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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
+0.12%
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
$421M
AUM Growth
-$512M
Cap. Flow
-$532M
Cap. Flow %
-126.45%
Top 10 Hldgs %
69.09%
Holding
83
New
11
Increased
2
Reduced
19
Closed
9

Top Buys

Rank Stock Value
1
TKKSU
TKK Symphony Acquisition Corporation Unit
TKKSU
+$4.79M
2
USWS
U.S. Well Services, Inc. Class A Common Stock
USWS
+$3M
3
FMCIU
Forum Merger II Corporation Unit
FMCIU
+$1.62M
4
CCC.U
Churchill Capital Corp
CCC.U
+$1.52M
5
BBCP icon
Concrete Pumping Holdings
BBCP
+$1.18M

Top Sells

Rank Stock Value
1
MPACU
Matlin & Partners Acquisition Corporation Units
MPACU
+$3.67M
2
INDUU
Industrea Acquisition Corp. Unit
INDUU
+$3.12M
3
GPAQU
Gordon Pointe Acquisition Corp. Unit
GPAQU
+$1.48M
4
BROGU
Twelve Seas Investment Company Units
BROGU
+$1.44M
5
VTIQU
VectoIQ Acquisition Corp. Unit
VTIQU
+$1.32M

Sector Composition

Rank Sector Weight
1 Energy 0.79%
2 Industrials 0.28%
3 Communication Services 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBR icon
26
Nabors Industries
NBR
$1.23B
$306K 0.07%
994
– –
AMC icon
27
AMC Entertainment Holdings
AMC
$2.03B
$294K 0.07%
1,432
-568
-28% -$103K
MFAC.U
28
DELISTED
Megalith Financial Acquisition Corp. Units, each consisting of one share of Class A Common Stock, an
MFAC.U
$252K 0.06%
+25,000
New +$251K
STRDW
29
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$221K 0.05%
+129,999
New +$236K
MPACW
30
DELISTED
Matlin & Partners Acquisition Corporation
MPACW
$199K 0.05%
+265,100
New +$200K
MMDMR
31
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
$195K 0.05%
447,200
– –
AKRX
32
CALL
DELISTED
Akorn Inc
AKRX
$182K 0.04%
14,000
– –
ROSEW
33
DELISTED
Rosehill Resources Inc.
ROSEW
$171K 0.04%
154,900
-109,800
-41% -$142K
INDUW
34
DELISTED
Industrea Acquisition Corp. Warrant
INDUW
$171K 0.04%
173,521
+117,021
+207% +$91.1K
BRACR
35
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
$160K 0.04%
433,300
-266,700
-38% -$98K
ESTRW
36
DELISTED
Estre Ambiental, Inc
ESTRW
$140K 0.03%
450,000
– –
MMDMW
37
DELISTED
Modern Media Acquisition Corp. Warrant
MMDMW
$115K 0.03%
199,999
-75,000
-27% -$48.3K
MGY.WS
38
DELISTED
Magnolia Oil & Gas Corporation
MGY.WS
$102K 0.02%
+21,960
New +$85.5K
NESRW
39
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$98K 0.02%
51,819
-31,286
-38% -$52.9K
AHPAW
40
DELISTED
Avista Healthcare Public Acquisition Corp. Warrants
AHPAW
$55K 0.01%
362,797
+100,000
+38% +$28.9K
GSHTW
41
DELISTED
Gores Holdings II, Inc. Warrants
GSHTW
$44K 0.01%
20,715
-12,377
-37% -$23.9K
BHACR
42
DELISTED
Barington/Hilco Acquisition Corp. Rights
BHACR
$20K ﹤0.01%
121,896
– –
BHACW
43
DELISTED
Barington/Hilco Acquisition Corp. Warrants
BHACW
$10K ﹤0.01%
168,689
– –
GLD icon
44
CALL
SPDR Gold Trust
GLD
$131B
– –
-200,000
Closed -$23.7M
HCCHU
45
DELISTED
HL Acquisitions Corp. Unit
HCCHU
– –
-100,000
Closed -$1.01M
SCACW
46
DELISTED
Saban Capital Acquisition Corp. Warrants
SCACW
– –
-24,949
Closed -$31K
INDUU
47
DELISTED
Industrea Acquisition Corp. Unit
INDUU
– –
-300,098
Closed -$3.12M
SMPLW
48
DELISTED
The Simply Good Foods Company Warrant
SMPLW
– –
-122,910
Closed -$510K
OSPRW
49
DELISTED
Osprey Energy Acquisition Corp. Warrant
OSPRW
– –
-129,999
Closed -$208K
TPGE.WS
50
DELISTED
TPG Pace Energy Holdings Corp.
TPGE.WS
– –
-35,221
Closed -$97K
1
2
3

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Castle Creek Arbitrage's Q3 2018 Portfolio in Review

As of Q3 2018, Castle Creek Arbitrage held 83 positions worth $421M, down 55% from $932M the previous quarter. Its ten largest holdings account for 69% of the portfolio.

Castle Creek Arbitrage withdrew a net $532M in Q3 2018, closing 9 positions and reducing 19 holdings. Its most notable exit was Matlin & Partners Acquisition Corporation Units, an estimated $3.67M position sold in full.

By sector, the portfolio is most concentrated in Energy at 0.79% of assets, up from 0.03% a quarter earlier, followed by Industrials and Communication Services.

Against the trend, Castle Creek Arbitrage opened a new position in TKK Symphony Acquisition Corporation Unit worth $4.8M.

  • Castle Creek Arbitrage's largest Q3 2018 buy was TKK Symphony Acquisition Corporation Unit: 475,000 shares worth $4.8M.
  • Castle Creek Arbitrage added most to Industrea Acquisition Corp. Warrant in Q3 2018, an estimated $91.1K increase.
  • Castle Creek Arbitrage's biggest Q3 2018 reduction was Gordon Pointe Acquisition Corp. Unit, cutting an estimated $1.48M.
  • Castle Creek Arbitrage fully exited Matlin & Partners Acquisition Corporation Units in Q3 2018, selling an estimated $3.67M.
  • Castle Creek Arbitrage's ten largest holdings make up 69% of its $421M portfolio in Q3 2018.
  • Castle Creek Arbitrage opened 11 new positions and closed 9 in Q3 2018.
  • Castle Creek Arbitrage's portfolio value fell 55% quarter-over-quarter to $421M.

Based on Castle Creek Arbitrage's 13F filing for Q3 2018, filed 22 Oct 2018.