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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
-0.78%
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
$624M
AUM Growth
+$188M
Cap. Flow
-$192M
Cap. Flow %
-30.75%
Top 10 Hldgs %
48.26%
Holding
145
New
44
Increased
3
Reduced
7
Closed
16

Top Buys

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$8.99M
2
SONY icon
Sony
SONY
+$7.86M
3
TRIT
Triterras, Inc. Class A Ordinary Shares
TRIT
+$7.08M
4
VLDR
Velodyne Lidar, Inc. Common Stock
VLDR
+$5.84M
5
RIDE
Lordstown Motors Corp. Class A Common Stock
RIDE
+$5.29M

Top Sells

Rank Stock Value
1
ALTG icon
Alta Equipment Group
ALTG
+$8.53M
2
GRAF.U
Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant
GRAF.U
+$6.1M
3
ATCX
Atlas Technical Consultants, Inc. Class A Common Stock
ATCX
+$3.05M
4
DDMXU
DD3 Acquisition Corp. Units
DDMXU
+$2.08M
5
FMCIU
Forum Merger II Corporation Unit
FMCIU
+$1.73M

Sector Composition

Rank Sector Weight
1 Technology 5.36%
2 Consumer Discretionary 3.77%
3 Industrials 2.32%
4 Financials 1.32%
5 Real Estate 0.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ASLEW
76
DELISTED
AerSale Corp Warrants
ASLEW
$60K 0.01%
200,000
– –
GRAF.WS
77
DELISTED
Graf Industrial Corp. Warrants (each exercisable for three-quarters of one share of common stock, ea
GRAF.WS
$57K 0.01%
+573,000
New +$187K
GPAQW
78
DELISTED
Gordon Pointe Acquisition Corp. Warrant
GPAQW
$56K 0.01%
358,250
– –
SONGW
79
DELISTED
Akazoo SA Warrant
SONGW
$53K 0.01%
171,462
– –
MUDSW
80
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
$51K 0.01%
+156,815
New +$102K
SRE.PRA
81
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
– –
0
– –
FMCIW
82
DELISTED
Forum Merger II Corporation Warrant
FMCIW
$30K ﹤0.01%
+161,500
New +$74.5K
GSMGW
83
DELISTED
Cheer Holding, Inc. Warrant expiring 2/13/2025
GSMGW
$28K ﹤0.01%
+400,000
New +$16.6K
BRMK.WS
84
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
$20K ﹤0.01%
91,312
– –
KXIN icon
85
Kaixin Holdings
KXIN
$8.96M
– –
0
– –
AVTR.PRA
86
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
– –
0
– –
LACQW
87
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$14K ﹤0.01%
89,881
– –
NESRW
88
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$13K ﹤0.01%
47,519
– –
STRDW
89
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$12K ﹤0.01%
91,380
– –
ROSEW
90
DELISTED
Rosehill Resources Inc.
ROSEW
$4K ﹤0.01%
150,271
– –
ADNWW
91
DELISTED
Advent Technologies Holdings Warrant
ADNWW
$3K ﹤0.01%
+23,400
New +$7.37K
BROG
92
DELISTED
Brooge Energy
BROG
– –
-16,946
Closed -$149K
IGIC icon
93
International General Insurance
IGIC
$1.19B
– –
-143,200
Closed -$1.5M
TEVA icon
94
CALL
Teva Pharmaceuticals
TEVA
$40.4B
– –
-300,000
Closed -$2.94M
HEXO
95
CALL
DELISTED
HEXO Corp. Common Shares
HEXO
– –
-446
Closed -$40K
BRMK
96
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
– –
-50,000
Closed -$636K
ATCX
97
DELISTED
Atlas Technical Consultants, Inc. Class A Common Stock
ATCX
– –
-300,000
Closed -$3.05M
FMCIU
98
DELISTED
Forum Merger II Corporation Unit
FMCIU
– –
-161,500
Closed -$1.73M
GRAF.U
99
DELISTED
Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant
GRAF.U
– –
-573,000
Closed -$6.1M
MUDSU
100
DELISTED
Mudrick Capital Acquisition Corporation Unit
MUDSU
– –
-156,815
Closed -$1.67M
1 2 3
4
5

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Castle Creek Arbitrage's Q1 2020 Portfolio in Review

As of Q1 2020, Castle Creek Arbitrage held 145 positions worth $624M, up 43% from $436M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Castle Creek Arbitrage withdrew a net $192M in Q1 2020, closing 16 positions and reducing 7 holdings. Its most notable exit was Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant, an estimated $6.1M position sold in full.

By sector, the portfolio is most concentrated in Technology at 5.4% of assets, up from 1.3% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Castle Creek Arbitrage opened a new position in Global Blue Group Holding worth $8.69M.

  • Castle Creek Arbitrage's largest Q1 2020 buy was Global Blue Group Holding: 859,000 shares worth $8.69M.
  • Castle Creek Arbitrage added most to Leafly Holdings, Inc. Common Stock in Q1 2020, an estimated $974K increase.
  • Castle Creek Arbitrage's biggest Q1 2020 reduction was Alta Equipment Group, cutting an estimated $8.53M.
  • Castle Creek Arbitrage fully exited Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant in Q1 2020, selling an estimated $6.1M.
  • Castle Creek Arbitrage's ten largest holdings make up 48% of its $624M portfolio in Q1 2020.
  • Castle Creek Arbitrage opened 44 new positions and closed 16 in Q1 2020.
  • Castle Creek Arbitrage's portfolio value rose 43% quarter-over-quarter to $624M.

Based on Castle Creek Arbitrage's 13F filing for Q1 2020, filed 21 Apr 2020.