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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
-0.42%
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
$290M
AUM Growth
-$130M
Cap. Flow
-$298M
Cap. Flow %
-102.63%
Top 10 Hldgs %
65.23%
Holding
87
New
18
Increased
1
Reduced
13
Closed
16

Top Buys

Rank Stock Value
1
GRAF.U
Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant
GRAF.U
+$5.73M
2
SAMAU
Schultze Special Purpose Acquisition Corp. Unit
SAMAU
+$4.93M
3
BWMCU
Boxwood Merger Corp. Unit
BWMCU
+$2.99M
4
DDMXU
DD3 Acquisition Corp. Units
DDMXU
+$1.93M
5
CFFAU
CF Finance Acquisition Corp. Unit
CFFAU
+$1.9M

Top Sells

Rank Stock Value
1
CMSSU
CM Seven Star Acquisition Corporation Unit
CMSSU
+$3.26M
2
USWS
U.S. Well Services, Inc. Class A Common Stock
USWS
+$3M
3
VEACU
Vantage Energy Acquisition Corp. Unit
VEACU
+$2.94M
4
BBCP icon
Concrete Pumping Holdings
BBCP
+$1.19M
5
LFACU
LF Capital Acquistion Corp. Unit
LFACU
+$863K

Sector Composition

Rank Sector Weight
1 Technology 0.32%
2 Communication Services 0.18%
3 Energy 0%
4 Industrials 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TWNKW
26
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$690K 0.24%
745,489
-833,166
-53% -$834K
ARYAU
27
DELISTED
ARYA Sciences Acquisiton Corp. Unit
ARYAU
$516K 0.18%
+50,000
New +$515K
TSG
28
DELISTED
The Stars Group Inc.
TSG
$297K 0.1%
+18,000
New +$352K
MFAC.U
29
DELISTED
Megalith Financial Acquisition Corp. Units, each consisting of one share of Class A Common Stock, an
MFAC.U
$241K 0.08%
24,000
-1,000
-4% -$10.1K
IVR icon
30
PUT
Invesco Mortgage Capital
IVR
$776M
$217K 0.07%
+1,500
New +$227K
AMC icon
31
AMC Entertainment Holdings
AMC
$2.03B
$213K 0.07%
1,732
+300
+21% +$49.1K
BRACW
32
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
$134K 0.05%
433,300
-266,700
-38% -$84.1K
BBCPW
33
DELISTED
Concrete Pumping Holdings, Inc. Warrant
BBCPW
$134K 0.05%
+173,521
New +$123K
BRACR
34
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
$123K 0.04%
433,300
– –
USWSW
35
DELISTED
U.S. Well Services, Inc. Warrants
USWSW
$109K 0.04%
+184,370
New +$116K
MMDMR
36
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
$82K 0.03%
373,939
-73,261
-16% -$21.6K
CMSSR
37
DELISTED
CM Seven Star Acquisition Corporation Right
CMSSR
$79K 0.03%
+207,761
New +$82.2K
STRDW
38
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$58K 0.02%
96,899
-33,100
-25% -$42.7K
NESRW
39
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$57K 0.02%
51,819
– –
ROSEW
40
DELISTED
Rosehill Resources Inc.
ROSEW
$51K 0.02%
150,271
-4,629
-3% -$3.17K
MMDMW
41
DELISTED
Modern Media Acquisition Corp. Warrant
MMDMW
$43K 0.01%
171,462
-28,537
-14% -$11.1K
VEACW
42
DELISTED
Vantage Energy Acquisition Corp.
VEACW
$35K 0.01%
+74,864
New +$63.9K
CMSSW
43
DELISTED
CM Seven Star Acquisition Corporation Warrant
CMSSW
$23K 0.01%
+103,880
New +$33.3K
ESTRW
44
DELISTED
Estre Ambiental, Inc
ESTRW
$21K 0.01%
311,850
-138,150
-31% -$23K
AAPL icon
45
PUT
Apple
AAPL
$4.89T
– –
-80,000
Closed -$4.51M
BBCP icon
46
Concrete Pumping Holdings
BBCP
$531M
– –
-117,021
Closed -$1.19M
NBR icon
47
Nabors Industries
NBR
$1.23B
– –
-994
Closed -$306K
STLA icon
48
PUT
Stellantis
STLA
$16.5B
– –
-70,000
Closed -$1.23M
WBD icon
49
Warner Bros
WBD
$64.6B
– –
-9,896
Closed -$317K
USWS
50
DELISTED
U.S. Well Services, Inc. Class A Common Stock
USWS
– –
-14,276
Closed -$3M
1
2
3

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Castle Creek Arbitrage's Q4 2018 Portfolio in Review

As of Q4 2018, Castle Creek Arbitrage held 87 positions worth $290M, down 31% from $421M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Castle Creek Arbitrage withdrew a net $298M in Q4 2018, closing 16 positions and reducing 13 holdings. Its most notable exit was CM Seven Star Acquisition Corporation Unit, an estimated $3.26M position sold in full.

By sector, the portfolio is most concentrated in Technology at 0.32% of assets, followed by Communication Services and Energy.

Against the trend, Castle Creek Arbitrage opened a new position in Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant worth $5.73M.

  • Castle Creek Arbitrage's largest Q4 2018 buy was Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant: 573,000 shares worth $5.73M.
  • Castle Creek Arbitrage added most to AMC Entertainment Holdings in Q4 2018, an estimated $49.1K increase.
  • Castle Creek Arbitrage's biggest Q4 2018 reduction was LF Capital Acquistion Corp. Unit, cutting an estimated $863K.
  • Castle Creek Arbitrage fully exited CM Seven Star Acquisition Corporation Unit in Q4 2018, selling an estimated $3.26M.
  • Castle Creek Arbitrage's ten largest holdings make up 65% of its $290M portfolio in Q4 2018.
  • Castle Creek Arbitrage opened 18 new positions and closed 16 in Q4 2018.
  • Castle Creek Arbitrage's portfolio value fell 31% quarter-over-quarter to $290M.

Based on Castle Creek Arbitrage's 13F filing for Q4 2018, filed 24 Jan 2019.