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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
EMPW.U
601
DELISTED
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
– –
-50,000
Closed -$520K
SPRQ.U
602
DELISTED
Spartan Acquisition Corp. II Units, each consisting of one share of Class A common stock, and one-ha
SPRQ.U
– –
-1,696,033
Closed -$18.3M
FCAC
603
DELISTED
Falcon Capital Acquisition Corp. Class A Common Stock
FCAC
– –
-172,497
Closed -$1.82M
HOLUU
604
DELISTED
Holicity Inc. Unit
HOLUU
– –
-39,153
Closed -$407K
IACA
605
DELISTED
ION Acquisition Corp 1 Ltd.
IACA
– –
-87,557
Closed -$1.03M
ACACU
606
DELISTED
Acies Acquisition Corp Unit
ACACU
– –
-200,000
Closed -$2.14M
DNMR.WS
607
DELISTED
Danimer Scientific, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class
DNMR.WS
– –
-109,601
Closed -$1.24M
NGA
608
DELISTED
Northern Genesis Acquisition Corp.
NGA
– –
-20,536
Closed -$365K
ALTG.WS
609
DELISTED
Alta Equipment Group Warrants
ALTG.WS
– –
-37,500
Closed -$75K
RMO.WS
610
DELISTED
Romeo Power, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exerc
RMO.WS
– –
-350,507
Closed -$3.27M
BFT.WS
611
DELISTED
Foley Trasimene Acquisition Corp. II Warrants, each whole warrant exercisable for one share of Class
BFT.WS
– –
-366,748
Closed -$1.68M
DM.WS
612
DELISTED
Desktop Metal, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A Com
DM.WS
– –
-129,500
Closed -$623K
CIICW
613
DELISTED
CIIG Merger Corp. Warrants
CIICW
– –
-53,578
Closed -$439K
RSI.WS
614
DELISTED
Rush Street Interactive, Inc. Redeemable Warrants, each whole warrant exercisable for one share of C
RSI.WS
– –
-62,900
Closed -$482K
ROCHW
615
DELISTED
Roth CH Acquisition I Co. Warrant
ROCHW
– –
-501,708
Closed -$2.21M
IPV.WS
616
DELISTED
InterPrivate Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for shares of com
IPV.WS
– –
-520,750
Closed -$2.13M
LAZRW
617
DELISTED
Luminar Technologies, Inc. Warrant
LAZRW
– –
-75,000
Closed -$1.29M
XL.WS
618
DELISTED
XL Fleet Corp. Redeemable Warrants, each whole warrant exercisable for shares of Class A common stoc
XL.WS
– –
-36,166
Closed -$293K
SBE.WS
619
DELISTED
Switchback Energy Acquisition Corporation Warrants, exercisable for one share of Class A Common Stoc
SBE.WS
– –
-86,166
Closed -$1.33M
LGVW.WS
620
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
– –
-154,235
Closed -$1.02M
PANA.WS
621
DELISTED
Panacea Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one share of Class
PANA.WS
– –
-271,731
Closed -$870K
PCPL.WS
622
DELISTED
CC Neuberger Principal Holdings I Warrants, each whole warrant exercisable for one Class A ordinary
PCPL.WS
– –
-13,243
Closed -$31K
OAC.WS
623
DELISTED
Oaktree Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
OAC.WS
– –
-27,186
Closed -$106K
CMAX
624
DELISTED
CareMax, Inc. Class A Common Stock
CMAX
– –
-1,649
Closed -$772K
EDTXU
625
DELISTED
EdtechX Holdings Acquisition Corp. II Unit
EDTXU
– –
-450,000
Closed -$4.64M
21 22 23 24
25

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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.