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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
CPSR.WS
451
DELISTED
Capstar Special Purpose Acquisition Corp. Warrants, each whole warrant exercisable for one share of
CPSR.WS
$123K 0.01%
141,423
-10,000
-7% -$9.14K
FSRDW
452
DELISTED
Fast Radius, Inc. Warrants
FSRDW
$122K 0.01%
149,196
+9,972
+7% +$9.89K
FACA.WS
453
DELISTED
Figure Acquisition Corp. I Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
FACA.WS
$119K 0.01%
115,686
– –
HZON.WS
454
DELISTED
Horizon Acquisition Corporation II Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HZON.WS
$118K 0.01%
131,422
+258
+0.2% +$276
RKTA.WS
455
DELISTED
Rocket Internet Growth Opportunities Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per share
RKTA.WS
$118K 0.01%
148,841
– –
ASAXW
456
DELISTED
Astrea Acquisition Corp. Warrant
ASAXW
$117K 0.01%
149,899
– –
MONCW
457
DELISTED
Monument Circle Acquisition Corp. Warrant
MONCW
$117K 0.01%
204,830
– –
EDTXW
458
DELISTED
EdtechX Holdings Acquisition Corp. II Warrant
EDTXW
$115K 0.01%
225,000
– –
RKLY.WS
459
DELISTED
Rockley Photonics Holdings Limited Warrants, each warrant exercisable for one ordinary share at an exercise price of $11.50
RKLY.WS
$114K 0.01%
+47,499
New +$106K
CLRMW
460
DELISTED
Clarim Acquisition Corp. Warrant
CLRMW
$113K 0.01%
181,472
– –
HTPA.WS
461
DELISTED
Highland Transcend Partners I Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HTPA.WS
$112K 0.01%
74,787
– –
EMBKW
462
DELISTED
Embark Technology, Inc. Warrants
EMBKW
$110K 0.01%
103,118
– –
PIIIW icon
463
P3 Health Partners Inc Warrant
PIIIW
$126K
$109K 0.01%
+124,295
New +$149K
MACAW
464
DELISTED
Moringa Acquisition Corp Warrant
MACAW
$107K 0.01%
178,759
– –
PEARW
465
DELISTED
Pear Therapeutics, Inc. Warrant
PEARW
$107K 0.01%
116,666
– –
ACKIW
466
DELISTED
Ackrell SPAC Partners I Co Warrants
ACKIW
$107K 0.01%
229,130
– –
LSEAW
467
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$104K 0.01%
425,731
– –
GRNAW
468
DELISTED
GreenLight Biosciences Holdings, PBC Warrant
GRNAW
$101K 0.01%
100,000
– –
MLAC
469
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
$100K 0.01%
10,084
– –
AUR icon
470
Aurora
AUR
$11.7B
$99K 0.01%
10,000
– –
PDYN icon
471
Palladyne AI
PDYN
$228M
$99K 0.01%
2,128
-6,205
-74% -$368K
NESRW
472
DELISTED
National Energy Services Reunited Corp. Warrant
NESRW
$99K 0.01%
47,519
– –
NSTB
473
DELISTED
Northern Star Investment Corp. II
NSTB
$99K 0.01%
10,000
– –
BRIVW
474
DELISTED
B. Riley Principal 250 Merger Corp. Warrant
BRIVW
$99K 0.01%
+141,665
New +$132K
DGNU
475
DELISTED
Dragoneer Growth Opportunities Corp. III Class A Ordinary Shares
DGNU
$98K 0.01%
10,000
– –
17 18
19
20 21

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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.