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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
+0.35%
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
$397M
AUM Growth
+$12.8M
Cap. Flow
-$248M
Cap. Flow %
-62.65%
Top 10 Hldgs %
55.18%
Holding
101
New
15
Increased
1
Reduced
2
Closed
13

Top Buys

Rank Stock Value
1
NFINU
Netfin Acquisition Corp. Unit
NFINU
+$10.2M
2
SSPKU
Silver Spike Acquisition Corp. Units
SSPKU
+$5.01M
3
THCAU
Tuscan Holdings Corp. II Unit
THCAU
+$3.87M
4
TMCXU
Trinity Merger Corp. Unit
TMCXU
+$2.54M
5
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$2.4M

Top Sells

Rank Stock Value
1
NKLA
Nikola Corporation Common Stock
NKLA
+$1.71M
2
PAACU
Proficient Alpha Acquisition Corp. Unit
PAACU
+$1.27M
3
LACQ
Leisure Acquisition Corp.
LACQ
+$810K
4
TKKSU
TKK Symphony Acquisition Corporation Unit
TKKSU
+$775K
5
KERNW
Akerna Corp Warrant
KERNW
+$239K

Sector Composition

Rank Sector Weight
1 Real Estate 0.39%
2 Energy 0.32%
3 Communication Services 0.07%
4 Consumer Discretionary 0.01%
5 Healthcare 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FTACU
26
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
$1.28M 0.32%
120,000
– –
CCH.U
27
DELISTED
Collier Creek Holdings Units, each consisting of one Class A ordinary share, $0.0001 par value, and
CCH.U
$1.28M 0.32%
120,000
– –
HPK icon
28
HighPeak Energy
HPK
$967M
$1.26M 0.32%
123,456
– –
TWNKW
29
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$1.26M 0.32%
737,089
– –
AMCIU
30
DELISTED
AMCI Acquisition Corp Unit
AMCIU
$1.24M 0.31%
120,000
– –
LVOXU
31
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
$1.07M 0.27%
104,900
– –
NPAUU
32
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
$1.01M 0.25%
+100,000
New +$1M
SCPE.U
33
DELISTED
SC Health Corporation Units, each consisting of one Class A ordinary share, $0.0001 par value, and o
SCPE.U
$983K 0.25%
+95,000
New +$978K
IYR icon
34
PUT
iShares US Real Estate ETF
IYR
$4.59B
$935K 0.24%
+10,000
New +$911K
TRNE.U
35
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$610K 0.15%
59,000
– –
ARYAU
36
DELISTED
ARYA Sciences Acquisiton Corp. Unit
ARYAU
$547K 0.14%
50,000
– –
RMG.U
37
DELISTED
RMG Acquisition Corp.
RMG.U
$505K 0.13%
50,000
– –
SHLL.U
38
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
$504K 0.13%
50,000
– –
OAC.U
39
DELISTED
Oaktree Acquisition Corp.
OAC.U
$457K 0.12%
+45,000
New +$457K
CCC.WS
40
DELISTED
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
$442K 0.11%
75,000
– –
TSG
41
DELISTED
The Stars Group Inc.
TSG
$270K 0.07%
18,000
– –
GMHIU
42
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$265K 0.07%
25,000
– –
VTIQW
43
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$160K 0.04%
319,050
– –
PACQW
44
DELISTED
Pure Acquisition Corp. Warrant
PACQW
$141K 0.04%
136,728
– –
SONGW
45
DELISTED
Akazoo SA Warrant
SONGW
$132K 0.03%
+171,462
New +$91.2K
GPAQW
46
DELISTED
Gordon Pointe Acquisition Corp. Warrant
GPAQW
$110K 0.03%
358,250
– –
HEXO
47
CALL
DELISTED
HEXO Corp. Common Shares
HEXO
$99K 0.03%
+446
New +$111K
TMCXW
48
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$71K 0.02%
56,271
-325,370
-85% -$185K
LACQW
49
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$67K 0.02%
89,881
– –
BROGR
50
DELISTED
Twelve Seas Investment Company Rights
BROGR
$59K 0.01%
169,470
– –
1
2
3

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Castle Creek Arbitrage's Q3 2019 Portfolio in Review

As of Q3 2019, Castle Creek Arbitrage held 101 positions worth $397M, up 3.3% from $384M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Castle Creek Arbitrage withdrew a net $248M in Q3 2019, closing 13 positions and reducing 2 holdings. Its most notable exit was Nikola Corporation Common Stock, an estimated $1.71M position sold in full.

By sector, the portfolio is most concentrated in Real Estate at 0.39% of assets, up from 0.39% a quarter earlier, followed by Energy and Communication Services.

Against the trend, Castle Creek Arbitrage opened a new position in Netfin Acquisition Corp. Unit worth $10.2M.

  • Castle Creek Arbitrage's largest Q3 2019 buy was Netfin Acquisition Corp. Unit: 1,015,000 shares worth $10.2M.
  • Castle Creek Arbitrage added most to Broadmark Realty Capital Inc. Common Stock in Q3 2019, an estimated $60.8K increase.
  • Castle Creek Arbitrage's biggest Q3 2019 reduction was TKK Symphony Acquisition Corporation Unit, cutting an estimated $775K.
  • Castle Creek Arbitrage fully exited Nikola Corporation Common Stock in Q3 2019, selling an estimated $1.71M.
  • Castle Creek Arbitrage's ten largest holdings make up 55% of its $397M portfolio in Q3 2019.
  • Castle Creek Arbitrage opened 15 new positions and closed 13 in Q3 2019.
  • Castle Creek Arbitrage's portfolio value rose 3.3% quarter-over-quarter to $397M.

Based on Castle Creek Arbitrage's 13F filing for Q3 2019, filed 4 Nov 2019.