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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
+6.09%
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
$1.18B
AUM Growth
+$554M
Cap. Flow
-$237M
Cap. Flow %
-20.15%
Top 10 Hldgs %
56.71%
Holding
172
New
36
Increased
12
Reduced
8
Closed
22

Top Buys

Rank Stock Value
1
GCMG icon
GCM Grosvenor
GCMG
+$13.8M
2
FSR
Fisker Inc.
FSR
+$12.3M
3
TRIT
Triterras, Inc. Class A Ordinary Shares
TRIT
+$10.2M
4
ASLE icon
AerSale
ASLE
+$8.97M
5
ROCHU
Roth CH Acquisition I Co. Unit
ROCHU
+$6.8M

Top Sells

Rank Stock Value
1
NFINU
Netfin Acquisition Corp. Unit
NFINU
+$10.2M
2
GB
Global Blue Group Holding
GB
+$8.69M
3
SONY icon
Sony
SONY
+$7.1M
4
SAMAU
Schultze Special Purpose Acquisition Corp. Unit
SAMAU
+$6.03M
5
VLDR
Velodyne Lidar, Inc. Common Stock
VLDR
+$5.83M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 4.46%
2 Industrials 2.74%
3 Technology 2.67%
4 Financials 2.1%
5 Real Estate 1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NFINW
51
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
$1.68M 0.14%
+1,015,000
New +$466K
UTZ icon
52
Utz Brands
UTZ
$1.25B
$1.5M 0.13%
+110,000
New +$1.27M
FTACU
53
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
$1.5M 0.13%
120,000
– –
LVOXU
54
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
$1.49M 0.13%
137,009
– –
ARKO icon
55
ARKO Corp
ARKO
$897M
$1.44M 0.12%
139,562
– –
SCPE
56
DELISTED
SC Health Corporation
SCPE
$1.4M 0.12%
138,000
– –
DMYT.U
57
DELISTED
dMY Technology Group, Inc. Units, each consisting of one share of Class A Common Stock and one-half
DMYT.U
$1.33M 0.11%
125,800
+100,800
+403% +$1.02M
GIK.U
58
DELISTED
GigCapital3, Inc. Units, each consisting of one share of Common Stock and three-fourths of one Redee
GIK.U
$1.25M 0.11%
+125,000
New +$1.24M
ADN
59
DELISTED
Advent Technologies
ADN
$1.23M 0.1%
+4,019
New +$1.23M
GRAF.WS
60
DELISTED
Graf Industrial Corp. Warrants (each exercisable for three-quarters of one share of common stock, ea
GRAF.WS
$1.13M 0.1%
496,016
-76,984
-13% -$50.2K
CIICU
61
DELISTED
CIIG Merger Corp. Units
CIICU
$1.09M 0.09%
+106,868
New +$1.07M
CHPT icon
62
ChargePoint
CHPT
$140M
$1M 0.08%
5,000
– –
NPAUU
63
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
$1M 0.08%
94,800
-5,200
-5% -$53.5K
SCPE.U
64
DELISTED
SC Health Corporation Units, each consisting of one Class A ordinary share, $0.0001 par value, and o
SCPE.U
$988K 0.08%
95,000
– –
SAMAW
65
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
$749K 0.06%
+585,000
New +$475K
SHPW
66
DELISTED
Shapeways Holdings, Inc. Common Stock
SHPW
$743K 0.06%
9,375
– –
TRNE.U
67
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$650K 0.06%
59,000
– –
GPAQW
68
DELISTED
Gordon Pointe Acquisition Corp. Warrant
GPAQW
$621K 0.05%
291,544
-66,706
-19% -$43.9K
ARYBU
69
DELISTED
ARYA Sciences Acquisition Corp II Unit
ARYBU
$580K 0.05%
+50,005
New +$550K
NKLAW
70
DELISTED
Nikola Corporation Warrant expiring 6/3/2025
NKLAW
$550K 0.05%
+16,499
New +$471K
RMG.U
71
DELISTED
RMG Acquisition Corp.
RMG.U
$524K 0.04%
50,000
– –
HCCOU
72
DELISTED
Healthcare Merger Corp. Units
HCCOU
$509K 0.04%
49,400
– –
PIC.U
73
DELISTED
Pivotal Investment Corporation II Units, each consisting of one share of Class A common stock and on
PIC.U
$500K 0.04%
+48,500
New +$492K
SRTA
74
Strata Critical Medical Inc
SRTA
$445M
$498K 0.04%
+50,000
New +$491K
FMCIW
75
DELISTED
Forum Merger II Corporation Warrant
FMCIW
$475K 0.04%
101,500
-60,000
-37% -$128K
1 2
3
4 5

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Castle Creek Arbitrage's Q2 2020 Portfolio in Review

As of Q2 2020, Castle Creek Arbitrage held 172 positions worth $1.18B, up 89% from $624M the previous quarter. Its ten largest holdings account for 57% of the portfolio.

Castle Creek Arbitrage withdrew a net $237M in Q2 2020, closing 22 positions and reducing 8 holdings. Its most notable exit was Netfin Acquisition Corp. Unit, an estimated $10.2M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 4.5% of assets, up from 3.8% a quarter earlier, followed by Industrials and Technology.

Against the trend, Castle Creek Arbitrage opened a new position in GCM Grosvenor worth $14.4M.

  • Castle Creek Arbitrage's largest Q2 2020 buy was GCM Grosvenor: 1,326,763 shares worth $14.4M.
  • Castle Creek Arbitrage added most to Fisker Inc. in Q2 2020, an estimated $12.3M increase.
  • Castle Creek Arbitrage's biggest Q2 2020 reduction was Alta Equipment Group, cutting an estimated $194K.
  • Castle Creek Arbitrage fully exited Netfin Acquisition Corp. Unit in Q2 2020, selling an estimated $10.2M.
  • Castle Creek Arbitrage's ten largest holdings make up 57% of its $1.18B portfolio in Q2 2020.
  • Castle Creek Arbitrage opened 36 new positions and closed 22 in Q2 2020.
  • Castle Creek Arbitrage's portfolio value rose 89% quarter-over-quarter to $1.18B.

Based on Castle Creek Arbitrage's 13F filing for Q2 2020, filed 3 Aug 2020.