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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
TKKSR
51
DELISTED
TKK Symphony Acquisition Corporation Right
TKKSR
$100K 0.02%
+400,000
New +$102K
LACQW
52
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$89K 0.02%
89,881
– –
SONGW
53
DELISTED
Akazoo SA Warrant
SONGW
$85K 0.02%
171,462
– –
HEXO
54
CALL
DELISTED
HEXO Corp. Common Shares
HEXO
$40K 0.01%
446
– –
KXIN icon
55
Kaixin Holdings
KXIN
$8.95M
– –
0
– –
NESRW
56
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$36K 0.01%
47,519
-4,300
-8% -$2.1K
BRMK.WS
57
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
$35K 0.01%
+91,312
New +$27.8K
STRDW
58
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$27K 0.01%
91,380
– –
TKKSW
59
DELISTED
TKK Symphony Acquisition Corporation Warrant
TKKSW
$24K 0.01%
+400,000
New +$28.5K
ROSEW
60
DELISTED
Rosehill Resources Inc.
ROSEW
$14K ﹤0.01%
150,271
– –
ESTRW
61
DELISTED
Estre Ambiental, Inc
ESTRW
$1K ﹤0.01%
311,850
– –
HPK icon
62
HighPeak Energy
HPK
$967M
– –
-123,456
Closed -$1.26M
IYR icon
63
PUT
iShares US Real Estate ETF
IYR
$4.59B
– –
-10,000
Closed -$935K
TXN icon
64
PUT
Texas Instruments
TXN
$255B
– –
-30,000
Closed -$3.88M
XHB icon
65
PUT
State Street SPDR S&P Homebuilders ETF
XHB
$1.74B
– –
-75,500
Closed -$3.33M
OAC.U
66
DELISTED
Oaktree Acquisition Corp.
OAC.U
– –
-45,000
Closed -$457K
MNCLU
67
DELISTED
Monocle Acquisition Corporation Units
MNCLU
– –
-250,000
Closed -$2.61M
PACQW
68
DELISTED
Pure Acquisition Corp. Warrant
PACQW
– –
-136,728
Closed -$141K
TSG
69
DELISTED
The Stars Group Inc.
TSG
– –
-18,000
Closed -$270K
TKKSU
70
DELISTED
TKK Symphony Acquisition Corporation Unit
TKKSU
– –
-400,000
Closed -$4.14M
BRPM.U
71
DELISTED
B. Riley Principal Merger Corp.
BRPM.U
– –
-1,060,000
Closed -$10.7M
BWMCU
72
DELISTED
Boxwood Merger Corp. Unit
BWMCU
– –
-300,000
Closed -$3.22M
BROGR
73
DELISTED
Twelve Seas Investment Company Rights
BROGR
– –
-169,470
Closed -$59K
TMCXU
74
DELISTED
Trinity Merger Corp. Unit
TMCXU
– –
-231,641
Closed -$2.71M
TMCXW
75
DELISTED
Trinity Merger Corp. Warrant
TMCXW
– –
-56,271
Closed -$71K
1 2
3
4

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GCMG
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AGP
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LBA
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CRG
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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.