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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
CLOV icon
76
Clover Health Investments
CLOV
$2.25B
$452K 0.04%
+41,100
New +$442K
EOSEW
77
DELISTED
Eos Energy Enterprises Warrant
EOSEW
$412K 0.04%
+235,257
New +$256K
TWNKW
78
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$367K 0.03%
437,089
– –
NOVSU
79
DELISTED
Novus Capital Corporation Units
NOVSU
$362K 0.03%
+34,634
New +$350K
APPHW
80
DELISTED
AppHarvest, Inc. Warrants
APPHW
$329K 0.03%
+457,519
New +$312K
SCVX.U
81
DELISTED
SCVX Corp. Units, each consisting of one Class A ordinary share, $0.0001 par value per share, and on
SCVX.U
$311K 0.03%
30,000
– –
ALTG.WS
82
DELISTED
Alta Equipment Group Warrants
ALTG.WS
$279K 0.02%
267,000
-50,000
-16% -$49.1K
GMHIU
83
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$264K 0.02%
23,417
– –
ALTG icon
84
Alta Equipment Group
ALTG
$208M
$255K 0.02%
32,846
-31,454
-49% -$194K
LSEAW
85
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$206K 0.02%
+228,346
New +$117K
USFD icon
86
US Foods
USFD
$21.9B
$197K 0.02%
+10,000
New +$191K
CFFAW
87
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
$191K 0.02%
+142,500
New +$107K
DHR.PRA
88
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
– –
0
– –
LFLYW
89
DELISTED
Leafly Holdings, Inc. Warrant
LFLYW
$150K 0.01%
300,000
– –
IFFT
90
DELISTED
International Flavors & Fragrances Inc. 6.00% Tangible Equity Units
IFFT
– –
0
– –
ARYAW
91
DELISTED
ARYA Sciences Acquisiton Corp. Warrant
ARYAW
$134K 0.01%
+25,000
New +$81.6K
ASLEW
92
DELISTED
AerSale Corp Warrants
ASLEW
$130K 0.01%
200,000
– –
CCH.WS
93
DELISTED
Collier Creek Holdings Warrants, each whole warrant exercisable for one Class A ordinary share at an
CCH.WS
$127K 0.01%
+40,000
New +$96.4K
ATCXW
94
DELISTED
Atlas Technical Consultants, Inc. Warrant
ATCXW
$101K 0.01%
261,652
-29,048
-10% -$16.3K
LACQW
95
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$84K 0.01%
89,881
– –
ADNWW
96
DELISTED
Advent Technologies Holdings Warrant
ADNWW
$76K 0.01%
143,400
+120,000
+513% +$38.8K
BROGW
97
DELISTED
Brooge Holdings Limited Warrant expiring 12/20/2024
BROGW
$74K 0.01%
150,250
-1,500
-1% -$918
HYMCW
98
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
$72K 0.01%
+59,015
New +$64.3K
SRE.PRA
99
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
– –
0
– –
BRMK.WS
100
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
$28K ﹤0.01%
91,312
– –
2 3
4
5 6

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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.