$436 Million is the total value of Castle Creek Arbitrage, LLC's 94 reported holdings in Q4 2019. The portfolio turnover from Q3 2019 to Q4 2019 was 54.5% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| MICROCHIP TECHNOLOGY INCnote 1.625% 2/1 | $68,409,000 | +13.1% | 31,786,000 | 0.0% | 15.70% | +3.0% | ||
| WORKDAY INCnote 1.500% 7/1 | $39,967,000 | -3.2% | 19,800,000 | 0.0% | 9.17% | -11.9% | ||
| CYPRESS SEMICONDUCTOR CORPnote 4.500% 1/1 | $31,413,000 | -0.1% | 18,029,000 | 0.0% | 7.21% | -9.1% | ||
| Sell | CAESARS ENTMT CORPnote 5.000%10/0 | $12,494,000 | -47.5% | 6,500,000 | -53.6% | 2.87% | -52.2% | |
| SERVICENOW INCnote 6/0 | $12,188,000 | +10.1% | 5,765,000 | 0.0% | 2.80% | +0.2% | ||
| BRPM | New | B RILEY PRINCIPAL MERGER CORcl a | $10,611,000 | – | 1,060,000 | +100.0% | 2.44% | – |
| NFINU | NETFIN ACQUISITION CORPunit 08/01/2024 | $10,343,000 | +1.1% | 1,015,000 | 0.0% | 2.37% | -7.9% | |
| MICRON TECHNOLOGY INCnote 3.125% 5/0 | $10,218,000 | +25.2% | 1,897,000 | 0.0% | 2.34% | +13.9% | ||
| Buy | VEONEER INCORPORATEDnote 4.000% 6/0 | $9,237,000 | +24.7% | 9,000,000 | +20.0% | 2.12% | +13.6% | |
| THCBU | TUSCAN HOLDINGS CORPunit 99/99/9999 | $9,218,000 | -1.8% | 877,904 | 0.0% | 2.12% | -10.6% | |
| RESTORATION HARDWARE HLDGS Idbcv 7/1 | $9,055,000 | +21.7% | 5,012,000 | 0.0% | 2.08% | +10.7% | ||
| MEDICINES COnote 2.750% 7/1 | $8,712,000 | +44.0% | 5,000,000 | 0.0% | 2.00% | +31.1% | ||
| New | INSULET CORPnote 1.375%11/1 | $8,564,000 | – | 4,500,000 | +100.0% | 1.97% | – | |
| New | WRIGHT MED GROUP N Vnote 2.250%11/1 | $7,987,000 | – | 5,500,000 | +100.0% | 1.83% | – | |
| MICROCHIP TECHNOLOGY INCnote 2.250% 2/1 | $7,560,000 | +12.6% | 5,201,000 | 0.0% | 1.74% | +2.5% | ||
| SPLUNK INCnote 0.500% 9/1 | $7,235,000 | +12.2% | 6,000,000 | 0.0% | 1.66% | +2.2% | ||
| New | KARYOPHARM THERAPEUTICS INCnote 3.000%10/1 | $7,165,000 | – | 5,000,000 | +100.0% | 1.64% | – | |
| THCAU | Buy | TUSCAN HLDGS CORP IIunit 04/01/2026 | $7,033,000 | +81.8% | 697,000 | +81.0% | 1.61% | +65.5% |
| SAMAU | SCHULTZE SPL PURP ACQUSTN COunit 12/31/2023 | $6,143,000 | +1.5% | 585,000 | 0.0% | 1.41% | -7.7% | |
| GRAFU | GRAF INDL CORPunit 12/31/2025 | $6,100,000 | +3.4% | 573,000 | 0.0% | 1.40% | -5.9% | |
| SAQNU | New | SOFTWARE ACQUISITION GROUP Iunit 10/01/2026 | $6,096,000 | – | 600,000 | +100.0% | 1.40% | – |
| MCMJ | New | MERIDA MERGER CORP I | $5,844,000 | – | 600,000 | +100.0% | 1.34% | – |
| INTERCEPT PHARMACEUTICALS INnote 3.250% 7/0 | $5,571,000 | +17.7% | 5,504,000 | 0.0% | 1.28% | +7.1% | ||
| DEXCOM INCnote 0.750% 5/1 | $5,562,000 | +40.0% | 2,500,000 | 0.0% | 1.28% | +27.6% | ||
