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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
GNACU
676
DELISTED
Group Nine Acquisition Corp. Unit
GNACU
– –
-55,600
Closed -$559K
IIIIU
677
DELISTED
INSU Acquisition Corp. III Unit
IIIIU
– –
-435,730
Closed -$4.38M
POND.U
678
DELISTED
Angel Pond Holdings Corporation Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
POND.U
– –
-100,000
Closed -$998K
GSEV
679
DELISTED
Gores Holdings VII, Inc. Class A Common Stock
GSEV
– –
-39,992
Closed -$396K
SSAAU
680
DELISTED
Science Strategic Acquisition Corp. Alpha Unit
SSAAU
– –
-242,481
Closed -$2.41M
CND
681
DELISTED
Concord Acquisition Corp.
CND
– –
-599,932
Closed -$5.91M
LOTZW
682
DELISTED
CarLotz, Inc. Warrant
LOTZW
– –
-60,999
Closed -$102K
ACII.U
683
DELISTED
Atlas Crest Investment Corp. II Units, each consisting of one Class A common stock, $.0001 par value, and one-fourth of one redeemable warrant
ACII.U
– –
-100,000
Closed -$1M
TSIBU
684
DELISTED
Tishman Speyer Innovation Corp. II Unit
TSIBU
– –
-150,000
Closed -$1.51M
TMPMU
685
DELISTED
Turmeric Acquisition Corp. Unit
TMPMU
– –
-247,757
Closed -$2.49M
AUS.WS
686
DELISTED
Austerlitz Acquisition Corporation I Warrants, each whole Warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share
AUS.WS
– –
-37,499
Closed -$65K
FST.WS
687
DELISTED
FAST Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50
FST.WS
– –
-393,429
Closed -$1.15M
OWL.WS
688
DELISTED
Blue Owl Capital Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A C
OWL.WS
– –
-82,067
Closed -$227K
GGPIW
689
DELISTED
Gores Guggenheim, Inc. Warrant
GGPIW
– –
-20,000
Closed -$26K
TCACU
690
DELISTED
Tuatara Capital Acquisition Corporation Unit
TCACU
– –
-851,461
Closed -$8.66M
NXU.U
691
DELISTED
Novus Capital Corporation II Units, each consisting of one share of Class A common stock and one thi
NXU.U
– –
-350,000
Closed -$3.54M
IVAN.WS
692
DELISTED
Ivanhoe Capital Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
IVAN.WS
– –
-16,666
Closed -$31K
CMLTU
693
DELISTED
CM Life Sciences III Inc. Unit
CMLTU
– –
-200,000
Closed -$2.18M
IIAC.U
694
DELISTED
Investindustrial Acquisition Corp. Units, each consisting of one Class A ordinary share and one-thir
IIAC.U
– –
-380,002
Closed -$3.83M
FOREU
695
DELISTED
Foresight Acquisition Corp. Units
FOREU
– –
-372,889
Closed -$3.85M
LEGOU
696
DELISTED
Legato Merger Corp. Units
LEGOU
– –
-241,538
Closed -$2.87M
MAAC
697
DELISTED
Montes Archimedes Acquisition Corp. Class A Common Stock
MAAC
– –
-150,000
Closed -$1.48M
PAYAW
698
DELISTED
Paya Holdings Inc. Warrant
PAYAW
– –
-184,999
Closed -$488K
SPFR.WS
699
DELISTED
Jaws Spitfire Acquisition Corporation Redeemable warrants, each whole warrant exercisable for one Cl
SPFR.WS
– –
-100,000
Closed -$189K
GLEO.WS
700
DELISTED
Galileo Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Ordinary Share
GLEO.WS
– –
-417,086
Closed -$488K
26 27
28
29 30

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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.