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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
GSMGW
151
DELISTED
Cheer Holding, Inc. Warrant expiring 2/13/2025
GSMGW
$24K ﹤0.01%
400,000
– –
SCVX.WS
152
DELISTED
SCVX Corp.
SCVX.WS
$22K ﹤0.01%
+15,000
New +$19.5K
KXIN icon
153
Kaixin Holdings
KXIN
$8.96M
– –
0
– –
STRDW
154
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$7K ﹤0.01%
91,380
– –
ALTG icon
155
Alta Equipment Group
ALTG
$194M
– –
-32,846
Closed -$255K
CMCSA icon
156
CALL
Comcast
CMCSA
$87.3B
– –
-50,000
Closed -$1.95M
GCMG icon
157
GCM Grosvenor
GCMG
$737M
– –
-1,326,763
Closed -$14.4M
HYMCW
158
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
– –
-59,015
Closed -$72K
LSEA
159
DELISTED
Landsea Homes
LSEA
– –
-1,101,646
Closed -$11.8M
UTZ icon
160
Utz Brands
UTZ
$1.24B
– –
-110,000
Closed -$1.5M
BRLIU
161
DELISTED
Brilliant Acquisition Corporation Unit
BRLIU
– –
-180,000
Closed -$1.8M
DMS
162
DELISTED
Digital Media Solutions, Inc.
DMS
– –
-16,767
Closed -$2.61M
RIDE
163
DELISTED
Lordstown Motors Corp. Class A Common Stock
RIDE
– –
-35,376
Closed -$5.47M
GNOG
164
DELISTED
Golden Nugget Online Gaming, Inc. Class A Common Stock
GNOG
– –
-385,795
Closed -$6.29M
SCVX.U
165
DELISTED
SCVX Corp. Units, each consisting of one Class A ordinary share, $0.0001 par value per share, and on
SCVX.U
– –
-30,000
Closed -$311K
GLEO.U
166
DELISTED
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
– –
-400,000
Closed -$4.14M
SFTW.U
167
DELISTED
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
– –
-397,400
Closed -$4.11M
SOAC.U
168
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
– –
-574,636
Closed -$5.8M
SCPE
169
DELISTED
SC Health Corporation
SCPE
– –
-138,000
Closed -$1.4M
SCPE.U
170
DELISTED
SC Health Corporation Units, each consisting of one Class A ordinary share, $0.0001 par value, and o
SCPE.U
– –
-95,000
Closed -$988K
THCBU
171
DELISTED
Tuscan Holdings Corp. Unit
THCBU
– –
-877,904
Closed -$9.39M
ALUS.U
172
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
– –
-450,000
Closed -$4.53M
HECCU
173
DELISTED
Hudson Executive Investment Corp. Units
HECCU
– –
-195,000
Closed -$1.99M
GNRSU
174
DELISTED
Greenrose Acquisition Corp. Unit
GNRSU
– –
-500,000
Closed -$4.99M
SSPKU
175
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
– –
-500,000
Closed -$5.14M
5 6
7
8 9

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GCMG
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AGP
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MWM
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LBA
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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.