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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
+0.82%
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
$340M
AUM Growth
+$49.8M
Cap. Flow
-$177M
Cap. Flow %
-52.01%
Top 10 Hldgs %
61.76%
Holding
95
New
21
Increased
1
Reduced
2
Closed
11

Top Buys

Rank Stock Value
1
THCBU
Tuscan Holdings Corp. Unit
THCBU
+$10.2M
2
HCACU
Hennessy Capital Acquisition Corp. IV Unit
HCACU
+$4.02M
3
MNCLU
Monocle Acquisition Corporation Units
MNCLU
+$2.51M
4
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$2.47M
5
HOFV
Hall of Fame Resort & Entertainment Co
HOFV
+$1.1M

Top Sells

Rank Stock Value
1
TMCXU
Trinity Merger Corp. Unit
TMCXU
+$3.94M
2
GPAQU
Gordon Pointe Acquisition Corp. Unit
GPAQU
+$3.71M
3
CCC.U
Churchill Capital Corp
CCC.U
+$1.51M
4
TBRGU
Thunder Bridge Acquisition, Ltd. Unit
TBRGU
+$1.02M
5
NVDA icon
NVIDIA
NVDA
+$935K

Sector Composition

Rank Sector Weight
1 Real Estate 0.73%
2 Communication Services 0.49%
3 Technology 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMCIU
26
DELISTED
AMCI Acquisition Corp Unit
AMCIU
$1.21M 0.36%
120,000
– –
HOFV
27
DELISTED
Hall of Fame Resort & Entertainment Co
HOFV
$1.1M 0.32%
+6,992
New +$1.1M
LVOXU
28
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
$997K 0.29%
+100,000
New +$999K
TWNKW
29
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$977K 0.29%
745,489
– –
KBR icon
30
CALL
KBR
KBR
$4.68B
$955K 0.28%
+50,000
New +$903K
MU icon
31
PUT
Micron Technology
MU
$1.04T
$827K 0.24%
+20,000
New +$773K
ARYAU
32
DELISTED
ARYA Sciences Acquisiton Corp. Unit
ARYAU
$517K 0.15%
50,000
– –
RMG.U
33
DELISTED
RMG Acquisition Corp.
RMG.U
$501K 0.15%
+50,000
New +$499K
TRNE.U
34
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$501K 0.15%
+50,000
New +$501K
SHLL.U
35
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
$500K 0.15%
+50,000
New +$500K
TSG
36
DELISTED
The Stars Group Inc.
TSG
$315K 0.09%
18,000
– –
AMC icon
37
AMC Entertainment Holdings
AMC
$2.03B
$257K 0.08%
1,732
– –
GMHIU
38
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$255K 0.07%
+25,000
New +$255K
CCC.WS
39
DELISTED
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
$249K 0.07%
+75,000
New +$151K
IVR icon
40
PUT
Invesco Mortgage Capital
IVR
$776M
$237K 0.07%
1,500
– –
USWSW
41
DELISTED
U.S. Well Services, Inc. Warrants
USWSW
$186K 0.05%
184,370
– –
BRACR
42
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
$152K 0.04%
433,300
– –
BRACW
43
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
$130K 0.04%
433,300
– –
TMCXW
44
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$126K 0.04%
+381,641
New +$146K
GPAQW
45
DELISTED
Gordon Pointe Acquisition Corp. Warrant
GPAQW
$108K 0.03%
+358,250
New +$145K
STRDW
46
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$76K 0.02%
91,380
-5,519
-6% -$4.21K
MMDMR
47
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
$74K 0.02%
278,831
-95,108
-25% -$26.2K
TBRGW
48
DELISTED
Thunder Bridge Acquisition, Ltd. Warrant
TBRGW
$71K 0.02%
+100,670
New +$44.6K
CMSSR
49
DELISTED
CM Seven Star Acquisition Corporation Right
CMSSR
$66K 0.02%
207,761
– –
NESRW
50
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$59K 0.02%
51,819
– –
1
2
3

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LBA
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Castle Creek Arbitrage's Q1 2019 Portfolio in Review

As of Q1 2019, Castle Creek Arbitrage held 95 positions worth $340M, up 17% from $290M the previous quarter. Its ten largest holdings account for 62% of the portfolio.

Castle Creek Arbitrage withdrew a net $177M in Q1 2019, closing 11 positions and reducing 2 holdings. Its most notable exit was Trinity Merger Corp. Unit, an estimated $3.94M position sold in full.

By sector, the portfolio is most concentrated in Real Estate at 0.73% of assets, followed by Communication Services and Technology.

Against the trend, Castle Creek Arbitrage opened a new position in Tuscan Holdings Corp. Unit worth $10.4M.

  • Castle Creek Arbitrage's largest Q1 2019 buy was Tuscan Holdings Corp. Unit: 995,000 shares worth $10.4M.
  • Castle Creek Arbitrage added most to Schultze Special Purpose Acquisition Corp. Unit in Q1 2019, an estimated $902K increase.
  • Castle Creek Arbitrage's biggest Q1 2019 reduction was Modern Media Acquisition Corp. Right, cutting an estimated $26.2K.
  • Castle Creek Arbitrage fully exited Trinity Merger Corp. Unit in Q1 2019, selling an estimated $3.94M.
  • Castle Creek Arbitrage's ten largest holdings make up 62% of its $340M portfolio in Q1 2019.
  • Castle Creek Arbitrage opened 21 new positions and closed 11 in Q1 2019.
  • Castle Creek Arbitrage's portfolio value rose 17% quarter-over-quarter to $340M.

Based on Castle Creek Arbitrage's 13F filing for Q1 2019, filed 12 Apr 2019.