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Institutional Investment Manager
FIRST TRUST CAPITAL MANAGEMENT L.P.
FIRST TRUST CAPITAL MANAGEMENT L.P. (CIK: 0001604488). Institutional holdings reported to the SEC.
Institutional Holdings (2016Q2)
Original 13F HR (0001604488-16-000010) filed in 2016.08.09
#
Name
Shares
Value ($)
%
Options
Notes
1 HEARTLAND PMT SYS INC 175,929 16,989,464 11.89%
2 JARDEN CORP 278,964 16,444,928 11.51%
3 TIME WARNER INC NEW 73,423 15,023,814 10.51%
4 FRESH MKT INC 426,278 12,161,711 8.51%
5 HUMANA INC 65,493 11,981,944 8.38%
6 STARWOOD HOTELS & RESORTS WORLDWIDE INC COM 122,151 10,191,058 7.13%
7 CAMERON INTERNATIONAL COMPANY 151,832 10,180,336 7.12%
8 SANDISK CORP 132,202 10,057,928 7.04%
9 BAXALTA INC COM 243,007 9,817,483 6.87%
10 CKEC 2017-01-20 33.000 C A OPQ 126,386 3,796,635 2.66%
11 FAIRCHILD SEMICONDUCTOR INTLCOM 164,118 3,282,360 2.30%
12 NEWPORT CORP 127,170 2,924,910 2.05%
13 IMVESCOR RESTAURANT GROUP ORD 1,098,300 2,237,896 1.57%
14 POWERSECURE INTL INC 119,446 2,232,446 1.56%
15 National Interstate Corp 70,398 2,106,308 1.47%
16 TUMI HOLDINGS INC 59,460 1,594,717 1.12%
17 VISHAY PRECISION GROUP INC 101,498 1,421,987 1.00%
18 USA Technologies Inc 293,086 1,277,855 0.89%
19 AMERICAN CAP LTD 82,310 1,254,404 0.88%
20 DARLING INGREDIENTS INC 74,400 979,848 0.69%
21 INVESTORS TITLE CO NC COM 10,007 911,337 0.64%
22 TOWER INTL INC 28,178 766,442 0.54%
23 CURRENCY EXCHANGE INTERNATIONAL ORD 39,799 719,139 0.50%
24 WHITEHORSE FIN INC 63,098 654,957 0.46%
25 MEDLEY CAP CORPORATION 93,650 618,090 0.43%
26 RMR GROUP INC 19,490 487,445 0.34%
27 FORTRESS INVESTMENT GROUP LL 71,056 339,648 0.24%
28 CARLYLE GROUP L P 19,291 325,632 0.23%
29 KKR & CO LP COMMON UNITS 18,750 275,438 0.19%
30 PROSHARES TR 4,200 260,736 0.18%
31 INPUT CAPITAL ORD 210,190 260,202 0.18%
32 FIFTH STREET FINANCE CORP 49,705 249,519 0.17%
33 YOUKU TUDOU INC 8,334 229,102 0.16%
34 SARATOGA INVT CORP 12,329 193,319 0.14%
35 RONA 5.25% 5 YEAR SRS 6 CL A CUM PRF 11,980 178,058 0.12%
36 FIFTH STR ASSET MGMT INC 57,600 176,256 0.12%
37 OFS CAP CORP 7,928 102,668 0.07%
38 KEYCORP 6,850 75,624 0.05%
39 GENERAL FIN SRS C CUM RED PERP PRF 1,000 71,000 0.05%
40 STONECASTLE FINL CORP 2,635 45,612 0.03%
Restatement filing (0001604488-16-000013) filed in 2016.08.10
#
Name
Shares
Value ($)
%
Options
Notes
1 KLA-TENCOR CORP 489,216 35,835,072 13.19%
2 STARWOOD HOTELS & RESORTS WORLDWIDE INC COM 383,693 28,374,097 10.44%
3 DEMANDWARE INC 300,490 22,506,701 8.28%
4 AGL Resources Inc 338,232 22,313,165 8.21%
5 STARZ SERIES A 617,491 18,475,331 6.80%
6 LDR HLDG CORP COM 452,714 16,727,782 6.16%
7 DREAMWORKS ANIMATION SKG INC 364,270 14,887,715 5.48%
8 CVENT INC COM 322,434 11,517,342 4.24%
9 EXAMWORKS GROUP INC COM 325,722 11,351,412 4.18%
10 HUMANA INC 61,387 11,042,294 4.06%
11 AXIALL CORPORATION 281,869 9,191,748 3.38%
12 SUFFOLK BANCORP COM 290,542 9,096,870 3.35%
13 DIAMOND RESORTS INTL INC COM 299,061 8,959,868 3.30%
14 CELATOR PHARMACEUTICALS INC 240,598 7,261,248 2.67%
15 CKEC 2017-01-20 33.000 C A OPQ 199,168 5,998,940 2.21%
16 VIRGIN AMERICA ORD 98,129 5,515,831 2.03%
17 INCONTACT INC 280,554 3,885,673 1.43%
18 Intuit Inc 14,729 2,787,463 1.03%
19 National Interstate Corp 80,467 2,434,127 0.90%
20 SCIQUEST INC NEW 119,551 2,111,271 0.78%
21 FAIRCHILD SEMICONDUCTOR INTLCOM 105,846 2,101,043 0.77%
22 VISHAY PRECISION GROUP INC 130,866 1,756,222 0.65%
23 STEWART INFORMATION SVCS COR 40,539 1,678,720 0.62%
24 LORAL SPACE & COMMUNICATIONS 47,399 1,671,763 0.62%
25 TUMI HOLDINGS INC 59,460 1,589,960 0.59%
26 DARLING INGREDIENTS INC 97,198 1,448,250 0.53%
27 INTELIQUENT ORD 67,695 1,346,454 0.50%
28 NEXSTAR MEDIA GROUP INC 27,555 1,311,067 0.48%
29 BRAVO BRIO RESTAURANT GROUP COM 139,644 1,143,684 0.42%
30 AMERICAN CAP LTD 61,710 976,869 0.36%
31 HATTERAS FINL CORP 56,641 928,912 0.34%
32 INVESTORS TITLE CO NC COM 9,483 903,256 0.33%
33 DICE HOLDINGS INC 129,979 809,769 0.30%
34 MEDLEY CAP CORPORATION 117,469 787,042 0.29%
35 PROSHARES TR 13,100 772,900 0.28%
36 WHITEHORSE FIN INC 69,890 756,210 0.28%
37 FIFTH STR ASSET MGMT INC 139,110 562,004 0.21%
38 SARATOGA INVT CORP 30,834 521,095 0.19%
39 C1 FINL INC COM 15,457 360,612 0.13%
40 CONIFER HLDGS INCORPORATED 97 673 0.00%