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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
+0.58%
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
$436M
AUM Growth
+$39.1M
Cap. Flow
-$249M
Cap. Flow %
-57.08%
Top 10 Hldgs %
49.14%
Holding
110
New
21
Increased
2
Reduced
2
Closed
17

Top Buys

Rank Stock Value
1
ALTG icon
Alta Equipment Group
ALTG
+$10.6M
2
SAQNU
Software Acquisition Group Inc. Unit
SAQNU
+$6.07M
3
LFLY
Leafly Holdings, Inc. Common Stock
LFLY
+$5.84M
4
ALUS.U
Alussa Energy Acquisition Corp
ALUS.U
+$4.52M
5
GLEO.U
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
+$4.04M

Top Sells

Rank Stock Value
1
BRPM.U
B. Riley Principal Merger Corp.
BRPM.U
+$10.7M
2
TKKSU
TKK Symphony Acquisition Corporation Unit
TKKSU
+$4.14M
3
BWMCU
Boxwood Merger Corp. Unit
BWMCU
+$3.22M
4
TMCXU
Trinity Merger Corp. Unit
TMCXU
+$2.71M
5
MNCLU
Monocle Acquisition Corporation Units
MNCLU
+$2.61M

Sector Composition

Rank Sector Weight
1 Industrials 3.72%
2 Technology 1.34%
3 Financials 0.34%
4 Real Estate 0.15%
5 Energy 0.03%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALTG icon
1
Alta Equipment Group
ALTG
$210M
$10.6M 2.44%
+1,060,000
New +$10.6M
NFINU
2
DELISTED
Netfin Acquisition Corp. Unit
NFINU
$10.3M 2.37%
1,015,000
– –
THCBU
3
DELISTED
Tuscan Holdings Corp. Unit
THCBU
$9.22M 2.12%
877,904
– –
THCAU
4
DELISTED
Tuscan Holdings Corp. II Unit
THCAU
$7.03M 1.61%
697,000
+312,000
+81% +$3.15M
SAMAU
5
DELISTED
Schultze Special Purpose Acquisition Corp. Unit
SAMAU
$6.14M 1.41%
585,000
– –
GRAF.U
6
DELISTED
Graf Industrial Corp. Units, each consisting of One share of Common Stock and One redeemable Warrant
GRAF.U
$6.1M 1.4%
573,000
– –
SAQNU
7
DELISTED
Software Acquisition Group Inc. Unit
SAQNU
$6.1M 1.4%
+600,000
New +$6.07M
LFLY
8
DELISTED
Leafly Holdings, Inc. Common Stock
LFLY
$5.84M 1.34%
+30,000
New +$5.84M
SSPKU
9
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
$5.08M 1.17%
500,000
– –
ALUS.U
10
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
$4.53M 1.04%
+450,000
New +$4.52M
HCACU
11
DELISTED
Hennessy Capital Acquisition Corp. IV Unit
HCACU
$4.32M 0.99%
400,000
– –
GLEO.U
12
DELISTED
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
$4.1M 0.94%
+400,000
New +$4.04M
SFTW.U
13
DELISTED
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
$4.05M 0.93%
+397,400
New +$3.99M
LIVKU
14
DELISTED
LIV Capital Acquisition Corp. Unit
LIVKU
$4.03M 0.92%
+400,000
New +$4.02M
GIX.U
15
DELISTED
GigCapital2, Inc.
GIX.U
$3.08M 0.71%
296,500
– –
DFNS.U
16
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
$3.05M 0.7%
+300,000
New +$3.03M
ATCX
17
DELISTED
Atlas Technical Consultants, Inc. Class A Common Stock
ATCX
$3.05M 0.7%
+300,000
New +$3.02M
TEVA icon
18
CALL
Teva Pharmaceuticals
TEVA
$35.9B
$2.94M 0.67%
300,000
– –
ASLE icon
19
AerSale
ASLE
$292M
$2.54M 0.58%
+250,000
New +$2.52M
AVTR.PRA
20
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
– –
-40,000
Closed -$2.28M
LFACU
21
DELISTED
LF Capital Acquistion Corp. Unit
LFACU
$2.42M 0.56%
228,346
– –
SBE.U
22
DELISTED
Switchback Energy Acquisition Corporation
SBE.U
$2.34M 0.54%
233,000
– –
DDMXU
23
DELISTED
DD3 Acquisition Corp. Units
DDMXU
$2.08M 0.48%
193,000
– –
CFFAU
24
DELISTED
CF Finance Acquisition Corp. Unit
CFFAU
$2.06M 0.47%
190,000
– –
FMCIU
25
DELISTED
Forum Merger II Corporation Unit
FMCIU
$1.73M 0.4%
161,500
– –
1
2 3 4

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GCMG
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AGP
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KI
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Castle Creek Arbitrage's Q4 2019 Portfolio in Review

As of Q4 2019, Castle Creek Arbitrage held 110 positions worth $436M, up 9.8% from $397M the previous quarter. Its ten largest holdings account for 49% of the portfolio.

Castle Creek Arbitrage withdrew a net $249M in Q4 2019, closing 17 positions and reducing 2 holdings. Its most notable exit was B. Riley Principal Merger Corp., an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 3.7% of assets, followed by Technology and Financials.

Against the trend, Castle Creek Arbitrage opened a new position in Alta Equipment Group worth $10.6M.

  • Castle Creek Arbitrage's largest Q4 2019 buy was Alta Equipment Group: 1,060,000 shares worth $10.6M.
  • Castle Creek Arbitrage added most to Tuscan Holdings Corp. II Unit in Q4 2019, an estimated $3.15M increase.
  • Castle Creek Arbitrage's biggest Q4 2019 reduction was Broadmark Realty Capital Inc. Common Stock, cutting an estimated $1.11M.
  • Castle Creek Arbitrage fully exited B. Riley Principal Merger Corp. in Q4 2019, selling an estimated $10.7M.
  • Castle Creek Arbitrage's ten largest holdings make up 49% of its $436M portfolio in Q4 2019.
  • Castle Creek Arbitrage opened 21 new positions and closed 17 in Q4 2019.
  • Castle Creek Arbitrage's portfolio value rose 9.8% quarter-over-quarter to $436M.

Based on Castle Creek Arbitrage's 13F filing for Q4 2019, filed 31 Jan 2020.