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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
+10.36%
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
$1.64B
AUM Growth
+$340M
Cap. Flow
-$23.5M
Cap. Flow %
-1.43%
Top 10 Hldgs %
43.79%
Holding
361
New
186
Increased
14
Reduced
24
Closed
74

Top Buys

Rank Stock Value
1
IPOF
Social Capital Hedosophia Holdings Corp. VI
IPOF
+$28M
2
BTAQ
Burgundy Technology Acquisition Corporation Class A Ordinary shares
BTAQ
+$27.4M
3
OPAD icon
Offerpad Solutions
OPAD
+$22.6M
4
KINZU
KINS Technology Group Inc. Unit
KINZU
+$19.3M
5
SVOKU
Seven Oaks Acquisition Corp. Unit
SVOKU
+$18.8M

Top Sells

Rank Stock Value
1
BTAQU
Burgundy Technology Acquisition Corporation Unit
BTAQU
+$27.9M
2
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
3
LCAPU
Lionheart Acquisition Corp. II Unit
LCAPU
+$11.1M
4
RMO
Romeo Power, Inc.
RMO
+$11M
5
PRPB.U
CC Neuberger Principal Holdings II
PRPB.U
+$10.7M

Sector Composition

Rank Sector Weight
1 Financials 14.63%
2 Technology 3.92%
3 Healthcare 3.83%
4 Industrials 3.6%
5 Consumer Discretionary 1.69%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NMMC
101
DELISTED
North Mountain Merger Corp. Class A Common Stock
NMMC
$2.07M 0.13%
+200,000
New +$2.06M
SNRHU
102
DELISTED
Senior Connect Acquisition Corp. I Unit
SNRHU
$2.06M 0.13%
+200,000
New +$2.06M
TRITW
103
DELISTED
Triterras, Inc. Warrant
TRITW
$2.05M 0.12%
+923,347
New +$2.49M
QSI icon
104
Quantum-Si Incorporated
QSI
$153M
$2.04M 0.12%
+199,998
New +$2.02M
GOAC
105
DELISTED
GO Acquisition Corp. Class A Common Stock
GOAC
$2.04M 0.12%
199,998
– –
RBOT
106
DELISTED
Vicarious Surgical
RBOT
$2.03M 0.12%
+6,667
New +$1.96M
IGAC
107
DELISTED
IG Acquisition Corp. Class A Common Stock
IGAC
$2.03M 0.12%
+200,000
New +$2M
MIMO
108
DELISTED
Airspan Networks Holdings Inc
MIMO
$2.01M 0.12%
+200,000
New +$2M
APPHW
109
DELISTED
AppHarvest, Inc. Warrants
APPHW
$1.99M 0.12%
431,523
-46,630
-10% -$146K
FPAC.U
110
DELISTED
Far Peak Acquisition Corporation Units, each consisting of one Class A ordinary share, and one-third of one redeemable warrant
FPAC.U
$1.99M 0.12%
+191,964
New +$1.96M
TLS icon
111
Telos
TLS
$331M
$1.98M 0.12%
+60,000
New +$1.43M
LFTRU
112
DELISTED
Lefteris Acquisition Corp. Unit
LFTRU
$1.96M 0.12%
+180,475
New +$1.83M
TALK icon
113
Talkspace
TALK
$874M
$1.84M 0.11%
170,000
-25,000
-13% -$249K
MKTWW
114
DELISTED
MarketWise, Inc. Warrant
MKTWW
$1.82M 0.11%
1,067,120
+49,791
+5% +$64.2K
FCAC
115
DELISTED
Falcon Capital Acquisition Corp. Class A Common Stock
FCAC
$1.82M 0.11%
+172,497
New +$1.79M
TOI icon
116
The Oncology Institute
TOI
$477M
$1.77M 0.11%
163,847
+88,000
+116% +$906K
DMYI.U
117
DELISTED
dMY Technology Group, Inc. III Units, each consisting of one share of Class A common stock and one-f
DMYI.U
$1.71M 0.1%
+150,000
New +$1.58M
BFT.WS
118
DELISTED
Foley Trasimene Acquisition Corp. II Warrants, each whole warrant exercisable for one share of Class
BFT.WS
$1.68M 0.1%
+366,748
New +$777K
BWACU
119
DELISTED
Better World Acquisition Corp. Unit
BWACU
$1.66M 0.1%
+150,000
New +$1.55M
IPOD
120
DELISTED
Social Capital Hedosophia Holdings Corp. IV
IPOD
$1.64M 0.1%
+120,000
New +$1.49M
BRLIU
121
DELISTED
Brilliant Acquisition Corporation Unit
BRLIU
$1.6M 0.1%
+146,487
New +$1.54M
CBAH.U
122
DELISTED
CBRE Acquisition Holdings, Inc. SAIL securities, each consisting of one share of Class A common stoc
CBAH.U
$1.57M 0.1%
+150,000
New +$1.57M
DUNEU
123
DELISTED
Dune Acquisition Corporation Unit
DUNEU
$1.54M 0.09%
+150,000
New +$1.53M
JOBY icon
124
Joby Aviation
JOBY
$6.54B
$1.53M 0.09%
+132,217
New +$1.47M
YSAC
125
DELISTED
Yellowstone Acquisition Company
YSAC
$1.52M 0.09%
+149,998
New +$1.54M
3 4
5
6 7

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Castle Creek Arbitrage's Q4 2020 Portfolio in Review

As of Q4 2020, Castle Creek Arbitrage held 361 positions worth $1.64B, up 26% from $1.3B the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Castle Creek Arbitrage's Q4 2020 filing shows 186 new, 14 increased, 24 reduced and 74 closed positions. Its largest new stake was Social Capital Hedosophia Holdings Corp. VI: 2,465,880 shares worth $30.3M. The largest sale was Burgundy Technology Acquisition Corporation Unit, an estimated $27.9M.

By sector, the portfolio is most concentrated in Financials at 15% of assets, up from 8.3% a quarter earlier, followed by Technology and Healthcare.

  • Castle Creek Arbitrage's largest Q4 2020 buy was Social Capital Hedosophia Holdings Corp. VI: 2,465,880 shares worth $30.3M.
  • Castle Creek Arbitrage added most to Nuvation Bio in Q4 2020, an estimated $8.68M increase.
  • Castle Creek Arbitrage's biggest Q4 2020 reduction was Aeva Technologies, cutting an estimated $8.14M.
  • Castle Creek Arbitrage fully exited Burgundy Technology Acquisition Corporation Unit in Q4 2020, selling an estimated $27.9M.
  • Castle Creek Arbitrage's ten largest holdings make up 44% of its $1.64B portfolio in Q4 2020.
  • Castle Creek Arbitrage opened 186 new positions and closed 74 in Q4 2020.
  • Castle Creek Arbitrage's portfolio value rose 26% quarter-over-quarter to $1.64B.

Based on Castle Creek Arbitrage's 13F filing for Q4 2020, filed 16 Feb 2021.