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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
GIX.RT
126
DELISTED
GigCapital2, Inc. Rights, each exchangeable into one-twentieth of a share of Common Stock
GIX.RT
$98K 0.01%
+296,500
New +$97.4K
ARYBW
127
DELISTED
ARYA Sciences Acquisition Corp II Warrant
ARYBW
$89K 0.01%
+49,052
New +$97.6K
IMTXW
128
DELISTED
Immatics N.V. Warrants
IMTXW
$85K 0.01%
+24,600
New +$82.2K
TRNE.WS
129
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$77K 0.01%
+29,500
New +$55.6K
GOAC.WS
130
DELISTED
GO Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock
GOAC.WS
$72K 0.01%
+66,666
New +$66.8K
BROGW
131
DELISTED
Brooge Holdings Limited Warrant expiring 12/20/2024
BROGW
$67K 0.01%
149,850
-400
-0.3% -$233
JWS.WS
132
DELISTED
Jaws Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary
JWS.WS
$66K 0.01%
+31,581
New +$67.8K
ALTG.WS
133
DELISTED
Alta Equipment Group Warrants
ALTG.WS
$64K ﹤0.01%
37,500
-229,500
-86% -$346K
LGC.WS
134
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$61K ﹤0.01%
+120,635
New +$50.4K
PIC.WS
135
DELISTED
Pivotal Investment Corporation II Redeemable Warrants, each whole warrant exercisable for shares of
PIC.WS
$60K ﹤0.01%
+16,166
New +$23.1K
GIK.WS
136
DELISTED
GigCapital3, Inc. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise
GIK.WS
$59K ﹤0.01%
+93,747
New +$52.9K
LVOXW
137
DELISTED
LiveVox Holding, Inc. Warrant
LVOXW
$58K ﹤0.01%
+68,504
New +$64.9K
WPF.WS
138
DELISTED
Foley Trasimene Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
WPF.WS
$55K ﹤0.01%
+24,214
New +$51.3K
SCPE.WS
139
DELISTED
SC Health Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an
SCPE.WS
$52K ﹤0.01%
+47,499
New +$50.9K
HOFVW
140
DELISTED
Hall of Fame Resort & Entertainment Company Warrant
HOFVW
$51K ﹤0.01%
+182,301
New +$144K
SRE.PRA
141
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
– –
0
– –
CIICW
142
DELISTED
CIIG Merger Corp. Warrants
CIICW
$46K ﹤0.01%
+53,578
New +$52.5K
HCCOW
143
DELISTED
Healthcare Merger Corp. Warrants
HCCOW
$44K ﹤0.01%
+24,700
New +$41.6K
LACQW
144
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$43K ﹤0.01%
89,881
– –
RMG.WS
145
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
$35K ﹤0.01%
+16,666
New +$22.6K
NESRW
146
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$33K ﹤0.01%
47,519
– –
BRLIR
147
DELISTED
Brilliant Acquisition Corporation Rights
BRLIR
$31K ﹤0.01%
+151,487
New +$27.2K
DFNSW
148
T3 Defense Inc Warrants
DFNSW
$876K
$27K ﹤0.01%
+151,487
New +$27.8K
BRMK.WS
149
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
$26K ﹤0.01%
91,312
– –
AEPPZ
150
DELISTED
American Electric Power Company, Inc. Corporate Units
AEPPZ
– –
0
– –
4 5
6
7 8

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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.