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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
SFTW.WS
201
DELISTED
Osprey Technology Acquisition Corp. Redeemable Warrants, each whole Warrant exercisable for one shar
SFTW.WS
$292K 0.02%
198,700
– –
LIVKW
202
DELISTED
LIV Capital Acquisition Corp. Warrant
LIVKW
$280K 0.02%
400,000
– –
CEREW
203
DELISTED
Cerevel Therapeutics Holdings, Inc. Warrant
CEREW
$277K 0.02%
+49,052
New +$198K
NSH.WS
204
DELISTED
NavSight Holdings, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Sto
NSH.WS
$270K 0.02%
+210,838
New +$210K
CFACU
205
DELISTED
CF Finance Acquisition Corp. III Unit
CFACU
$268K 0.02%
+25,000
New +$258K
NMMCW
206
DELISTED
North Mountain Merger Corp. Warrant
NMMCW
$262K 0.02%
+194,123
New +$277K
ALUS.WS
207
DELISTED
Alussa Energy Acquisition Corp Warrants
ALUS.WS
$262K 0.02%
212,899
-12,100
-5% -$10.1K
HPX.WS
208
DELISTED
HPX Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HPX.WS
$260K 0.02%
+242,800
New +$214K
HYZN
209
DELISTED
Hyzon Motors Inc. Class A Common Stock
HYZN
$251K 0.02%
+473
New +$247K
VIHAW
210
DELISTED
VPC Impact Acquisition Holdings Warrant
VIHAW
$250K 0.02%
+224,999
New +$220K
ORGNW
211
DELISTED
Origin Materials Inc Warrants
ORGNW
$247K 0.02%
112,137
-177,096
-61% -$264K
JWS.WS
212
DELISTED
Jaws Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary
JWS.WS
$243K 0.01%
89,845
+58,264
+184% +$125K
TWCTW
213
DELISTED
TWC Tech Holdings II Corp. Warrant
TWCTW
$220K 0.01%
+133,399
New +$184K
SBG.WS
214
DELISTED
Sandbridge Acquisition Corporation Warrants, each whole warrant exercisable for one share of Class A
SBG.WS
$210K 0.01%
+161,316
New +$145K
FGNA.WS
215
DELISTED
FG New America Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A c
FGNA.WS
$203K 0.01%
+140,000
New +$140K
NBA.WS
216
DELISTED
New Beginnings Acquisition Corp. Redeemable Warrants, each warrant exercisable for one share of Comm
NBA.WS
$200K 0.01%
+200,000
New +$139K
CCX.WS
217
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
$197K 0.01%
+100,000
New +$148K
AVAN
218
DELISTED
Avanti Acquisition Corp.
AVAN
$195K 0.01%
+19,014
New +$190K
CMAXW
219
DELISTED
CareMax, Inc. Warrant
CMAXW
$183K 0.01%
+44,651
New +$98.3K
CPSR.WS
220
DELISTED
Capstar Special Purpose Acquisition Corp. Warrants, each whole warrant exercisable for one share of
CPSR.WS
$176K 0.01%
124,999
– –
TALKW
221
DELISTED
Talkspace Inc Warrant
TALKW
$168K 0.01%
97,500
– –
IGACW
222
DELISTED
IG Acquisition Corp. Warrant
IGACW
$165K 0.01%
+100,000
New +$126K
SOFIW
223
DELISTED
SoFi Technologies, Inc. Warrants
SOFIW
$163K 0.01%
+46,134
New +$127K
PMVC.WS
224
DELISTED
PMV Consumer Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
PMVC.WS
$151K 0.01%
+137,500
New +$122K
BSN.WS
225
DELISTED
Broadstone Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share
BSN.WS
$146K 0.01%
+130,185
New +$116K
7 8
9
10 11

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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.