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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
TWLVW
51
DELISTED
Twelve Seas Investment Company Warrant
TWLVW
$51K 0.01%
169,470
– –
KXIN icon
52
Kaixin Holdings
KXIN
$8.95M
– –
0
– –
STRDW
53
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$32K 0.01%
91,380
– –
ROSEW
54
DELISTED
Rosehill Resources Inc.
ROSEW
$23K 0.01%
150,271
– –
NESRW
55
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$19K ﹤0.01%
51,819
– –
ESTRW
56
DELISTED
Estre Ambiental, Inc
ESTRW
$7K ﹤0.01%
311,850
– –
AMC icon
57
AMC Entertainment Holdings
AMC
$2.03B
– –
-1,732
Closed -$162K
CINF icon
58
PUT
Cincinnati Financial
CINF
$28.3B
– –
-50,000
Closed -$5.18M
SKX
59
CALL
DELISTED
Skechers
SKX
– –
-50,000
Closed -$1.57M
ST icon
60
PUT
Sensata Technologies
ST
$6.65B
– –
-25,000
Closed -$1.23M
NKLA
61
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-5,635
Closed -$1.71M
KERNW
62
DELISTED
Akerna Corp Warrant
KERNW
– –
-81,032
Closed -$239K
LACQ
63
DELISTED
Leisure Acquisition Corp.
LACQ
– –
-79,762
Closed -$810K
PAACU
64
DELISTED
Proficient Alpha Acquisition Corp. Unit
PAACU
– –
-126,000
Closed -$1.27M
MMDMW
65
DELISTED
Modern Media Acquisition Corp. Warrant
MMDMW
– –
-171,462
Closed -$38K
MMDMR
66
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
– –
-278,831
Closed -$75K
BRACR
67
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
– –
-433,300
Closed -$160K
BRACW
68
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
– –
-433,300
Closed -$177K
TBRGW
69
DELISTED
Thunder Bridge Acquisition, Ltd. Warrant
TBRGW
– –
-100,670
Closed -$201K
1 2
3

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PC
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GCMG
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AGP
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KI
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MWM
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LBA
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CRG
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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.