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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
-0.26%
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
$1.77B
AUM Growth
-$19M
Cap. Flow
-$473M
Cap. Flow %
-26.72%
Top 10 Hldgs %
23.74%
Holding
765
New
106
Increased
25
Reduced
48
Closed
117

Top Buys

Rank Stock Value
1
RVACU
Riverview Acquisition Corp. Unit
RVACU
+$24.7M
2
HWELU
Healthwell Acquisition Corp. I Unit
HWELU
+$23.8M
3
VCXAU
10X Capital Venture Acquisition Corp II Unit
VCXAU
+$19.8M
4
SEPAU
SEP Acquisition Corp Unit
SEPAU
+$17.2M
5
CCAIU
Cascadia Acquisition Corp. Unit
CCAIU
+$14.7M

Top Sells

Rank Stock Value
1
OPAD icon
Offerpad Solutions
OPAD
+$21M
2
MKTW icon
MarketWise
MKTW
+$16M
3
SUNL
Sunlight Financial Holdings, Inc.
SUNL
+$13.4M
4
SKYAU
Skydeck Acquisition Corp. Units
SKYAU
+$11.8M
5
BGRY
Berkshire Grey, Inc. Class A Common Stock
BGRY
+$10.5M

Sector Composition

Rank Sector Weight
1 Financials 36.72%
2 Technology 5.49%
3 Industrials 3.08%
4 Healthcare 3.06%
5 Consumer Discretionary 2.5%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DCRN
251
DELISTED
Decarbonization Plus Acquisition Corporation II Class A Common stock
DCRN
$959K 0.05%
97,212
– –
OPAD.WS
252
DELISTED
Offerpad Solutions Inc. Warrants, Every 15 warrants will be exercisable for one share of Class A Common Stock at an exercise price of $172.50 per share of Class A Common Stock
OPAD.WS
$953K 0.05%
+542,937
New +$972K
MKTWW
253
DELISTED
MarketWise, Inc. Warrant
MKTWW
$943K 0.05%
805,776
-261,344
-24% -$354K
SUNL.WS
254
DELISTED
Sunlight Financial Holdings, Inc. Warrants, exercisable for 1/20th of a share of Class A Common Stock at an exercise price of $230.00
SUNL.WS
$933K 0.05%
+848,016
New +$936K
DAVE icon
255
Dave Inc
DAVE
$4.82B
$923K 0.05%
2,909
– –
GGPI
256
DELISTED
Gores Guggenheim, Inc. Class A Common Stock
GGPI
$918K 0.05%
90,000
-10,000
-10% -$99.5K
DHBC
257
DELISTED
DHB Capital Corp. Class A common stock
DHBC
$907K 0.05%
93,516
– –
FINM
258
DELISTED
Marlin Technology Corporation Class A Ordinary Share
FINM
$901K 0.05%
92,379
– –
BTWN
259
DELISTED
Bridgetown Holdings Limited Class A Ordinary Shares
BTWN
$897K 0.05%
+91,471
New +$902K
BTAQW
260
DELISTED
Burgundy Technology Acquisition Corporation Warrant
BTAQW
$870K 0.05%
1,314,206
– –
UP.WS
261
DELISTED
Wheels Up Experience Inc. Redeemable Warrants, each warrant exercisable for 1/10th of a share of Common Stock at an exercise price of $115.00 per whole share of Common Stock
UP.WS
$868K 0.05%
+680,800
New +$1.11M
IPOD
262
DELISTED
Social Capital Hedosophia Holdings Corp. IV
IPOD
$831K 0.05%
82,141
– –
RSVRW
263
DELISTED
Reservoir Media Inc Warrant
RSVRW
$830K 0.05%
424,750
– –
BKSY.WS icon
264
BlackSky Technology Inc Warrants
BKSY.WS
$552K
$829K 0.05%
+536,430
New +$896K
FMIVU
265
DELISTED
Forum Merger IV Corporation Unit
FMIVU
$813K 0.05%
81,700
– –
BSN
266
DELISTED
Broadstone Acquisition Corp.
BSN
$800K 0.05%
80,482
– –
PDYNW icon
267
Palladyne AI Corp Warrants
PDYNW
$240K
$793K 0.04%
977,084
+119,337
+14% +$131K
IPVF
268
DELISTED
InterPrivate III Financial Partners Inc.
IPVF
$792K 0.04%
80,000
– –
LDHA
269
DELISTED
LDH Growth Corp I Class A Ordinary Shares
LDHA
$789K 0.04%
+81,095
New +$789K
SPIR.WS
270
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
$780K 0.04%
+455,911
New +$699K
CORS.U
271
DELISTED
Corsair Partnering Corporation Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
CORS.U
$779K 0.04%
+80,200
New +$800K
AHPAU
272
DELISTED
Avista Public Acquisition Corp. II Unit
AHPAU
$758K 0.04%
+75,000
New +$754K
HLLY.WS
273
DELISTED
Holley Inc Warrants
HLLY.WS
$739K 0.04%
+251,211
New +$671K
SLAC
274
DELISTED
Social Leverage Acquisition Corp I Class A Common Stock
SLAC
$732K 0.04%
74,996
– –
PRPC
275
DELISTED
CC Neuberger Principal Holdings III
PRPC
$732K 0.04%
+74,995
New +$730K
9 10
11
12 13

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AGP
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MWM
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Castle Creek Arbitrage's Q3 2021 Portfolio in Review

As of Q3 2021, Castle Creek Arbitrage held 765 positions worth $1.77B, down 1.1% from $1.79B the previous quarter. Its ten largest holdings account for 24% of the portfolio.

Castle Creek Arbitrage withdrew a net $473M in Q3 2021, closing 117 positions and reducing 48 holdings. Its most notable exit was Offerpad Solutions, an estimated $21M position sold in full.

By sector, the portfolio is most concentrated in Financials at 37% of assets, up from 36% a quarter earlier, followed by Technology and Industrials.

Against the trend, Castle Creek Arbitrage opened a new position in Riverview Acquisition Corp. Unit worth $24.7M.

  • Castle Creek Arbitrage's largest Q3 2021 buy was Riverview Acquisition Corp. Unit: 2,490,000 shares worth $24.7M.
  • Castle Creek Arbitrage added most to SoFi Technologies, Inc. Warrants in Q3 2021, an estimated $1.33M increase.
  • Castle Creek Arbitrage's biggest Q3 2021 reduction was Leafly Holdings, Inc. Common Stock, cutting an estimated $4.98M.
  • Castle Creek Arbitrage fully exited Offerpad Solutions in Q3 2021, selling an estimated $21M.
  • Castle Creek Arbitrage's ten largest holdings make up 24% of its $1.77B portfolio in Q3 2021.
  • Castle Creek Arbitrage opened 106 new positions and closed 117 in Q3 2021.
  • Castle Creek Arbitrage's portfolio value fell 1.1% quarter-over-quarter to $1.77B.

Based on Castle Creek Arbitrage's 13F filing for Q3 2021, filed 15 Nov 2021.