| THERAVANCE BIOPHARMA INCnote 3.250%11/0 | $5,342,000 | +12.2% | 5,149,000 | 0.0% | 1.23% | +2.1% | ||
| RADIUS HEALTH INCnote 3.000% 9/0 | $5,270,000 | -7.3% | 6,208,000 | 0.0% | 1.21% | -15.6% | ||
| SSPKU | SILVER SPIKE ACQUISITION CORunit 99/99/9999 | $5,085,000 | +0.9% | 500,000 | 0.0% | 1.17% | -8.1% | |
| VISHAY INTERTECHNOLOGY INCnote 2.250% 6/1 | $5,018,000 | +6.9% | 5,000,000 | 0.0% | 1.15% | -2.6% | ||
| REALPAGE INCnote 1.500%11/1 | $4,936,000 | -11.7% | 3,537,000 | 0.0% | 1.13% | -19.6% | ||
| ALUSU | New | ALUSSA ENERGY ACQUISITION COunit 10/31/2026 | $4,532,000 | – | 450,000 | +100.0% | 1.04% | – |
| HCACU | HENNESSY CAP ACQUSTION CORPunit 99/99/9999 | $4,320,000 | +2.4% | 400,000 | 0.0% | 0.99% | -6.8% | |
| FIREEYE INCnote 0.875% 6/0 | $4,283,000 | +6.9% | 4,254,000 | 0.0% | 0.98% | -2.7% | ||
| GLEOU | New | GALILEO ACQUISITION CORPunit 99/99/9999 | $4,096,000 | – | 400,000 | +100.0% | 0.94% | – |
| SFTWU | New | OSPREY TECHNLGY AQUISTION COunit 10/30/2024 | $4,046,000 | – | 397,400 | +100.0% | 0.93% | – |
| LIVKU | New | LIV CAP ACQUISITION CORPunit 99/99/9999 | $4,025,000 | – | 400,000 | +100.0% | 0.92% | – |
| THERAVANCE INCnote 2.125% 1/1 | $3,611,000 | +7.1% | 3,583,000 | 0.0% | 0.83% | -2.5% | ||
| COLONY STARWOOD HOMESnote 3.500% 1/1 | $3,241,000 | +1.2% | 2,402,000 | 0.0% | 0.74% | -7.9% | ||
| GIXU | GIGCAPITAL2 INCunit 02/28/2026 | $3,084,000 | +1.0% | 296,500 | 0.0% | 0.71% | -8.1% | |
| DFNSU | New | LGL SYS ACQUISITION CORPunit 10/24/2024 | $3,051,000 | – | 300,000 | +100.0% | 0.70% | – |
| BWMC | New | BOXWOOD MERGER CORP | $3,048,000 | – | 300,000 | +100.0% | 0.70% | – |
| RENEWABLE ENERGY GROUP INCnote 4.000% 6/1 | $2,988,000 | +68.8% | 1,175,000 | 0.0% | 0.69% | +53.8% | ||
| TEVA | TEVA PHARMACEUTICAL INDS LTDcall | $2,940,000 | +42.4% | 300,000 | 0.0% | 0.68% | +29.8% | |
| New | CTRIP COM INTL LTDnote 1.990% 7/0 | $2,632,000 | – | 2,500,000 | +100.0% | 0.60% | – | |
| MNCL | New | MONOCLE ACQUISITION CORP | $2,543,000 | – | 250,000 | +100.0% | 0.58% | – |
| AVTRPRA | New | AVANTOR INC6.25 pfd cnv sr | $2,525,000 | – | 40,000 | +100.0% | 0.58% | – |
| INTREXON CORPnote 3.500% 7/0 | $2,442,000 | -0.9% | 4,035,000 | 0.0% | 0.56% | -9.8% | ||
| LFACU | LF CAP ACQUISITION CORPunit 06/19/2025 | $2,421,000 | +0.3% | 228,346 | 0.0% | 0.56% | -8.7% | |
| SBEU | SWITCHBACK ENERGY ACQUISITIOunit 99/99/9999 | $2,337,000 | +0.3% | 233,000 | 0.0% | 0.54% | -8.7% | |
| NABORS INDS INC NEWnote 0.750% 1/1 | $2,277,000 | +17.7% | 3,000,000 | 0.0% | 0.52% | +7.2% | ||
| TESLA INCnote 2.000% 5/1 | $2,266,000 | +48.4% | 1,500,000 | 0.0% | 0.52% | +35.1% | ||
| DDMXU | DD3 ACQUISITION CORPunit 10/12/2023 | $2,084,000 | +4.0% | 193,000 | 0.0% | 0.48% | -5.3% | |
