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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
IMTXW
251
DELISTED
Immatics N.V. Warrants
IMTXW
$47K ﹤0.01%
16,406
-8,194
-33% -$23.5K
HIGA.WS
252
DELISTED
H.I.G. Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HIGA.WS
$44K ﹤0.01%
+33,333
New +$45.7K
TOIIW
253
The Oncology Institute Warrant
TOIIW
$4.45M
$43K ﹤0.01%
+22,000
New +$37.9K
SEAH.WS
254
DELISTED
Sports Entertainment Acquisition Corp. Redeemable Warrants, each whole Warrant exercisable for one s
SEAH.WS
$34K ﹤0.01%
+24,999
New +$32.7K
GSMGW
255
DELISTED
Cheer Holding, Inc. Warrant expiring 2/13/2025
GSMGW
$32K ﹤0.01%
400,000
– –
PCPL.WS
256
DELISTED
CC Neuberger Principal Holdings I Warrants, each whole warrant exercisable for one Class A ordinary
PCPL.WS
$31K ﹤0.01%
13,243
-323,773
-96% -$556K
TLMDW
257
DELISTED
SOC Telemed, Inc. Warrants
TLMDW
$30K ﹤0.01%
+24,700
New +$32.8K
BRMK.WS
258
DELISTED
Broadmark Realty Capital Inc. Warrants, each exercisable for one fourth (1/4th) share of Common Stock at an exercise price of $2.875 per quarter share
BRMK.WS
$25K ﹤0.01%
91,312
– –
OACB.WS
259
DELISTED
Oaktree Acquisition Corp. II Warrants, each whole warrant exercisable for one Class A ordinary share
OACB.WS
$24K ﹤0.01%
+12,499
New +$17.7K
HYZNW
260
DELISTED
Hyzon Motors Inc. Warrants
HYZNW
$22K ﹤0.01%
+11,837
New +$20.5K
STRDW
261
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$13K ﹤0.01%
91,380
– –
ADN
262
DELISTED
Advent Technologies
ADN
– –
-4,091
Closed -$1.27M
ARKO icon
263
ARKO Corp
ARKO
$903M
– –
-139,562
Closed -$1.4M
ASLE icon
264
AerSale
ASLE
$291M
– –
-495,346
Closed -$5.07M
BFLY icon
265
Butterfly Network
BFLY
$2.14B
– –
-710,496
Closed -$6.97M
CHPT icon
266
ChargePoint
CHPT
$142M
– –
-500
Closed -$156K
CLOV icon
267
Clover Health Investments
CLOV
$2.29B
– –
-41,100
Closed -$512K
CURI icon
268
CuriosityStream
CURI
$143M
– –
-747,533
Closed -$7.45M
EOSE icon
269
Eos Energy Enterprises
EOSE
$1.31B
– –
-329,845
Closed -$3.3M
GILD icon
270
CALL
Gilead Sciences
GILD
$163B
– –
-32,600
Closed -$2.06M
KXIN icon
271
Kaixin Holdings
KXIN
$8.93M
– –
0
– -$12K
LAZR
272
DELISTED
Luminar Technologies
LAZR
– –
-2,694
Closed -$462K
MVST icon
273
Microvast
MVST
$267M
– –
-772,904
Closed -$7.87M
DFNS
274
T3 Defense Inc
DFNS
$85.9M
– –
-212
Closed -$1.48M
DFNSW
275
T3 Defense Inc Warrants
DFNSW
$1.6M
– –
-151,487
Closed -$27K
9 10
11
12 13

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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.