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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
+0.35%
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
$397M
AUM Growth
+$12.8M
Cap. Flow
-$248M
Cap. Flow %
-62.65%
Top 10 Hldgs %
55.18%
Holding
101
New
15
Increased
1
Reduced
2
Closed
13

Top Buys

Rank Stock Value
1
NFINU
Netfin Acquisition Corp. Unit
NFINU
+$10.2M
2
SSPKU
Silver Spike Acquisition Corp. Units
SSPKU
+$5.01M
3
THCAU
Tuscan Holdings Corp. II Unit
THCAU
+$3.87M
4
TMCXU
Trinity Merger Corp. Unit
TMCXU
+$2.54M
5
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$2.4M

Top Sells

Rank Stock Value
1
NKLA
Nikola Corporation Common Stock
NKLA
+$1.71M
2
PAACU
Proficient Alpha Acquisition Corp. Unit
PAACU
+$1.27M
3
LACQ
Leisure Acquisition Corp.
LACQ
+$810K
4
TKKSU
TKK Symphony Acquisition Corporation Unit
TKKSU
+$775K
5
KERNW
Akerna Corp Warrant
KERNW
+$239K

Sector Composition

Rank Sector Weight
1 Real Estate 0.39%
2 Energy 0.32%
3 Communication Services 0.07%
4 Consumer Discretionary 0.01%
5 Healthcare 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRPM.U
1
DELISTED
B. Riley Principal Merger Corp.
BRPM.U
$10.7M 2.7%
1,060,000
– –
NFINU
2
DELISTED
Netfin Acquisition Corp. Unit
NFINU
$10.2M 2.58%
+1,015,000
New +$10.2M
THCBU
3
DELISTED
Tuscan Holdings Corp. Unit
THCBU
$9.38M 2.37%
877,904
– –
SAMAU
4
DELISTED
Schultze Special Purpose Acquisition Corp. Unit
SAMAU
$6.05M 1.53%
585,000
– –
GRAF.U
5
DELISTED
Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant
GRAF.U
$5.9M 1.49%
573,000
– –
SSPKU
6
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
$5.04M 1.27%
+500,000
New +$5.01M
HCACU
7
DELISTED
Hennessy Capital Acquisition Corp. IV Unit
HCACU
$4.22M 1.06%
400,000
– –
TKKSU
8
DELISTED
TKK Symphony Acquisition Corporation Unit
TKKSU
$4.14M 1.04%
400,000
-75,000
-16% -$775K
TXN icon
9
PUT
Texas Instruments
TXN
$255B
$3.88M 0.98%
+30,000
New +$3.7M
THCAU
10
DELISTED
Tuscan Holdings Corp. II Unit
THCAU
$3.87M 0.98%
+385,000
New +$3.87M
XHB icon
11
PUT
State Street SPDR S&P Homebuilders ETF
XHB
$1.74B
$3.33M 0.84%
+75,500
New +$3.17M
BWMCU
12
DELISTED
Boxwood Merger Corp. Unit
BWMCU
$3.22M 0.81%
300,000
– –
GIX.U
13
DELISTED
GigCapital2, Inc.
GIX.U
$3.05M 0.77%
296,500
– –
TMCXU
14
DELISTED
Trinity Merger Corp. Unit
TMCXU
$2.71M 0.68%
+231,641
New +$2.54M
MNCLU
15
DELISTED
Monocle Acquisition Corporation Units
MNCLU
$2.61M 0.66%
250,000
– –
LFACU
16
DELISTED
LF Capital Acquistion Corp. Unit
LFACU
$2.41M 0.61%
228,346
– –
SBE.U
17
DELISTED
Switchback Energy Acquisition Corporation
SBE.U
$2.33M 0.59%
+233,000
New +$2.33M
AVTR.PRA
18
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$2.14M 0.54%
+40,000
New +$2.4M
TEVA icon
19
CALL
Teva Pharmaceuticals
TEVA
$35.9B
$2.06M 0.52%
+300,000
New +$2.3M
CFFAU
20
DELISTED
CF Finance Acquisition Corp. Unit
CFFAU
$2.01M 0.51%
190,000
– –
DDMXU
21
DELISTED
DD3 Acquisition Corp. Units
DDMXU
$2M 0.51%
193,000
– –
FMCIU
22
DELISTED
Forum Merger II Corporation Unit
FMCIU
$1.73M 0.44%
161,500
– –
MUDSU
23
DELISTED
Mudrick Capital Acquisition Corporation Unit
MUDSU
$1.7M 0.43%
156,815
– –
BRMK
24
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
$1.56M 0.39%
150,000
+5,859
+4% +$60.8K
TIBRU
25
DELISTED
Tiberius Acquisition Corporation Units
TIBRU
$1.54M 0.39%
143,200
– –
1
2 3

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GCMG
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AGP
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KI
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Castle Creek Arbitrage's Q3 2019 Portfolio in Review

As of Q3 2019, Castle Creek Arbitrage held 101 positions worth $397M, up 3.3% from $384M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Castle Creek Arbitrage withdrew a net $248M in Q3 2019, closing 13 positions and reducing 2 holdings. Its most notable exit was Nikola Corporation Common Stock, an estimated $1.71M position sold in full.

By sector, the portfolio is most concentrated in Real Estate at 0.39% of assets, up from 0.39% a quarter earlier, followed by Energy and Communication Services.

Against the trend, Castle Creek Arbitrage opened a new position in Netfin Acquisition Corp. Unit worth $10.2M.

  • Castle Creek Arbitrage's largest Q3 2019 buy was Netfin Acquisition Corp. Unit: 1,015,000 shares worth $10.2M.
  • Castle Creek Arbitrage added most to Broadmark Realty Capital Inc. Common Stock in Q3 2019, an estimated $60.8K increase.
  • Castle Creek Arbitrage's biggest Q3 2019 reduction was TKK Symphony Acquisition Corporation Unit, cutting an estimated $775K.
  • Castle Creek Arbitrage fully exited Nikola Corporation Common Stock in Q3 2019, selling an estimated $1.71M.
  • Castle Creek Arbitrage's ten largest holdings make up 55% of its $397M portfolio in Q3 2019.
  • Castle Creek Arbitrage opened 15 new positions and closed 13 in Q3 2019.
  • Castle Creek Arbitrage's portfolio value rose 3.3% quarter-over-quarter to $397M.

Based on Castle Creek Arbitrage's 13F filing for Q3 2019, filed 4 Nov 2019.