| CFFAU | CF FIN ACQUISITION CORPunit 04/30/2025 | $2,062,000 | +2.7% | 190,000 | 0.0% | 0.47% | -6.5% | |
| TESLA INCnote 2.375% 3/1 | $2,031,000 | +39.5% | 1,432,000 | 0.0% | 0.47% | +27.0% | ||
| CLOVIS ONCOLOGY INCnote 1.250% 5/0 | $1,912,000 | +50.6% | 3,000,000 | 0.0% | 0.44% | +37.2% | ||
| ACORDA THERAPEUTICS INCnote 1.750% 6/1 | $1,751,000 | -3.5% | 2,310,000 | 0.0% | 0.40% | -12.2% | ||
| FMCIU | FORUM MERGER II CORPunit 09/30/2025 | $1,733,000 | +0.3% | 161,500 | 0.0% | 0.40% | -8.7% | |
| MUDSU | MUDRICK CAP ACQUISITION CORPunit 02/01/2023 | $1,673,000 | -1.6% | 156,815 | 0.0% | 0.38% | -10.5% | |
| TIBR | New | TIBERIUS ACQUISITION CORP | $1,500,000 | – | 143,200 | +100.0% | 0.34% | – |
| TWNKW | HOSTESS BRANDS INC*w exp 11/04/202 | $1,353,000 | +7.0% | 737,089 | 0.0% | 0.31% | -2.5% | |
| CRSAU | Buy | CRESCENT ACQUISITION CORPunit 99/99/9999 | $1,308,000 | +22.7% | 127,009 | +21.1% | 0.30% | +11.5% |
| FTACU | FINTECH ACQUISITION CORP IIIunit 12/01/2023 | $1,296,000 | +1.1% | 120,000 | 0.0% | 0.30% | -8.0% | |
| CCHU | COLLIER CREEK HOLDINGSunit 99/99/9999 | $1,282,000 | +0.1% | 120,000 | 0.0% | 0.29% | -9.0% | |
| AMCIU | AMCI ACQUISITION CORPunit 01/07/2019 | $1,247,000 | +0.5% | 120,000 | 0.0% | 0.29% | -8.6% | |
| NPAUU | NEW PROVIDENCE ACQUISITIN COunit 09/01/2024 | $1,027,000 | +1.8% | 100,000 | 0.0% | 0.24% | -7.1% | |
| SCPEU | SC HEALTH CORPunit 99/99/9999 | $985,000 | +0.2% | 95,000 | 0.0% | 0.23% | -8.9% | |
| DERMIRA INCnote 3.000% 5/1 | $934,000 | +10.8% | 1,006,000 | 0.0% | 0.21% | +0.5% | ||
| BRMK | New | BROADMARK RLTY CAP INC | $636,000 | – | 50,000 | +100.0% | 0.15% | – |
| SPLUNK INCnote 1.125% 9/1 | $618,000 | +12.8% | 500,000 | 0.0% | 0.14% | +2.9% | ||
| TRNEU | TRINE ACQUISITION CORPunit 03/31/2021 | $605,000 | -0.8% | 59,000 | 0.0% | 0.14% | -9.7% | |
| ARYAU | ARYA SCIENCES ACQUISITION COunit 10/04/2023 | $575,000 | +5.1% | 50,000 | 0.0% | 0.13% | -4.3% | |
| HCCOU | New | HEALTHCARE MERGER CORPunit 12/17/2021 | $518,000 | – | 50,000 | +100.0% | 0.12% | – |
| SHLLU | TORTOISE ACQUISITION CORPunit 03/04/2024 | $509,000 | +1.0% | 50,000 | 0.0% | 0.12% | -7.9% | |
| RMGU | RMG ACQUISITION CORPunit 99/99/9999 | $508,000 | +0.6% | 50,000 | 0.0% | 0.12% | -7.9% | |
| CCCWS | CLARIVATE ANALYTICS PLC*w exp 05/13/202 | $432,000 | -2.3% | 75,000 | 0.0% | 0.10% | -10.8% | |
| GMHIU | GORES METROPOULOS INCunit 99/99/9999 | $266,000 | +0.4% | 25,000 | 0.0% | 0.06% | -9.0% | |
| BRPMWS | New | B RILEY PRINCIPAL MERGER COR*w exp 04/08/202 | $230,000 | – | 280,000 | +100.0% | 0.05% | – |
| BWMCW | New | BOXWOOD MERGER CORP*w exp 11/26/202 | $183,000 | – | 300,000 | +100.0% | 0.04% | – |
