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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
CLII.U
101
DELISTED
Climate Change Crisis Real Impact I Acquisition Corporation Units, each consisting of one share of C
CLII.U
$251K 0.02%
+25,000
New +$251K
LGVW.WS
102
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
$238K 0.02%
+245,165
New +$274K
IPV.WS
103
DELISTED
InterPrivate Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for shares of com
IPV.WS
$234K 0.02%
+287,500
New +$180K
USFD icon
104
US Foods
USFD
$22.5B
$222K 0.02%
10,000
– –
DHR.PRA
105
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
– –
0
– –
DM
106
DELISTED
Desktop Metal, Inc.
DM
$217K 0.02%
2,006
-43,800
-96% -$4.73M
OAC.WS
107
DELISTED
Oaktree Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
OAC.WS
$195K 0.02%
+66,666
New +$118K
GOEV
108
DELISTED
Canoo Inc. Class A Common Stock
GOEV
$193K 0.01%
38
-866
-96% -$4.44M
DMYT.WS
109
DELISTED
dMY Technology Group, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Clas
DMYT.WS
$189K 0.01%
+62,900
New +$141K
GHIVW
110
DELISTED
Gores Holdings IV, Inc. Warrant
GHIVW
$183K 0.01%
+110,193
New +$216K
LFLYW
111
DELISTED
Leafly Holdings, Inc. Warrant
LFLYW
$165K 0.01%
300,000
– –
UTZ.WS
112
DELISTED
Utz Brands, Inc. Warrants, each whole warrant exercisable for one Class A common stock at an exercis
UTZ.WS
$162K 0.01%
+25,000
New +$153K
LIVKW
113
DELISTED
LIV Capital Acquisition Corp. Warrant
LIVKW
$158K 0.01%
+400,000
New +$163K
THCAW
114
DELISTED
Tuscan Holdings Corp. II Warrant
THCAW
$157K 0.01%
+348,500
New +$169K
CHPT icon
115
ChargePoint
CHPT
$134M
$156K 0.01%
500
-4,500
-90% -$980K
MAPSW
116
DELISTED
WM TECHNOLOGY INC WTS
MAPSW
$151K 0.01%
+250,000
New +$139K
FSR
117
DELISTED
Fisker Inc.
FSR
$144K 0.01%
10,000
-1,591,003
-99% -$21.7M
ALUS.WS
118
DELISTED
Alussa Energy Acquisition Corp Warrants
ALUS.WS
$143K 0.01%
+224,999
New +$156K
FUSE.WS
119
DELISTED
Fusion Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common st
FUSE.WS
$137K 0.01%
+127,500
New +$94.9K
IFFT
120
DELISTED
International Flavors & Fragrances Inc. 6.00% Tangible Equity Units
IFFT
– –
0
– –
LOAK.WS
121
DELISTED
Live Oak Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LOAK.WS
$123K 0.01%
+125,001
New +$107K
GNRSW
122
DELISTED
Greenrose Acquisition Corp. Warrant
GNRSW
$118K 0.01%
+500,000
New +$124K
TALKW
123
DELISTED
Talkspace Inc Warrant
TALKW
$111K 0.01%
+97,500
New +$92.3K
CPSR.WS
124
DELISTED
Capstar Special Purpose Acquisition Corp. Warrants, each whole warrant exercisable for one share of
CPSR.WS
$99K 0.01%
+124,999
New +$98.5K
ASLEW
125
DELISTED
AerSale Corp Warrants
ASLEW
$99K 0.01%
203,000
+3,000
+2% +$1.38K
3 4
5
6 7

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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.