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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
SPRU icon
276
Spruce Power Holding Corp
SPRU
$35.8M
– –
-3,993
Closed -$368K
UWMC icon
277
UWM Holdings
UWMC
$631M
– –
-436,569
Closed -$4.5M
DM
278
DELISTED
Desktop Metal, Inc.
DM
– –
-2,006
Closed -$217K
DNMR
279
DELISTED
Danimer Scientific, Inc.
DNMR
– –
-6,188
Closed -$2.5M
CERE
280
DELISTED
Cerevel Therapeutics Holdings, Inc. Common Stock
CERE
– –
-147,156
Closed -$1.54M
FSR
281
DELISTED
Fisker Inc.
FSR
– –
-10,000
Closed -$144K
GOEV
282
DELISTED
Canoo Inc. Class A Common Stock
GOEV
– –
-38
Closed -$193K
BRLIR
283
DELISTED
Brilliant Acquisition Corporation Rights
BRLIR
– –
-151,487
Closed -$31K
CLVR
284
DELISTED
Clever Leaves Holdings Inc. Common Shares
CLVR
– –
-6,425
Closed -$1.96M
APPH
285
DELISTED
AppHarvest, Inc. Common Stock
APPH
– –
-115,560
Closed -$1.36M
SFT
286
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
– –
-17,807
Closed -$2.1M
PAYA
287
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
– –
-303,467
Closed -$3.13M
TWND.U
288
DELISTED
Tailwind Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one warrant
TWND.U
– –
-1,600,000
Closed -$16M
CRHC.U
289
DELISTED
Cohn Robbins Holdings Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
CRHC.U
– –
-850,000
Closed -$8.58M
PMVC.U
290
DELISTED
PMV Consumer Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
PMVC.U
– –
-275,000
Closed -$2.75M
RMO
291
DELISTED
Romeo Power, Inc.
RMO
– –
-1,034,436
Closed -$11M
NMMCU
292
DELISTED
North Mountain Merger Corp. Unit
NMMCU
– –
-200,000
Closed -$2.04M
EQD.U
293
DELISTED
Equity Distribution Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-third of one redeemable warrant
EQD.U
– –
-125,000
Closed -$1.28M
FST.U
294
DELISTED
FAST Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
FST.U
– –
-518,080
Closed -$5.17M
PRPB.U
295
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
– –
-1,035,000
Closed -$10.7M
OACB.U
296
DELISTED
Oaktree Acquisition Corp. II Units, each consisting of one Class A ordinary share, and one-fourth of
OACB.U
– –
-50,000
Closed -$514K
LCAPU
297
DELISTED
Lionheart Acquisition Corp. II Unit
LCAPU
– –
-1,116,749
Closed -$11.1M
TLMD
298
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
– –
-28,400
Closed -$288K
BTAQU
299
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
– –
-2,800,000
Closed -$27.9M
TRIT
300
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
– –
-879,245
Closed -$9.12M
10 11
12
13 14

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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.