH SOLE 19039 0 0 ALLIANCEBERNSTEIN NATL MUNI CEF 01864U106 1164 85007 SH SOLE 85007 0 0 VANGUARD INDEX FDS ETF 922908751 1124 8296 SH SOLE 8296 0 0 SPDR S&P 500 ETF TR ETF 78462F103 1036 4285 SH SOLE 4285 0 0 PIONEER MUN HIGH INCOME TR CEF 723763108 881 72669 SH SOLE 72669 0 0 NUVEEN AMT FREE QLTY MUN INC CEF 670657105 867 63349 SH SOLE 63349 0 0 ISHARES TR ETF 464288448 849 25947 SH SOLE 25947 0 0 NVIDIA CORP Stock 67066G104 726 5020 SH SOLE 5020 0 0 SPDR SERIES TRUST ETF 78464A417 719 19327 SH SOLE 19327 0 0 ALLIANCEBERNSTEIN GBL HGH IN CEF 01879R106 678 52372 SH SOLE 52372 0 0 VANGUARD INTL EQUITY INDEX F ETF 922042866 643 9766 SH SOLE 9766 0 0 SSGA ACTIVE ETF TR ETF 78467V848 642 13042 SH SOLE 13042 0 0 VANGUARD SCOTTSDALE FDS ETF 92206C771 641 12173 SH SOLE 12173 0 0 SPDR GOLD TRUST ETF 78463V107 639 5412 SH SOLE 5412 0 0 WESTERN ASSET GLB HI INCOME CEF 95766B109 637 63369 SH SOLE 63369 0 0 VANGUARD SCOTTSDALE FDS ETF 92206C870 633 7236 SH SOLE 7236 0 0 NEUBERGER BERMAN HGH YLD FD CEF 64128C106 632 53168 SH SOLE 53168 0 0 WESTERN ASSET HIGH INCM OPP CEF 95766K109 626 123402 SH SOLE 123402 0 0 APPLE INC Stock 037833100 621 4312 SH SOLE 4312 0 0 ISHARES TR ETF 464287804 592 8451 SH SOLE 8451 0 0 BERKSHIRE HATHAWAY INC DEL Stock 084670702 550 3249 SH SOLE 3249 0 0 SPDR SER TR ETF 78468R853 542 6509 SH SOLE 6509 0 0 NUVEEN SELECT TAX FREE INCM CEF 67063C106 537 39174 SH SOLE 39174 0 0 VANGUARD INTL EQUITY INDEX F ETF 922042874 519 9420 SH SOLE 9420 0 0 ISHARES TR ETF 464287507 498 2865 SH SOLE 2865 0 0 DBX ETF TR ETF 233051200 492 16387 SH SOLE 16386 0 0 ISHARES INC ETF 46434G103 473 9460 SH SOLE 9460 0 0 EATON VANCE MUN BD FD II CEF 27827K109 448 35424 SH SOLE 35424 0 0 US BANCORP DEL Stock 902973304 427 8220 SH SOLE 8220 0 0 GAMING & LEISURE PPTYS INC REIT 36467J108 422 11195 SH SOLE 11195 0 0 WISDOMTREE TR ETF 97717W505 415 4250 SH SOLE 4250 0 0 VANGUARD BD INDEX FD INC ETF 921937835 415 5070 SH SOLE 5069 0 0 SELECT SECTOR SPDR TR ETF 81369Y209 399 5035 SH SOLE 5035 0 0 BP PLC ADR 055622104 398 11499 SH SOLE 11499 0 0 CHEVRON CORP NEW Stock 166764100 383 3673 SH SOLE 3672 0 0 PEPSICO INC Stock 713448108 334 2891 SH SOLE 2891 0 0 GILEAD SCIENCES INC Stock 375558103 327 4627 SH SOLE 4627 0 0 PIMCO ETF TR ETF 72201R833 319 3131 SH SOLE 3131 0 0 PHILIP MORRIS INTL INC Stock 718172109 309 2628 SH SOLE 2628 0 0 AMAZON COM INC Stock 023135106 293 303 SH SOLE 303 0 0 WISDOMTREE TR ETF 97717W315 287 7000 SH SOLE 7000 0 0 CISCO SYS INC Stock 17275R102 270 8626 SH SOLE 8626 0 0 ALPHABET INC Stock 02079K305 256 275 SH SOLE 275 0 0 PFIZER INC Stock 717081103 253 7544 SH SOLE 7544 0 0 WILLIS TOWERS WATSON PUB LTD Stock G96629103 253 1741 SH SOLE 1741 0 0 MERCK & CO INC Stock 58933Y105 250 3895 SH SOLE 3895 0 0 VERIZON COMMUNICATIONS INC Stock 92343V104 244 5469 SH SOLE 5469 0 0 VANGUARD BD INDEX FD INC ETF 921937827 228 2853 SH SOLE 2853 0 0 ISHARES TR ETF 464287721 224 1600 SH SOLE 1600 0 0 GABELLI CONV&INCOM SECS FD I CEF 36240B109 220 42723 SH SOLE 42723 0 0 MICROSOFT CORP Stock 594918104 217 3153 SH SOLE 3153 0 0 AT&T INC Stock 00206R102 216 5715 SH SOLE 5715 0 0 HOME DEPOT INC Stock 437076102 206 1346 SH SOLE 1346 0 0 YAMANA GOLD INC Stock 98462Y100 170 70000 SH SOLE 70000 0 0 SPIRIT RLTY CAP INC NEW REIT 84860W102 111 15000 SH SOLE 15000 0 0 SYNTHETIC BIOLOGICS INC Stock 87164U102 54 95150 SH SOLE 95150 0 0 MOLINA HEALTHCARE INC Convertible 60855RAD2 32 25000 SH SOLE 25000 0 0 WORKDAY INC Convertible 98138HAC5 25 20000 SH SOLE 20000 0 0 CITRIX SYS INC Convertible 177376AD2 24 20000 SH SOLE 20000 0 0 NATIONAL HEALTH INVS INC Convertible 63633DAE4 23 20000 SH SOLE 20000 0 0 VECTOR GROUP LTD Convertible 92240MBC1 23 20000 SH SOLE 20000 0 0 ARES CAP CORP Convertible 04010LAJ2 20 20000 SH SOLE 20000 0 0 BROOKDALE SR LIVING INC Convertible 112463AA2 20 20000 SH SOLE 20000 0 0 VERINT SYS INC Convertible 92343XAA8 20 20000 SH SOLE 20000 0 0 ECHO GLOBAL LOGISTICS INC Convertible 27875TAA9 19 20000 SH SOLE 20000 0 0 RPM INTL INC Convertible 749685AT0 18 15000 SH SOLE 15000 0 0 WEBMD HEALTH CORP Convertible 94770VAF9 15 15000 SH SOLE 15000 0 0 ACORDA THERAPEUTICS INC Convertible 00484MAA4 13 15000 SH SOLE 15000 0 0 AMTRUST FINL SVCS INC Convertible 032359AG6 11 15000 SH SOLE 15000 0 0 SEACOR HOLDINGS INC Convertible 811904AM3 10 10000 SH SOLE 10000 0 0