| VTIQW | VECTOIQ ACQUISITION CORP*w exp 05/11/202 | $174,000 | +8.8% | 319,050 | 0.0% | 0.04% | 0.0% | |
| MCMJW | New | MERIDA MERGER CORP I*w exp 11/07/202 | $149,000 | – | 300,000 | +100.0% | 0.03% | – |
| MNCLW | New | MONOCLE ACQUISITION CORP*w exp 12/06/202 | $150,000 | – | 200,000 | +100.0% | 0.03% | – |
| BROG | New | BROOGE HLDGS LTD | $149,000 | – | 16,946 | +100.0% | 0.03% | – |
| BROGW | New | BROOGE HLDGS LTD*w exp 12/20/202 | $120,000 | – | 169,470 | +100.0% | 0.03% | – |
| GPAQW | GORDON POINTE ACQUISITION CO*w exp 07/30/202 | $118,000 | +7.3% | 358,250 | 0.0% | 0.03% | -3.6% | |
| TKKSR | New | TKK SYMPHONY ACQUISITION CORright 02/20/2020 | $100,000 | – | 400,000 | +100.0% | 0.02% | – |
| SONGW | AKAZOO SA*w exp 09/11/202 | $85,000 | -35.6% | 171,462 | 0.0% | 0.02% | -39.4% | |
| LACQW | LEISURE ACQUISITION CORP*w exp 12/05/201 | $89,000 | +32.8% | 89,881 | 0.0% | 0.02% | +17.6% | |
| HEXO | HEXO CORPcall | $40,000 | -59.6% | 25,000 | 0.0% | 0.01% | -64.0% | |
| KXIN | KAIXIN AUTO HLDGS | $38,000 | +2.7% | 20,476 | 0.0% | 0.01% | 0.0% | |
| BRMKWS | New | BROADMARK RLTY CAP INC*w exp 11/15/202 | $35,000 | – | 91,312 | +100.0% | 0.01% | – |
| NESRW | Sell | NATIONAL ENERGY SERVICES REU*w exp 05/05/202 | $36,000 | +89.5% | 47,519 | -8.3% | 0.01% | +60.0% |
| TKKSW | New | TKK SYMPHONY ACQUISITION COR*w exp 02/20/202 | $24,000 | – | 400,000 | +100.0% | 0.01% | – |
| FALCON MINERALS CORP*w exp 07/21/202 | $27,000 | -15.6% | 91,380 | 0.0% | 0.01% | -25.0% | ||
| ROSWQ | ROSEHILL RES INC*w exp 04/27/202 | $14,000 | -39.1% | 150,271 | 0.0% | 0.00% | -50.0% | |
| ESTWF | ESTRE AMBIENTAL INC*w exp 12/21/202 | $1,000 | -85.7% | 311,850 | 0.0% | 0.00% | -100.0% | |
| BROGW | Exit | TWELVE SEAS INVESTMENT COMPA*w exp 12/22/202 | $0 | – | -169,470 | -100.0% | -0.01% | – |
| BROGR | Exit | TWELVE SEAS INVESTMENT COMPAright 12/22/2019 | $0 | – | -169,470 | -100.0% | -0.02% | – |
| TMCXW | Exit | TRINITY MERGER CORP*w exp 05/11/202 | $0 | – | -56,271 | -100.0% | -0.02% | – |
| PACQW | Exit | PURE ACQUISITION CORP*w exp 04/17/202 | $0 | – | -136,728 | -100.0% | -0.04% | – |
| TSG | Exit | STARS GROUP INC | $0 | – | -18,000 | -100.0% | -0.07% | – |
| OACU | Exit | OAKTREE ACQUISITION CORPunit 99/99/9999 | $0 | – | -45,000 | -100.0% | -0.12% | – |
| IYR | Exit | ISHARES TRput | $0 | – | -10,000 | -100.0% | -0.24% | – |
| PACQ | Exit | PURE ACQUISITION CORPcl a | $0 | – | -123,456 | -100.0% | -0.32% | – |
| TIBRU | Exit | TIBERIUS ACQUISITION CORPunit 02/28/2021 | $0 | – | -143,200 | -100.0% | -0.39% | – |
| TMCX | Exit | TRINITY MERGER CORP | $0 | – | -150,000 | -100.0% | -0.40% | – |
| AVTRPRA | Exit | AVANTOR INC6.25 pfd cnv sr | $0 | – | -40,000 | -100.0% | -0.54% | – |
