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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
EOSEW
626
DELISTED
Eos Energy Enterprises Warrant
EOSEW
– –
-282,332
Closed -$2.03M
HIPO icon
627
Hippo Holdings
HIPO
$777M
– –
-8,104
Closed -$2.01M
HLLY icon
628
Holley
HLLY
$335M
– –
-49,998
Closed -$500K
IONQ icon
629
IonQ
IONQ
$11.9B
– –
-128,775
Closed -$1.37M
JOBY icon
630
Joby Aviation
JOBY
$6.54B
– –
-216,159
Closed -$2.16M
LIDR icon
631
AEye
LIDR
$47.2M
– –
-9,523
Closed -$2.87M
MKTW icon
632
MarketWise
MKTW
$54.6M
– –
-80,484
Closed -$16M
MYPS icon
633
PLAYSTUDIOS Inc
MYPS
$76.2M
– –
-100,000
Closed -$742K
OPAD icon
634
Offerpad Solutions
OPAD
$18.5M
– –
-14,073
Closed -$21M
ORGNW
635
DELISTED
Origin Materials Inc Warrants
ORGNW
– –
-112,137
Closed -$220K
QSI icon
636
Quantum-Si Incorporated
QSI
$153M
– –
-55,668
Closed -$682K
RBOT
637
DELISTED
Vicarious Surgical
RBOT
– –
-6,667
Closed -$1.99M
RDW icon
638
Redwire
RDW
$1.86B
– –
-359,600
Closed -$3.7M
RSVR icon
639
Reservoir Media
RSVR
$727M
– –
-756,040
Closed -$7.51M
SPIR icon
640
Spire Global
SPIR
$408M
– –
-99,566
Closed -$7.95M
SRZN icon
641
Surrozen
SRZN
$223M
– –
-13,613
Closed -$2.03M
TMC icon
642
TMC The Metals Company
TMC
$1.49B
– –
-113,656
Closed -$1.13M
TMCWW
643
TMC The Metals Company Warrants
TMCWW
$474K
– –
-37,318
Closed -$52K
UP icon
644
Wheels Up
UP
$203M
– –
-856
Closed -$1.71M
WGS icon
645
GeneDx Holdings
WGS
$1.89B
– –
-2,792
Closed -$1.29M
XOS icon
646
Xos
XOS
$26.8M
– –
-2,240
Closed -$668K
VEEAW
647
Veea Inc Warrant
VEEAW
– –
-10,000
Closed -$11K
HYZNW
648
DELISTED
Hyzon Motors Inc. Warrants
HYZNW
– –
-11,837
Closed -$27K
GOEVW
649
DELISTED
Canoo Inc. Warrant
GOEVW
– –
-274,982
Closed -$829K
IRAAU
650
DELISTED
Iris Acquisition Corp Units
IRAAU
– –
-775,188
Closed -$7.76M
24 25
26
27 28

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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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CRG
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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.