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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
RMG.WS
326
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
– –
-16,666
Closed -$35K
PIC.WS
327
DELISTED
Pivotal Investment Corporation II Redeemable Warrants, each whole warrant exercisable for shares of
PIC.WS
– –
-16,166
Closed -$60K
SAMAW
328
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
– –
-585,000
Closed -$304K
TRNE.WS
329
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
– –
-29,500
Closed -$77K
LGC.WS
330
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
– –
-120,635
Closed -$61K
CFFAW
331
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
– –
-627,614
Closed -$615K
NFINW
332
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
– –
-1,176,566
Closed -$1.54M
HCCOW
333
DELISTED
Healthcare Merger Corp. Warrants
HCCOW
– –
-24,700
Closed -$44K
ARYBW
334
DELISTED
ARYA Sciences Acquisition Corp II Warrant
ARYBW
– –
-49,052
Closed -$89K
FTACW
335
DELISTED
FinTech Acquisition Corp. III Warrant
FTACW
– –
-185,000
Closed -$281K
SAQNW
336
DELISTED
Software Acquisition Group Inc. Warrant
SAQNW
– –
-300,000
Closed -$285K
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.