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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
-2.53%
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
$1.72B
AUM Growth
+$74.2M
Cap. Flow
-$60.6M
Cap. Flow %
-3.53%
Top 10 Hldgs %
26.94%
Holding
651
New
373
Increased
16
Reduced
43
Closed
95

Top Buys

Rank Stock Value
1
SCAQU
Stratim Cloud Acquisition Corp. Unit
SCAQU
+$20M
2
CXAI icon
CXApp
CXAI
+$18.9M
3
SUNL
Sunlight Financial Holdings, Inc.
SUNL
+$17.4M
4
SVOK
Seven Oaks Acquisition Corp. Class A Common Stock
SVOK
+$16.6M
5
HCAR
Healthcare Services Acquisition Corporation Class A Common Stock
HCAR
+$15.6M

Top Sells

Rank Stock Value
1
KINZU
KINS Technology Group Inc. Unit
KINZU
+$19.4M
2
SVOKU
Seven Oaks Acquisition Corp. Unit
SVOKU
+$18.8M
3
SPRQ.U
Spartan Acquisition Corp. II Units, each consisting of one share of Class A common stock, and one-ha
SPRQ.U
+$18.3M
4
HCARU
Healthcare Services Acquisition Corporation Unit
HCARU
+$16.2M
5
TACA.U
Trepont Acquisition Corp I Units, each consisting of one Class A ordinary share and one-half of one
TACA.U
+$14.9M

Sector Composition

Rank Sector Weight
1 Financials 29.17%
2 Industrials 5.11%
3 Technology 4.43%
4 Consumer Discretionary 2.89%
5 Healthcare 2.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRMK.WS
526
DELISTED
Broadmark Realty Capital Inc. Warrants, each exercisable for one fourth (1/4th) share of Common Stock at an exercise price of $2.875 per quarter share
BRMK.WS
$18K ﹤0.01%
91,312
– –
GMBTW
527
DELISTED
Pivotal Holdings Corp Warrant
GMBTW
$17K ﹤0.01%
+16,266
New +$18.6K
OACB.WS
528
DELISTED
Oaktree Acquisition Corp. II Warrants, each whole warrant exercisable for one Class A ordinary share
OACB.WS
$16K ﹤0.01%
12,499
– –
CSTA.WS
529
DELISTED
Constellation Acquisition Corp I Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
CSTA.WS
$14K ﹤0.01%
+23,333
New +$17.4K
KAIRW
530
DELISTED
Kairos Acquisition Corp. Warrant
KAIRW
$14K ﹤0.01%
+25,000
New +$20.7K
MIT.WS
531
DELISTED
Mason Industrial Technology, Inc. Redeemable warrants, exercisable for one share of Class A common stock for $11.50 per share
MIT.WS
$10K ﹤0.01%
+16,666
New +$10.9K
AEVA
532
Aeva Technologies
AEVA
$956M
– –
-68,605
Closed -$4.99M
BKKT icon
533
Bakkt Inc
BKKT
$306M
– –
-18,000
Closed -$4.54M
SRTA
534
Strata Critical Medical Inc
SRTA
$421M
– –
-292,964
Closed -$3.25M
CVS icon
535
CALL
CVS Health
CVS
$135B
– –
-20,000
Closed -$1.37M
ETWO
536
DELISTED
E2open Parent Holdings
ETWO
– –
-987,568
Closed -$10.7M
EVGO icon
537
EVgo
EVGO
$219M
– –
-124,998
Closed -$1.34M
IMTXW
538
DELISTED
Immatics N.V. Warrants
IMTXW
– –
-16,406
Closed -$47K
MAPS
539
DELISTED
WM TECHNOLOGY INC A
MAPS
– –
-300,743
Closed -$3.84M
NUVB icon
540
Nuvation Bio
NUVB
$2.29B
– –
-1,228,082
Closed -$14.4M
QSI icon
541
Quantum-Si Incorporated
QSI
$153M
– –
-199,998
Closed -$2.04M
RKLB icon
542
Rocket Lab Corp
RKLB
$36.6B
– –
-249,996
Closed -$2.53M
SOFI icon
543
SoFi Technologies
SOFI
$19.6B
– –
-522,961
Closed -$6.51M
TLS icon
544
Telos
TLS
$331M
– –
-60,000
Closed -$1.98M
USFD icon
545
US Foods
USFD
$22.5B
– –
-10,000
Closed -$333K
WGSWW
546
DELISTED
GeneDx Holdings Warrant
WGSWW
– –
-19,632
Closed -$54K
HYZN
547
DELISTED
Hyzon Motors Inc. Class A Common Stock
HYZN
– –
-473
Closed -$251K
COOLU
548
DELISTED
Corner Growth Acquisition Corp. Unit
COOLU
– –
-334,027
Closed -$3.49M
ALTUU
549
DELISTED
Altitude Acquisition Corp Unit
ALTUU
– –
-618,770
Closed -$6.4M
DUNEU
550
DELISTED
Dune Acquisition Corporation Unit
DUNEU
– –
-150,000
Closed -$1.54M
20 21
22
23 24

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Castle Creek Arbitrage's Q1 2021 Portfolio in Review

As of Q1 2021, Castle Creek Arbitrage held 651 positions worth $1.72B, up 4.5% from $1.64B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Castle Creek Arbitrage withdrew a net $60.6M in Q1 2021, closing 95 positions and reducing 43 holdings. Its most notable exit was KINS Technology Group Inc. Unit, an estimated $19.4M position sold in full.

By sector, the portfolio is most concentrated in Financials at 29% of assets, up from 15% a quarter earlier, followed by Industrials and Technology.

Against the trend, Castle Creek Arbitrage opened a new position in Stratim Cloud Acquisition Corp. Unit worth $19.9M.

  • Castle Creek Arbitrage's largest Q1 2021 buy was Stratim Cloud Acquisition Corp. Unit: 1,997,101 shares worth $19.9M.
  • Castle Creek Arbitrage added most to Spire Global in Q1 2021, an estimated $4.92M increase.
  • Castle Creek Arbitrage's biggest Q1 2021 reduction was GeneDx Holdings, cutting an estimated $12.9M.
  • Castle Creek Arbitrage fully exited KINS Technology Group Inc. Unit in Q1 2021, selling an estimated $19.4M.
  • Castle Creek Arbitrage's ten largest holdings make up 27% of its $1.72B portfolio in Q1 2021.
  • Castle Creek Arbitrage opened 373 new positions and closed 95 in Q1 2021.
  • Castle Creek Arbitrage's portfolio value rose 4.5% quarter-over-quarter to $1.72B.

Based on Castle Creek Arbitrage's 13F filing for Q1 2021, filed 17 May 2021.