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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
ASLEW
301
DELISTED
AerSale Corp Warrants
ASLEW
– –
-203,000
Closed -$99K
BOWXU
302
DELISTED
BowX Acquisition Corp. Unit
BOWXU
– –
-550,000
Closed -$5.64M
VIHAU
303
DELISTED
VPC Impact Acquisition Holdings Unit
VIHAU
– –
-450,000
Closed -$4.5M
TWCTU
304
DELISTED
TWC Tech Holdings II Corp. Unit
TWCTU
– –
-400,200
Closed -$4.05M
VACQU
305
DELISTED
Vector Acquisition Corporation Unit
VACQU
– –
-250,000
Closed -$2.53M
NSH.U
306
DELISTED
NavSight Holdings, Inc. Units, each consisting of one share of Class A Common Stock and one-half of
NSH.U
– –
-300,000
Closed -$3.02M
SAIIU
307
DELISTED
Software Acquisition Group Inc. II Unit
SAIIU
– –
-575,000
Closed -$5.72M
RTP.U
308
DELISTED
Reinvent Technology Partners Units, each consisting of one Class A ordinary share and one-fourth of
RTP.U
– –
-120,410
Closed -$1.38M
CMLFU
309
DELISTED
CM Life Sciences, Inc. Unit
CMLFU
– –
-751,100
Closed -$7.85M
ACND.U
310
DELISTED
Ascendant Digital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-hal
ACND.U
– –
-25,001
Closed -$263K
ASPL.U
311
DELISTED
Aspirational Consumer Lifestyle Corp. Units, each consisting of one Class A ordinary share and one-t
ASPL.U
– –
-500,000
Closed -$5M
CLII.U
312
DELISTED
Climate Change Crisis Real Impact I Acquisition Corporation Units, each consisting of one share of C
CLII.U
– –
-25,000
Closed -$251K
FIIIU
313
DELISTED
Forum Merger III Corporation Units
FIIIU
– –
-500,000
Closed -$5.22M
CAPAU
314
DELISTED
HighCape Capital Acquisition Corp. Unit
CAPAU
– –
-200,000
Closed -$2.02M
DFHTU
315
DELISTED
Deerfield Healthcare Technology Acquisitions Corp. Unit
DFHTU
– –
-103,261
Closed -$1.09M
GIK.WS
316
DELISTED
GigCapital3, Inc. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise
GIK.WS
– –
-93,747
Closed -$59K
NGA.U
317
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
– –
-197,569
Closed -$1.97M
VSPRU
318
DELISTED
Vesper Healthcare Acquisition Corp. Unit
VSPRU
– –
-40,000
Closed -$410K
BFT.U
319
DELISTED
Foley Trasimene Acquisition Corp. II Units, each consisting of one share of Class A common stock, an
BFT.U
– –
-300,000
Closed -$3.06M
CIIC
320
DELISTED
CIIG Merger Corp. - Class A Common Stock
CIIC
– –
-463,036
Closed -$4.64M
ROCH
321
DELISTED
Roth CH Acquisition I Co. Common Stock
ROCH
– –
-700,524
Closed -$6.97M
GHIVW
322
DELISTED
Gores Holdings IV, Inc. Warrant
GHIVW
– –
-110,193
Closed -$183K
UTZ.WS
323
DELISTED
Utz Brands, Inc. Warrants, each whole warrant exercisable for one Class A common stock at an exercis
UTZ.WS
– –
-25,000
Closed -$162K
LOAK.WS
324
DELISTED
Live Oak Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LOAK.WS
– –
-125,001
Closed -$123K
DMYT.WS
325
DELISTED
dMY Technology Group, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Clas
DMYT.WS
– –
-62,900
Closed -$189K
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.