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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
FAZEW
426
DELISTED
FaZe Holdings Inc. Warrant
FAZEW
$148K 0.01%
191,666
– –
PPGHW
427
DELISTED
Poema Global Holdings Corp. Warrant
PPGHW
$147K 0.01%
164,751
– –
VLD.WS
428
DELISTED
Velo3D, Inc. Redeemable warrants, each Warrant exercisable for 1/35th of a share of Common Stock at an exercise price of $402.50
VLD.WS
$146K 0.01%
+100,000
New +$154K
LCAAW
429
DELISTED
L Catterton Asia Acquisition Corp Warrant
LCAAW
$146K 0.01%
209,176
– –
PICC
430
DELISTED
Pivotal Investment Corporation III
PICC
$146K 0.01%
+14,995
New +$146K
EVGOW
431
DELISTED
EVgo Inc Warrants
EVGOW
$145K 0.01%
80,797
– –
ADERW
432
DELISTED
26 Capital Acquisition Corp Warrant
ADERW
$145K 0.01%
174,999
– –
MIMO.WS
433
DELISTED
Airspan Networks Holdings Inc Warrants
MIMO.WS
$145K 0.01%
+200,000
New +$159K
ADEX.WS
434
DELISTED
Adit EdTech Acquisition Corp Warrants
ADEX.WS
$143K 0.01%
287,499
– –
HPX.WS
435
DELISTED
HPX Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HPX.WS
$143K 0.01%
242,800
– –
RCHGW
436
DELISTED
Recharge Acquisition Corp. Warrant
RCHGW
$143K 0.01%
230,000
– –
GIGGW
437
DELISTED
GigCapital4, Inc. Warrant
GIGGW
$137K 0.01%
133,332
– –
QSIAW
438
DELISTED
Quantum-Si Inc Warrant
QSIAW
$136K 0.01%
66,666
– –
TEKKW
439
DELISTED
Tekkorp Digital Acquisition Corp. Warrant
TEKKW
$136K 0.01%
157,170
– –
ML
440
DELISTED
MoneyLion Inc.
ML
$135K 0.01%
667
-3,135
-82% -$920K
SHCRW
441
DELISTED
Sharecare, Inc. Warrant
SHCRW
$134K 0.01%
+67,499
New +$98.8K
FMAC.WS
442
DELISTED
FirstMark Horizon Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one shar
FMAC.WS
$134K 0.01%
106,410
-250,000
-70% -$338K
ABVEW
443
DELISTED
Above Food Ingredients Inc Warrants
ABVEW
$133K 0.01%
230,126
– –
EVOJW
444
DELISTED
Evo Acquisition Corp. Warrant
EVOJW
$132K 0.01%
241,540
– –
ASZ.WS
445
DELISTED
Austerlitz Acquisition Corporation II Warrants, each whole Warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share
ASZ.WS
$131K 0.01%
126,651
– –
CMPOW
446
DELISTED
CompoSecure Inc Warrant
CMPOW
$129K 0.01%
80,000
-268,182
-77% -$415K
IIIIW
447
DELISTED
INSU Acquisition Corp. III Warrant
IIIIW
$127K 0.01%
+145,243
New +$141K
SWBK.WS
448
DELISTED
Switchback II Corporation Warrants, exercisable for one share of Class A Ordinary Share
SWBK.WS
$126K 0.01%
91,113
+2,463
+3% +$3.41K
PHICW
449
DELISTED
Population Health Investment Co., Inc. Warrant
PHICW
$125K 0.01%
166,666
– –
NXU.WS
450
DELISTED
Novus Capital Corporation II Redeemable warrants, each whole warrant exercisable for shares of Class
NXU.WS
$124K 0.01%
+116,666
New +$130K
16 17
18
19 20

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GCMG
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AGP
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KI
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MWM
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LBA
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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.