| MNCLU | Exit | MONOCLE ACQUISITION CORPunit 99/99/9999 | $0 | – | -250,000 | -100.0% | -0.66% | – |
| TMCXU | Exit | TRINITY MERGER CORPunit 05/11/2025 | $0 | – | -231,641 | -100.0% | -0.68% | – |
| Exit | ENVESTNET INCnote 1.750% 6/0 | $0 | – | -2,836,000 | -100.0% | -0.77% | – | |
| BWMCU | Exit | BOXWOOD MERGER CORPunit 11/26/2025 | $0 | – | -300,000 | -100.0% | -0.81% | – |
| XHB | Exit | SPDR SERIES TRUSTput | $0 | – | -75,500 | -100.0% | -0.84% | – |
| TXN | Exit | TEXAS INSTRS INCput | $0 | – | -30,000 | -100.0% | -0.98% | – |
| TKKSU | Exit | TKK SYMPHONY ACQUISITION CORunit 08/15/2023 | $0 | – | -400,000 | -100.0% | -1.04% | – |
| Exit | INSULET CORPdebt 0.375% 9/0 | $0 | – | -4,500,000 | -100.0% | -1.15% | – | |
| BRPMU | Exit | B RILEY PRINCIPAL MERGER CORunit 99/99/9999 | $0 | – | -1,060,000 | -100.0% | -2.70% | – |
| Exit | ISIS PHARMACEUTICALS INC DELnote 1.000%11/1 | $0 | – | -10,734,000 | -100.0% | -3.09% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2020-01-31
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| MICRON TECHNOLOGY INC | 26 | Q4 2019 | 31.5% |
| THERAVANCE INC | 24 | Q3 2020 | 1.7% |
| NATIONAL ENERGY SERVICES REU | 21 | Q1 2023 | 0.0% |
| Tesla Mtrs Inc | 19 | Q3 2018 | 1.9% |
| Zions Bancorporation | 19 | Q4 2017 | 1.5% |
| MICRON TECHNOLOGY INC | 18 | Q2 2018 | 33.8% |
| TESARO INC | 18 | Q4 2018 | 7.8% |
| ASSOCIATED BANC CORP | 18 | Q1 2018 | 0.4% |
| SunTrust Bks Inc | 18 | Q4 2017 | 0.2% |
| MICROCHIP TECHNOLOGY INC | 17 | Q1 2020 | 15.8% |
View Castle Creek Arbitrage, LLC's complete holdings history.
Latest significant ownerships (13-D/G)
| Filed | Shares | Percentage | |
|---|---|---|---|
| 10X Capital Venture Acquisition Corp. IISold out | February 13, 2023 | 0 | 0.0% |
| 7GC & Co. Holdings Inc. | February 13, 2023 | 450,000 | 8.9% |
| Fortistar Sustainable Solutions Corp.Sold out | February 13, 2023 | 0 | 0.0% |
| KINS Technology Group, Inc.Sold out | February 13, 2023 | 0 | 0.0% |
| Riverview Acquisition Corp. | February 13, 2023 | 684,332 | 0.9% |
| Sarissa Capital Acquisition Corp.Sold out | February 13, 2023 | 0 | 0.0% |
| SEP Acquisition Corp.Sold out | February 13, 2023 | 0 | 0.0% |
| Stratim Cloud Acquisition Corp.Sold out | February 13, 2023 | 0 | 0.0% |
| Tuscan Holdings Corp. IISold out | February 13, 2023 | 0 | 0.0% |
| ACE Convergence Acquisition Corp. | February 11, 2022 | 688,810 | 3.0% |
View Castle Creek Arbitrage, LLC's complete significant-ownership history.
Latest filings
| Type | Filed |
|---|---|
| 13F-HR | 2024-01-18 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
| SC 13G/A | 2024-01-10 |
View Castle Creek Arbitrage, LLC's complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.