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CCA

Castle Creek Arbitrage Portfolio holdings

AUM $425M
1-Year Est. Return 7.4%
This Fund
S&P 500
This Quarter Est. Return
+10.36%
1 Year Est. Return
+7.4%
3 Year Est. Return
+17.18%
5 Year Est. Return
+26.6%
10 Year Est. Return
+44.82%
AUM
$1.64B
AUM Growth
+$340M
Cap. Flow
-$23.5M
Cap. Flow %
-1.43%
Top 10 Hldgs %
43.79%
Holding
361
New
186
Increased
14
Reduced
24
Closed
74

Top Buys

Rank Stock Value
1
IPOF
Social Capital Hedosophia Holdings Corp. VI
IPOF
+$28M
2
BTAQ
Burgundy Technology Acquisition Corporation Class A Ordinary shares
BTAQ
+$27.4M
3
OPAD icon
Offerpad Solutions
OPAD
+$22.6M
4
KINZU
KINS Technology Group Inc. Unit
KINZU
+$19.3M
5
SVOKU
Seven Oaks Acquisition Corp. Unit
SVOKU
+$18.8M

Top Sells

Rank Stock Value
1
BTAQU
Burgundy Technology Acquisition Corporation Unit
BTAQU
+$27.9M
2
TWND.U
Tailwind Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one warrant
TWND.U
+$16M
3
LCAPU
Lionheart Acquisition Corp. II Unit
LCAPU
+$11.1M
4
RMO
Romeo Power, Inc.
RMO
+$11M
5
PRPB.U
CC Neuberger Principal Holdings II
PRPB.U
+$10.7M

Sector Composition

Rank Sector Weight
1 Financials 14.63%
2 Technology 3.92%
3 Healthcare 3.83%
4 Industrials 3.6%
5 Consumer Discretionary 1.69%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RKLBW
226
DELISTED
Rocket Lab USA, Inc. Warrant
RKLBW
$126K 0.01%
+83,332
New +$106K
FCACW
227
DELISTED
Falcon Capital Acquisition Corp. Warrant
FCACW
$124K 0.01%
+57,499
New +$100K
GIX.RT
228
DELISTED
GigCapital2, Inc. Rights, each exchangeable into one-twentieth of a share of Common Stock
GIX.RT
$122K 0.01%
296,500
– –
EVGOW
229
DELISTED
EVgo Inc Warrants
EVGOW
$112K 0.01%
+62,499
New +$100K
IPOD.WS
230
DELISTED
Social Capital Hedosophia Holdings Corp. IV Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
IPOD.WS
$111K 0.01%
+30,000
New +$103K
GHVIU
231
DELISTED
Gores Holdings VI, Inc. Unit
GHVIU
$106K 0.01%
+10,000
New +$106K
OAC.WS
232
DELISTED
Oaktree Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
OAC.WS
$106K 0.01%
27,186
-39,480
-59% -$84.4K
DEH.WS
233
DELISTED
D8 Holdings Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exer
DEH.WS
$105K 0.01%
+100,000
New +$76.2K
LVOXW
234
DELISTED
LiveVox Holding, Inc. Warrant
LVOXW
$103K 0.01%
68,504
– –
MLAC
235
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
$100K 0.01%
+10,084
New +$98.9K
GOAC.WS
236
DELISTED
GO Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock
GOAC.WS
$100K 0.01%
66,666
– –
BROGW
237
DELISTED
Brooge Holdings Limited Warrant expiring 12/20/2024
BROGW
$93K 0.01%
149,850
– –
YSAC.WS
238
DELISTED
Yellowstone Acquisition Company Warrants, each whole warrant exercisable for one share of Class A co
YSAC.WS
$93K 0.01%
+74,999
New +$89.1K
ASAQ.WS
239
DELISTED
Atlantic Avenue Acquisition Corp Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
ASAQ.WS
$82K 0.01%
+74,999
New +$55.2K
VYGG.WS
240
DELISTED
Vy Global Growth Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
VYGG.WS
$82K 0.01%
+39,999
New +$72.6K
QSIAW
241
DELISTED
Quantum-Si Inc Warrant
QSIAW
$76K ﹤0.01%
+66,666
New +$75.3K
ALTG.WS
242
DELISTED
Alta Equipment Group Warrants
ALTG.WS
$75K ﹤0.01%
37,500
– –
LACQW
243
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$71K ﹤0.01%
89,881
– –
NESRW
244
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$65K ﹤0.01%
47,519
– –
SCPE.WS
245
DELISTED
SC Health Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an
SCPE.WS
$64K ﹤0.01%
47,499
– –
IACA.WS
246
DELISTED
ION Acquisition Corp 1 Ltd. Warrants, each whole warrant exercisable for one Class A ordinary share
IACA.WS
$63K ﹤0.01%
+17,596
New +$38.3K
WPF.WS
247
DELISTED
Foley Trasimene Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
WPF.WS
$61K ﹤0.01%
24,214
– –
WGSWW
248
DELISTED
GeneDx Holdings Warrant
WGSWW
$54K ﹤0.01%
+19,632
New +$49.4K
XOSWW
249
Xos Inc Warrants
XOSWW
$25.1K
$50K ﹤0.01%
+33,333
New +$51K
HOFVW
250
DELISTED
Hall of Fame Resort & Entertainment Company Warrant
HOFVW
$47K ﹤0.01%
182,301
– –
8 9
10
11 12

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Castle Creek Arbitrage's Q4 2020 Portfolio in Review

As of Q4 2020, Castle Creek Arbitrage held 361 positions worth $1.64B, up 26% from $1.3B the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Castle Creek Arbitrage's Q4 2020 filing shows 186 new, 14 increased, 24 reduced and 74 closed positions. Its largest new stake was Social Capital Hedosophia Holdings Corp. VI: 2,465,880 shares worth $30.3M. The largest sale was Burgundy Technology Acquisition Corporation Unit, an estimated $27.9M.

By sector, the portfolio is most concentrated in Financials at 15% of assets, up from 8.3% a quarter earlier, followed by Technology and Healthcare.

  • Castle Creek Arbitrage's largest Q4 2020 buy was Social Capital Hedosophia Holdings Corp. VI: 2,465,880 shares worth $30.3M.
  • Castle Creek Arbitrage added most to Nuvation Bio in Q4 2020, an estimated $8.68M increase.
  • Castle Creek Arbitrage's biggest Q4 2020 reduction was Aeva Technologies, cutting an estimated $8.14M.
  • Castle Creek Arbitrage fully exited Burgundy Technology Acquisition Corporation Unit in Q4 2020, selling an estimated $27.9M.
  • Castle Creek Arbitrage's ten largest holdings make up 44% of its $1.64B portfolio in Q4 2020.
  • Castle Creek Arbitrage opened 186 new positions and closed 74 in Q4 2020.
  • Castle Creek Arbitrage's portfolio value rose 26% quarter-over-quarter to $1.64B.

Based on Castle Creek Arbitrage's 13F filing for Q4 2020, filed 16 Feb 2021.