0001604488-20-000014.txt : 20200818 0001604488-20-000014.hdr.sgml : 20200818 20200818165805 ACCESSION NUMBER: 0001604488-20-000014 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 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: 201114401 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 06-30-2020 06-30-2020 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 85 315591 1 0001125816 028-06487 FIRST TRUST ADVISORS LP INFORMATION TABLE 2 infotable.xml ACACIA COMMUNICATIONS INC Equity 00401C108 354 5265 SH DFND 1 5265 0 0 ACACIA COMMUNICATIONS INC Equity 00401C108 14 210 SH SOLE 210 0 0 ACAMAR PARTNERS ACQSITION CO Equity 004285102 466 45461 SH SOLE 45461 0 0 ADESTO TECHNOLOGIES CORP Equity 00687D101 15 1215 SH SOLE 1215 0 0 ADVANCED DISP SVCS INC DEL Equity 00790X101 892 29575 SH DFND 1 29575 0 0 ADVANCED DISP SVCS INC DEL Equity 00790X101 29129 965501 SH SOLE 965501 0 0 ALUSSA ENERGY ACQUISITION CO Equity G0232J127 80 7925 SH SOLE 7925 0 0 AMCI ACQUISITION CORP Equity 00165R101 580 56732 SH SOLE 56732 0 0 ANDINA ACQUISITION CORP III Equity G04415108 325 31663 SH SOLE 31663 0 0 APEX TECHNOLOGY ACQUISITION Equity 03768F201 1 100 SH SOLE 100 0 0 CAESARS ENTMT CORP Equity 127686103 556 45853 SH DFND 1 45853 0 0 CAESARS ENTMT CORP Equity 127686103 19892 1639869 SH SOLE 1639869 0 0 CC NEUBERGER PRINCIPAL HLDNG Equity G1992Y106 530 50000 SH SOLE 50000 0 0 CF FIN ACQUISITION CORP Equity 12528N107 822 75800 SH SOLE 75800 0 0 CHURCHILL CAP CORP III Equity 17144C104 540 50000 SH SOLE 50000 0 0 CIIG MERGER CORP Equity 12559C202 484 47185 SH SOLE 47185 0 0 CRAFT BREW ALLIANCE INC Equity 224122101 19 1220 SH SOLE 1220 0 0 CRAFT BREW ALLIANCE INC Equity 224122101 488 31707 SH DFND 1 31707 0 0 DELPHI TECHNOLOGIES PL Equity G2709G107 2695 189678 SH SOLE 189678 0 0 DFP HEALTHCARE ACQUISITNS CO Equity 23343Q209 534 50000 SH SOLE 50000 0 0 DIAMONDPEAK HLDGS COR Equity 25280H209 0 2 SH SOLE 2 0 0 DIAMONDPEAK HLDGS COR Equity 25280H100 496 48134 SH SOLE 48134 0 0 E TRADE FINANCIAL CORP Equity 269246401 18234 366650 SH SOLE 366650 0 0 EL PASO ELEC CO Equity 283677854 23 340 SH SOLE 340 0 0 EQUITRANS MIDSTREAM CORP Equity 294600101 17555 2112571 SH SOLE 2112571 0 0 FAR PT ACQUISITION CORP Equity 30734W109 2304 225000 SH SOLE 225000 0 0 FINTECH ACQUISITION CORP III Equity 31811A101 183 16430 SH SOLE 16430 0 0 FITBIT INC Equity 33812L102 167 25818 SH DFND 1 25818 0 0 FLYING EAGLE ACQUISITION COR Equity 34407Y103 516 47000 SH SOLE 47000 0 0 FORTRESS VALUE ACQUISITION C Equity 34962V205 515 50000 SH SOLE 50000 0 0 FUSION ACQUISITION CORP Equity 36118H204 642 63200 SH SOLE 63200 0 0 GIGCAPITAL2 INC Equity 375036100 194 19139 SH SOLE 19139 0 0 GS ACQUISITION HLDGS CORP II Equity 36258Q204 332 31600 SH SOLE 31600 0 0 GX ACQUISITION CORP Equity 36251A107 474 46480 SH SOLE 46480 0 0 GX ACQUISITION CORP Equity 36251A206 306 29449 SH SOLE 29449 0 0 HENNESSY CAP ACQUSTION CORP Equity 42589C104 340 31626 SH SOLE 31626 0 0 HUDSON EXECUTIVE INVT CORP Equity 443761200 715 69757 SH SOLE 69757 0 0 IBERIABANK CORP Equity 450828108 2683 58915 SH SOLE 58915 0 0 IBERIABANK CORP Equity 450828108 