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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
ASAQ
126
DELISTED
Atlantic Avenue Acquisition Corp
ASAQ
$1.51M 0.09%
+149,998
New +$1.46M
RTPZ.U
127
DELISTED
Reinvent Technology Partners Z Units, each consisting of one Class A ordinary share and one-fifth o
RTPZ.U
$1.45M 0.09%
+127,149
New +$1.43M
PTICU
128
DELISTED
PropTech Investment Corporation II Unit
PTICU
$1.45M 0.09%
+136,069
New +$1.41M
BURU.WS
129
DELISTED
Nuburu, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
BURU.WS
$1.39M 0.08%
+995,896
New +$1.04M
SPNV.WS
130
DELISTED
Supernova Partners Acquisition Company, Inc. Warrants, each whole warrant exercisable for one share
SPNV.WS
$1.38M 0.08%
+673,486
New +$1.51M
CVS icon
131
CALL
CVS Health
CVS
$135B
$1.37M 0.08%
+20,000
New +$1.3M
EVGO icon
132
EVgo
EVGO
$219M
$1.34M 0.08%
+124,998
New +$1.29M
SBE.WS
133
DELISTED
Switchback Energy Acquisition Corporation Warrants, exercisable for one share of Class A Common Stoc
SBE.WS
$1.33M 0.08%
86,166
+8,500
+11% +$71K
LAZRW
134
DELISTED
Luminar Technologies, Inc. Warrant
LAZRW
$1.29M 0.08%
+75,000
New +$985K
DNMR.WS
135
DELISTED
Danimer Scientific, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class
DNMR.WS
$1.24M 0.08%
+109,601
New +$1.27M
IMPX.WS
136
DELISTED
AEA-Bridges Impact Corp Warrants
IMPX.WS
$1.16M 0.07%
+753,454
New +$931K
GCMGW
137
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$1.11M 0.07%
+620,134
New +$885K
VLTA
138
DELISTED
Volta Inc.
VLTA
$1.05M 0.06%
+98,326
New +$1.03M
TMPOW
139
DELISTED
Tempo Automation Holdings, Inc. Warrant
TMPOW
$1.04M 0.06%
750,099
– –
LOTZ
140
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
$1.04M 0.06%
92,807
-292,401
-76% -$3.01M
TEKKU
141
DELISTED
Tekkorp Digital Acquisition Corp. Unit
TEKKU
$1.03M 0.06%
+96,300
New +$988K
IACA
142
DELISTED
ION Acquisition Corp 1 Ltd.
IACA
$1.03M 0.06%
+87,557
New +$948K
LGVW.WS
143
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
$1.02M 0.06%
154,235
-90,930
-37% -$231K
SRSAW
144
DELISTED
Sarissa Capital Acquisition Corp. Warrants
SRSAW
$1.01M 0.06%
+368,860
New +$862K
HIGA
145
DELISTED
H.I.G. Acquisition Corp.
HIGA
$1.01M 0.06%
+99,999
New +$1M
XOS icon
146
Xos
XOS
$26.8M
$1.01M 0.06%
+3,333
New +$1M
ETACW
147
DELISTED
E.Merge Technology Acquisition Corp. Warrant
ETACW
$1.01M 0.06%
666,806
– –
GOEVW
148
DELISTED
Canoo Inc. Warrant
GOEVW
$987K 0.06%
274,982
+68,735
+33% +$187K
CLVRW
149
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$901K 0.05%
+585,000
New +$1.21M
WPF
150
DELISTED
Foley Trasimene Acquisition Corp.
WPF
$894K 0.05%
79,929
-106,505
-57% -$1.11M
4 5
6
7 8

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GCMG
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AGP
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KI
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MWM
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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.