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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
+0.58%
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
$436M
AUM Growth
+$39.1M
Cap. Flow
-$249M
Cap. Flow %
-57.08%
Top 10 Hldgs %
49.14%
Holding
110
New
21
Increased
2
Reduced
2
Closed
17

Top Buys

Rank Stock Value
1
ALTG icon
Alta Equipment Group
ALTG
+$10.6M
2
SAQNU
Software Acquisition Group Inc. Unit
SAQNU
+$6.07M
3
LFLY
Leafly Holdings, Inc. Common Stock
LFLY
+$5.84M
4
ALUS.U
Alussa Energy Acquisition Corp
ALUS.U
+$4.52M
5
GLEO.U
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
+$4.04M

Top Sells

Rank Stock Value
1
BRPM.U
B. Riley Principal Merger Corp.
BRPM.U
+$10.7M
2
TKKSU
TKK Symphony Acquisition Corporation Unit
TKKSU
+$4.14M
3
BWMCU
Boxwood Merger Corp. Unit
BWMCU
+$3.22M
4
TMCXU
Trinity Merger Corp. Unit
TMCXU
+$2.71M
5
MNCLU
Monocle Acquisition Corporation Units
MNCLU
+$2.61M

Sector Composition

Rank Sector Weight
1 Industrials 3.72%
2 Technology 1.34%
3 Financials 0.34%
4 Real Estate 0.15%
5 Energy 0.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MUDSU
26
DELISTED
Mudrick Capital Acquisition Corporation Unit
MUDSU
$1.67M 0.38%
156,815
– –
IGIC icon
27
International General Insurance
IGIC
$1.23B
$1.5M 0.34%
+143,200
New +$1.49M
TWNKW
28
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$1.35M 0.31%
737,089
– –
LVOXU
29
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
$1.31M 0.3%
127,009
+22,109
+21% +$226K
FTACU
30
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
$1.3M 0.3%
120,000
– –
CCH.U
31
DELISTED
Collier Creek Holdings Units, each consisting of one Class A ordinary share, $0.0001 par value, and
CCH.U
$1.28M 0.29%
120,000
– –
AMCIU
32
DELISTED
AMCI Acquisition Corp Unit
AMCIU
$1.25M 0.29%
120,000
– –
NPAUU
33
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
$1.03M 0.24%
100,000
– –
SCPE.U
34
DELISTED
SC Health Corporation Units, each consisting of one Class A ordinary share, $0.0001 par value, and o
SCPE.U
$985K 0.23%
95,000
– –
BRMK
35
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
$636K 0.15%
50,000
-100,000
-67% -$1.11M
TRNE.U
36
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$605K 0.14%
59,000
– –
ARYAU
37
DELISTED
ARYA Sciences Acquisiton Corp. Unit
ARYAU
$575K 0.13%
50,000
– –
HCCOU
38
DELISTED
Healthcare Merger Corp. Units
HCCOU
$518K 0.12%
+50,000
New +$525K
SHLL.U
39
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
$509K 0.12%
50,000
– –
RMG.U
40
DELISTED
RMG Acquisition Corp.
RMG.U
$508K 0.12%
50,000
– –
CCC.WS
41
DELISTED
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
$432K 0.1%
75,000
– –
GMHIU
42
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$266K 0.06%
25,000
– –
BRPM.WS
43
DELISTED
B. Riley Principal Merger Corp. Warrants, each whole warrant exercisable for one share of Class A co
BRPM.WS
$230K 0.05%
+280,000
New +$182K
BWMCW
44
DELISTED
Boxwood Merger Corp. Warrant
BWMCW
$183K 0.04%
+300,000
New +$224K
VTIQW
45
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$174K 0.04%
319,050
– –
ASLEW
46
DELISTED
AerSale Corp Warrants
ASLEW
$150K 0.03%
+200,000
New +$110K
BROG
47
DELISTED
Brooge Energy
BROG
$149K 0.03%
+16,946
New +$172K
LFLYW
48
DELISTED
Leafly Holdings, Inc. Warrant
LFLYW
$149K 0.03%
+300,000
New +$153K
BROGW
49
DELISTED
Brooge Holdings Limited Warrant expiring 12/20/2024
BROGW
$120K 0.03%
+169,470
New +$88.8K
GPAQW
50
DELISTED
Gordon Pointe Acquisition Corp. Warrant
GPAQW
$118K 0.03%
358,250
– –
1
2
3 4

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Castle Creek Arbitrage's Q4 2019 Portfolio in Review

As of Q4 2019, Castle Creek Arbitrage held 110 positions worth $436M, up 9.8% from $397M the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Castle Creek Arbitrage withdrew a net $249M in Q4 2019, closing 17 positions and reducing 2 holdings. Its most notable exit was B. Riley Principal Merger Corp., an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 3.7% of assets, followed by Technology and Financials.

Against the trend, Castle Creek Arbitrage opened a new position in Alta Equipment Group worth $10.6M.

  • Castle Creek Arbitrage's largest Q4 2019 buy was Alta Equipment Group: 1,060,000 shares worth $10.6M.
  • Castle Creek Arbitrage added most to Tuscan Holdings Corp. II Unit in Q4 2019, an estimated $3.15M increase.
  • Castle Creek Arbitrage's biggest Q4 2019 reduction was Broadmark Realty Capital Inc. Common Stock, cutting an estimated $1.11M.
  • Castle Creek Arbitrage fully exited B. Riley Principal Merger Corp. in Q4 2019, selling an estimated $10.7M.
  • Castle Creek Arbitrage's ten largest holdings make up 49% of its $436M portfolio in Q4 2019.
  • Castle Creek Arbitrage opened 21 new positions and closed 17 in Q4 2019.
  • Castle Creek Arbitrage's portfolio value rose 9.8% quarter-over-quarter to $436M.

Based on Castle Creek Arbitrage's 13F filing for Q4 2019, filed 31 Jan 2020.