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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
STPC.WS
701
DELISTED
Star Peak Corp II Warrants, each whole warrant exercisable for one share of Class A common stock at
STPC.WS
– –
-15,000
Closed -$26K
ROT.U
702
DELISTED
Rotor Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
ROT.U
– –
-238,675
Closed -$2.51M
FUSE.WS
703
DELISTED
Fusion Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common st
FUSE.WS
– –
-566,000
Closed -$778K
DEH.WS
704
DELISTED
D8 Holdings Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exer
DEH.WS
– –
-113,319
Closed -$188K
SRNGW
705
DELISTED
Soaring Eagle Acquisition Corp. Warrant
SRNGW
– –
-12,075
Closed -$40K
SRNG
706
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
– –
-475,036
Closed -$4.73M
ACIC.WS
707
DELISTED
Atlas Crest Investment Corp.Redeemable warrants included as part of the units, each whole warrant ex
ACIC.WS
– –
-300,000
Closed -$462K
QELL
708
DELISTED
Qell Acquisition Corp. Class A Ordinary Shares
QELL
– –
-150,200
Closed -$1.49M
SFTW.WS
709
DELISTED
Osprey Technology Acquisition Corp. Redeemable Warrants, each whole Warrant exercisable for one shar
SFTW.WS
– –
-541,430
Closed -$910K
CENHW
710
DELISTED
Centricus Acquisition Corp. Warrant
CENHW
– –
-64,257
Closed -$90K
CENH
711
DELISTED
Centricus Acquisition Corp. Class A Ordinary Share
CENH
– –
-257,028
Closed -$2.54M
GNPK.WS
712
DELISTED
Genesis Park Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A o
GNPK.WS
– –
-250,000
Closed -$609K
CMIIU
713
DELISTED
CM Life Sciences II Inc. Unit
CMIIU
– –
-171,395
Closed -$2.3M
SPNV.WS
714
DELISTED
Supernova Partners Acquisition Company, Inc. Warrants, each whole warrant exercisable for one share
SPNV.WS
– –
-562,937
Closed -$867K
TWCTW
715
DELISTED
TWC Tech Holdings II Corp. Warrant
TWCTW
– –
-348,838
Closed -$605K
TWCT
716
DELISTED
TWC Tech Holdings II Corp. Class A Common Stock
TWCT
– –
-400,197
Closed -$3.97M
CEREW
717
DELISTED
Cerevel Therapeutics Holdings, Inc. Warrant
CEREW
– –
-49,052
Closed -$699K
LWACU
718
DELISTED
Locust Walk Acquisition Corp. Unit
LWACU
– –
-100,100
Closed -$1.01M
RMGB
719
DELISTED
RMG Acquisition Corp. II Class A Ordinary Shares
RMGB
– –
-1,014,598
Closed -$10.1M
LIVKW
720
DELISTED
LIV Capital Acquisition Corp. Warrant
LIVKW
– –
-400,000
Closed -$375K
RMGBW
721
DELISTED
RMG Acquisition Corp. II Warrant
RMGBW
– –
-344,866
Closed -$576K
NSH.WS
722
DELISTED
NavSight Holdings, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Sto
NSH.WS
– –
-510,838
Closed -$861K
NBA.WS
723
DELISTED
New Beginnings Acquisition Corp. Redeemable Warrants, each warrant exercisable for one share of Comm
NBA.WS
– –
-200,000
Closed -$232K
SAIIW
724
DELISTED
Software Acquisition Group Inc. II Warrant
SAIIW
– –
-287,500
Closed -$466K
SAII
725
DELISTED
Software Acquisition Group Inc. II Class A Common Stock
SAII
– –
-345,153
Closed -$3.43M
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.