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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
SCPE.WS
726
DELISTED
SC Health Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an
SCPE.WS
– –
-47,499
Closed -$100K
HIMS.WS
727
DELISTED
Hims & Hers Health, Inc. Warrants, each whole warrant exercisable for one Class A Common Stock at an
HIMS.WS
– –
-27,186
Closed -$94K
RTPZ.WS
728
DELISTED
Reinvent Technology Partners Z Redeemable warrants, each whole warrant exercisable for one Class A o
RTPZ.WS
– –
-65,362
Closed -$118K
VCVCW
729
DELISTED
10X Capital Venture Acquisition Corp Warrant
VCVCW
– –
-91,611
Closed -$158K
VCVC
730
DELISTED
10X Capital Venture Acquisition Corp
VCVC
– –
-30,644
Closed -$305K
FGNA.WS
731
DELISTED
FG New America Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A c
FGNA.WS
– –
-140,000
Closed -$308K
EMPW.WS
732
DELISTED
Empower Ltd. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at a
EMPW.WS
– –
-16,666
Closed -$31K
SBG.WS
733
DELISTED
Sandbridge Acquisition Corporation Warrants, each whole warrant exercisable for one share of Class A
SBG.WS
– –
-344,066
Closed -$482K
ASPL.WS
734
DELISTED
Aspirational Consumer Lifestyle Corp. Redeemable Warrants, each whole warrant exercisable for one Cl
ASPL.WS
– –
-725,805
Closed -$1.38M
SPRQ.WS
735
DELISTED
Spartan Acquisition Corp. II Warrants, exercisable for one share of Class A Common Stock
SPRQ.WS
– –
-848,016
Closed -$1.51M
ALUS.WS
736
DELISTED
Alussa Energy Acquisition Corp Warrants
ALUS.WS
– –
-212,899
Closed -$449K
WPF.WS
737
DELISTED
Foley Trasimene Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
WPF.WS
– –
-24,214
Closed -$50K
FCACW
738
DELISTED
Falcon Capital Acquisition Corp. Warrant
FCACW
– –
-107,499
Closed -$192K
PUCKU
739
DELISTED
Goal Acquisitions Corp. Unit
PUCKU
– –
-425,000
Closed -$4.36M
OSI.U
740
DELISTED
Osiris Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-half of one redeemable warrant
OSI.U
– –
-250,000
Closed -$2.48M
PICC.U
741
DELISTED
Pivotal Investment Corporation III Units, each consisting of one share of Class A common stock and one-fifth of one redeemable warrant
PICC.U
– –
-15,000
Closed -$150K
26 27 28 29
30

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PC
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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.