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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.U
176
DELISTED
GigCapital2, Inc.
GIX.U
– –
-296,500
Closed -$3.18M
GIK.U
177
DELISTED
GigCapital3, Inc. Units, each consisting of one share of Common Stock and three-fourths of one Redee
GIK.U
– –
-125,000
Closed -$1.25M
NPAUU
178
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
– –
-94,800
Closed -$1M
CIICU
179
DELISTED
CIIG Merger Corp. Units
CIICU
– –
-106,868
Closed -$1.09M
ROCHU
180
DELISTED
Roth CH Acquisition I Co. Unit
ROCHU
– –
-679,528
Closed -$6.83M
IPV.U
181
DELISTED
InterPrivate Acquisition Corp. Units, each consisting of one share of common stock, $.0001 par value
IPV.U
– –
-490,800
Closed -$4.97M
SBE.U
182
DELISTED
Switchback Energy Acquisition Corporation
SBE.U
– –
-233,000
Closed -$2.4M
LGVW.U
183
DELISTED
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
– –
-600,000
Closed -$6.06M
PCPL.U
184
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
– –
-350,000
Closed -$3.67M
NOVSU
185
DELISTED
Novus Capital Corporation Units
NOVSU
– –
-34,634
Closed -$362K
GHIVU
186
DELISTED
Gores Holdings IV, Inc. Unit
GHIVU
– –
-440,775
Closed -$4.58M
OAC.U
187
DELISTED
Oaktree Acquisition Corp.
OAC.U
– –
-200,000
Closed -$2.13M
DMYT.U
188
DELISTED
dMY Technology Group, Inc. Units, each consisting of one share of Class A Common Stock and one-half
DMYT.U
– –
-125,800
Closed -$1.33M
LOAK.U
189
DELISTED
Live Oak Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
LOAK.U
– –
-300,000
Closed -$3.01M
RMG.U
190
DELISTED
RMG Acquisition Corp.
RMG.U
– –
-50,000
Closed -$524K
PIC.U
191
DELISTED
Pivotal Investment Corporation II Units, each consisting of one share of Class A common stock and on
PIC.U
– –
-48,500
Closed -$500K
HCACU
192
DELISTED
Hennessy Capital Acquisition Corp. IV Unit
HCACU
– –
-275,000
Closed -$3.16M
TRNE.U
193
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
– –
-59,000
Closed -$650K
ATCXW
194
DELISTED
Atlas Technical Consultants, Inc. Warrant
ATCXW
– –
-261,652
Closed -$101K
GMHIU
195
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
– –
-23,417
Closed -$264K
HCCOU
196
DELISTED
Healthcare Merger Corp. Units
HCCOU
– –
-49,400
Closed -$509K
ARYBU
197
DELISTED
ARYA Sciences Acquisition Corp II Unit
ARYBU
– –
-50,005
Closed -$580K
FTACU
198
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
– –
-120,000
Closed -$1.5M
FMCIW
199
DELISTED
Forum Merger II Corporation Warrant
FMCIW
– –
-101,500
Closed -$475K
SAQNU
200
DELISTED
Software Acquisition Group Inc. Unit
SAQNU
– –
-600,000
Closed -$6.31M
5 6 7
8
9

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GCMG
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AGP
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KI
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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.