362 7945 SH DFND 1 7945 0 0 JUNIPER INDL HLDGS INC Equity 48205G205 355 34451 SH SOLE 34451 0 0 JUNIPER INDL HLDGS INC Equity 48205G106 234 23500 SH SOLE 23500 0 0 KENSINGTON CAP ACQUISITION C Equity 490073202 633 63200 SH SOLE 63200 0 0 LEGG MASON INC Equity 524901105 550 11051 SH DFND 1 11051 0 0 LEGG MASON INC Equity 524901105 33449 672333 SH SOLE 672333 0 0 LEISURE ACQUISITION CORP Equity 52539T107 1 102 SH SOLE 102 0 0 LIVE OAK ACQUISITION CORP Equity 53804F202 501 50000 SH SOLE 50000 0 0 LOGMEIN INC Equity 54142L109 1002 11818 SH DFND 1 11818 0 0 LOGMEIN INC Equity 54142L109 35427 417922 SH SOLE 417922 0 0 MEET GROUP INC Equity 58513U101 31 4926 SH SOLE 4926 0 0 MEET GROUP INC Equity 58513U101 488 78248 SH DFND 1 78248 0 0 MORGAN STANLEY Equity 617446448 78 1622 SH SOLE 1622 0 0 NETFIN ACQUISITION CORP Equity G6455A107 915 85106 SH SOLE 85106 0 0 NEW PROVIDENCE ACQUISITION Equity 64822P106 588 58374 SH SOLE 58374 0 0 PIVOTAL INVT CORP II Equity 72582K100 579 57077 SH SOLE 57077 0 0 PORTOLA PHARMACEUTICALS INC Equity 737010108 10892 605455 SH SOLE 605455 0 0 PORTOLA PHARMACEUTICALS INC Equity 737010108 268 14911 SH DFND 1 14911 0 0 REPLAY ACQUISITION CORP Equity G75130107 218 21388 SH SOLE 21388 0 0 RMG ACQUISITION CORP Equity 749641106 517 50561 SH SOLE 50561 0 0 SC HEALTH CORP Equity G78516203 550 54415 SH SOLE 54415 0 0 SILVER SPIKE ACQUISITION COR Equity G8136L106 325 32088 SH SOLE 32088 0 0 SOCIAL CAP HDOSPHIA HLDG CO Equity G8250T109 66 5650 SH SOLE 5650 0 0 SOCIAL CAP HDOSPHIA HLDG CO Equity G8250T117 414 32977 SH SOLE 32977 0 0 SOCIAL CAP HEDSPIA HLDG CO I Equity G8251K123 313 26386 SH SOLE 26386 0 0 SOCIAL CAP HEDSPIA HLDG CO I Equity G8251K107 0 2 SH SOLE 2 0 0 SOUTH MTN MERGER CORP Equity 838884203 530 50000 SH SOLE 50000 0 0 SPARTAN ENERGY ACQUISITION C Equity 846784106 706 65842 SH SOLE 65842 0 0 STABLE RD ACQUISITION CORP Equity 85236Q109 2 157 SH SOLE 157 0 0 SUSTAINABLE OPPORTNTS ACQ CO Equity G8598Y125 505 50000 SH SOLE 50000 0 0 TD AMERITRADE HLDG CORP Equity 87236Y108 333 9141 SH DFND 1 9141 0 0 TD AMERITRADE HLDG CORP Equity 87236Y108 35796 983942 SH SOLE 983942 0 0 TECH DATA CORP Equity 878237106 501 3458 SH DFND 1 3458 0 0 TECH DATA CORP Equity 878237106 48 329 SH SOLE 329 0 0 TENZING ACQUISITION CORP Equity G8708A116 2 182 SH SOLE 182 0 0 TERRAFORM PWR INC Equity 88104R209 499 27040 SH DFND 1 27040 0 0 THUNDER BRDG ACQUISTION II L Equity G8857S124 32 3000 SH SOLE 3000 0 0 TIFFANY & CO NEW Equity 886547108 320 2626 SH DFND 1 2626 0 0 TIFFANY & CO NEW Equity 886547108 49 404 SH SOLE 404 0 0 TREBIA ACQUISITION CORP Equity G9027T125 495 47400 SH SOLE 47400 0 0 TRINE ACQUISITION CORP Equity 89628U108 941 90032 SH SOLE 90032 0 0 TUSCAN HLDGS CORP II Equity 90070A103 167 16628 SH SOLE 16628 0 0 TUSCAN HOLDINGS CORP Equity 90069K104 423 41357 SH SOLE 41357 0 0 UNION ACQUISITION CORP II Equity G9402Q100 469 46910 SH SOLE 46910 0 0 WILLIS TOWERS WATSON PLC LTD Equity G96629103 71926 365200 SH SOLE 365200 0 0 WRIGHT MED GROUP N V Equity N96617118 8666 291597 SH SOLE 291597 0 0 WRIGHT MED GROUP N V Equity N96617118 330 11115 SH DFND 1 11115 0 0