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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
+0.73%
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
$1.3B
AUM Growth
+$126M
Cap. Flow
-$461M
Cap. Flow %
-35.36%
Top 10 Hldgs %
61.58%
Holding
240
New
103
Increased
17
Reduced
17
Closed
55

Top Buys

Rank Stock Value
1
BTAQU
Burgundy Technology Acquisition Corporation Unit
BTAQU
+$27.9M
2
ETAC
E.Merge Technology Acquisition Corp. Class A Common Stock
ETAC
+$19.6M
3
MKTW icon
MarketWise
MKTW
+$17.5M
4
TWND.U
Tailwind Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one warrant
TWND.U
+$16M
5
TMPO
Tempo Automation Holdings, Inc. Common Stock
TMPO
+$14.7M

Top Sells

Rank Stock Value
1
FSR
Fisker Inc.
FSR
+$21.7M
2
GCMG icon
GCM Grosvenor
GCMG
+$14.4M
3
LSEA
Landsea Homes
LSEA
+$11.8M
4
THCBU
Tuscan Holdings Corp. Unit
THCBU
+$9.39M
5
TRIT
Triterras, Inc. Class A Ordinary Shares
TRIT
+$8.91M

Sector Composition

Rank Sector Weight
1 Financials 8.34%
2 Technology 4.57%
3 Healthcare 2.23%
4 Consumer Discretionary 2.09%
5 Industrials 1.95%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GLS
51
DELISTED
Gelesis Holdings, Inc.
GLS
$2.46M 0.19%
+249,998
New +$2.46M
SFT
52
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
$2.1M 0.16%
17,807
-31,013
-64% -$3.73M
GILD icon
53
CALL
Gilead Sciences
GILD
$166B
$2.06M 0.16%
32,600
-67,400
-67% -$4.67M
NMMCU
54
DELISTED
North Mountain Merger Corp. Unit
NMMCU
$2.04M 0.16%
+200,000
New +$2.04M
CAPAU
55
DELISTED
HighCape Capital Acquisition Corp. Unit
CAPAU
$2.02M 0.16%
+200,000
New +$2.02M
NGA.U
56
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
$1.97M 0.15%
+197,569
New +$1.97M
GOAC
57
DELISTED
GO Acquisition Corp. Class A Common Stock
GOAC
$1.97M 0.15%
+199,998
New +$1.97M
CLVR
58
DELISTED
Clever Leaves Holdings Inc. Common Shares
CLVR
$1.96M 0.15%
6,425
-14,742
-70% -$4.53M
WPF
59
DELISTED
Foley Trasimene Acquisition Corp.
WPF
$1.93M 0.15%
+186,434
New +$1.92M
TALK icon
60
Talkspace
TALK
$874M
$1.92M 0.15%
+195,000
New +$1.92M
NFINW
61
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
$1.54M 0.12%
1,176,566
+161,566
+16% +$219K
CERE
62
DELISTED
Cerevel Therapeutics Holdings, Inc. Common Stock
CERE
$1.54M 0.12%
+147,156
New +$1.55M
MKTWW
63
DELISTED
MarketWise, Inc. Warrant
MKTWW
$1.51M 0.12%
+1,017,329
New +$1.47M
DFNS
64
T3 Defense Inc
DFNS
$55.3M
$1.48M 0.11%
+212
New +$1.48M
ARKO icon
65
ARKO Corp
ARKO
$874M
$1.4M 0.11%
139,562
– –
RTP.U
66
DELISTED
Reinvent Technology Partners Units, each consisting of one Class A ordinary share and one-fourth of
RTP.U
$1.38M 0.11%
+120,410
New +$1.38M
APPH
67
DELISTED
AppHarvest, Inc. Common Stock
APPH
$1.36M 0.1%
115,560
-376,936
-77% -$3.77M
APPHW
68
DELISTED
AppHarvest, Inc. Warrants
APPHW
$1.33M 0.1%
478,153
+20,634
+5% +$21K
EQD.U
69
DELISTED
Equity Distribution Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-third of one redeemable warrant
EQD.U
$1.28M 0.1%
+125,000
New +$1.3M
ADN
70
DELISTED
Advent Technologies
ADN
$1.27M 0.1%
4,091
+72
+2% +$22.3K
DFHTU
71
DELISTED
Deerfield Healthcare Technology Acquisitions Corp. Unit
DFHTU
$1.09M 0.08%
+103,261
New +$1.09M
TOI icon
72
The Oncology Institute
TOI
$493M
$779K 0.06%
+75,847
New +$788K
LSEAW
73
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$766K 0.06%
425,731
+197,385
+86% +$223K
ETACW
74
DELISTED
E.Merge Technology Acquisition Corp. Warrant
ETACW
$628K 0.05%
+666,806
New +$742K
CFFAW
75
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
$615K 0.05%
627,614
+485,114
+340% +$648K
1 2
3
4 5

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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 2020 Portfolio in Review

As of Q3 2020, Castle Creek Arbitrage held 240 positions worth $1.3B, up 11% from $1.18B the previous quarter. Its ten largest holdings account for 62% of the portfolio.

Castle Creek Arbitrage withdrew a net $461M in Q3 2020, closing 55 positions and reducing 17 holdings. Its most notable exit was GCM Grosvenor, an estimated $14.4M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8.3% of assets, up from 2.1% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Castle Creek Arbitrage opened a new position in Burgundy Technology Acquisition Corporation Unit worth $27.9M.

  • Castle Creek Arbitrage's largest Q3 2020 buy was Burgundy Technology Acquisition Corporation Unit: 2,800,000 shares worth $27.9M.
  • Castle Creek Arbitrage added most to Tuscan Holdings Corp. II Common Stock in Q3 2020, an estimated $6.97M increase.
  • Castle Creek Arbitrage's biggest Q3 2020 reduction was Fisker Inc., cutting an estimated $21.7M.
  • Castle Creek Arbitrage fully exited GCM Grosvenor in Q3 2020, selling an estimated $14.4M.
  • Castle Creek Arbitrage's ten largest holdings make up 62% of its $1.3B portfolio in Q3 2020.
  • Castle Creek Arbitrage opened 103 new positions and closed 55 in Q3 2020.
  • Castle Creek Arbitrage's portfolio value rose 11% quarter-over-quarter to $1.3B.

Based on Castle Creek Arbitrage's 13F filing for Q3 2020, filed 20 Oct 2020.