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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
+0.56%
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
$384M
AUM Growth
+$43.5M
Cap. Flow
-$245M
Cap. Flow %
-63.76%
Top 10 Hldgs %
60.66%
Holding
103
New
14
Increased
2
Reduced
3
Closed
16

Top Buys

Rank Stock Value
1
BRPM.U
B. Riley Principal Merger Corp.
BRPM.U
+$10.6M
2
GIX.U
GigCapital2, Inc.
GIX.U
+$2.97M
3
NKLA
Nikola Corporation Common Stock
NKLA
+$1.7M
4
PAACU
Proficient Alpha Acquisition Corp. Unit
PAACU
+$1.27M
5
HPK icon
HighPeak Energy
HPK
+$1.25M

Top Sells

Rank Stock Value
1
VTIQU
VectoIQ Acquisition Corp. Unit
VTIQU
+$3.33M
2
PACQU
Pure Acquisition Corp. Unit
PACQU
+$2.89M
3
LACQU
Leisure Acquisition Corp. Unit
LACQU
+$1.84M
4
BROGU
Twelve Seas Investment Company Units
BROGU
+$1.77M
5
THCBU
Tuscan Holdings Corp. Unit
THCBU
+$1.23M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.46%
2 Real Estate 0.39%
3 Energy 0.33%
4 Healthcare 0.21%
5 Communication Services 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMCIU
26
DELISTED
AMCI Acquisition Corp Unit
AMCIU
$1.22M 0.32%
120,000
– –
LVOXU
27
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
$1.05M 0.27%
104,900
+4,900
+5% +$49.3K
LACQ
28
DELISTED
Leisure Acquisition Corp.
LACQ
$810K 0.21%
+79,762
New +$805K
TRNE.U
29
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$594K 0.15%
59,000
+9,000
+18% +$90.7K
ARYAU
30
DELISTED
ARYA Sciences Acquisiton Corp. Unit
ARYAU
$535K 0.14%
50,000
– –
RMG.U
31
DELISTED
RMG Acquisition Corp.
RMG.U
$502K 0.13%
50,000
– –
SHLL.U
32
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
$501K 0.13%
50,000
– –
CCC.WS
33
DELISTED
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
$356K 0.09%
75,000
– –
TSG
34
DELISTED
The Stars Group Inc.
TSG
$307K 0.08%
18,000
– –
GMHIU
35
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$261K 0.07%
25,000
– –
KERNW
36
DELISTED
Akerna Corp Warrant
KERNW
$239K 0.06%
+81,032
New +$229K
TBRGW
37
DELISTED
Thunder Bridge Acquisition, Ltd. Warrant
TBRGW
$201K 0.05%
100,670
– –
BRACW
38
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
$177K 0.05%
433,300
– –
AMC icon
39
AMC Entertainment Holdings
AMC
$2.03B
$162K 0.04%
1,732
– –
BRACR
40
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
$160K 0.04%
433,300
– –
VTIQW
41
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$152K 0.04%
+319,050
New +$168K
PACQW
42
DELISTED
Pure Acquisition Corp. Warrant
PACQW
$148K 0.04%
+136,728
New +$150K
TMCXW
43
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$122K 0.03%
381,641
– –
GPAQW
44
DELISTED
Gordon Pointe Acquisition Corp. Warrant
GPAQW
$100K 0.03%
358,250
– –
STRDW
45
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$91K 0.02%
91,380
– –
MMDMR
46
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
$75K 0.02%
278,831
– –
ROSEW
47
DELISTED
Rosehill Resources Inc.
ROSEW
$71K 0.02%
150,271
– –
LACQW
48
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$51K 0.01%
+89,881
New +$53.4K
BROGR
49
DELISTED
Twelve Seas Investment Company Rights
BROGR
$49K 0.01%
+169,470
New +$48.1K
KXIN icon
50
Kaixin Holdings
KXIN
$8.95M
– –
0
– –
1
2
3

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PAM
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PC
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GCMG
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AGP
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KI
Kensington Investments Amsterdam, Netherlands $390M AUM 222.61% 1-Year Est. Return
MWM
Madison Wealth Management Cincinnati, Ohio $476M AUM 18.78% 1-Year Est. Return
LBA
Lowell Blake & Associates Boston, Massachusetts $355M AUM 33.69% 1-Year Est. Return
CRG
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Castle Creek Arbitrage's Q2 2019 Portfolio in Review

As of Q2 2019, Castle Creek Arbitrage held 103 positions worth $384M, up 13% from $340M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Castle Creek Arbitrage withdrew a net $245M in Q2 2019, closing 16 positions and reducing 3 holdings. Its most notable exit was VectoIQ Acquisition Corp. Unit, an estimated $3.33M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.46% of assets, followed by Real Estate and Energy.

Against the trend, Castle Creek Arbitrage opened a new position in B. Riley Principal Merger Corp. worth $10.6M.

  • Castle Creek Arbitrage's largest Q2 2019 buy was B. Riley Principal Merger Corp.: 1,060,000 shares worth $10.6M.
  • Castle Creek Arbitrage added most to Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of in Q2 2019, an estimated $90.7K increase.
  • Castle Creek Arbitrage's biggest Q2 2019 reduction was Tuscan Holdings Corp. Unit, cutting an estimated $1.23M.
  • Castle Creek Arbitrage fully exited VectoIQ Acquisition Corp. Unit in Q2 2019, selling an estimated $3.33M.
  • Castle Creek Arbitrage's ten largest holdings make up 61% of its $384M portfolio in Q2 2019.
  • Castle Creek Arbitrage opened 14 new positions and closed 16 in Q2 2019.
  • Castle Creek Arbitrage's portfolio value rose 13% quarter-over-quarter to $384M.

Based on Castle Creek Arbitrage's 13F filing for Q2 2019, filed 23 Jul 2019.