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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
PACX
176
DELISTED
Pioneer Merger Corp. Class A Ordinary Share
PACX
$1.99M 0.11%
199,998
– –
GLS
177
DELISTED
Gelesis Holdings, Inc.
GLS
$1.98M 0.11%
199,998
-50,000
-20% -$493K
EQRX
178
DELISTED
EQRx, Inc. Common Stock
EQRX
$1.98M 0.11%
+200,000
New +$2M
GRNA
179
DELISTED
GreenLight Biosciences Holdings, PBC Common Stock
GRNA
$1.98M 0.11%
200,000
– –
SPAQ
180
DELISTED
Spartan Acquisition Corp. III
SPAQ
$1.98M 0.11%
199,996
– –
GOAC
181
DELISTED
GO Acquisition Corp. Class A Common Stock
GOAC
$1.96M 0.11%
199,998
– –
WARR
182
DELISTED
Warrior Technologies Acquisition Company
WARR
$1.96M 0.11%
200,000
– –
IGAC
183
DELISTED
IG Acquisition Corp. Class A Common Stock
IGAC
$1.96M 0.11%
200,000
– –
NMMC
184
DELISTED
North Mountain Merger Corp. Class A Common Stock
NMMC
$1.96M 0.11%
200,000
– –
SNRH
185
DELISTED
Senior Connect Acquisition Corp. I Class A Common Stock
SNRH
$1.95M 0.11%
200,000
– –
ESM
186
DELISTED
ESM Acquisition Corporation
ESM
$1.95M 0.11%
199,995
– –
OEPW
187
DELISTED
One Equity Partners Open Water I Corp. Class A Common Stock
OEPW
$1.94M 0.11%
199,998
– –
RUM icon
188
RUM Group Inc
RUM
$1.66B
$1.94M 0.11%
200,000
– –
AONC
189
DELISTED
American Oncology Network, Inc. Class A Common Stock
AONC
$1.94M 0.11%
200,000
– –
TRCA
190
DELISTED
Twin Ridge Capital Acquisition Corp.
TRCA
$1.94M 0.11%
199,998
– –
AGGR
191
DELISTED
Agile Growth Corp
AGGR
$1.94M 0.11%
199,911
-84
-0% -$812
QNGY
192
DELISTED
Quanergy Systems, Inc.
QNGY
$1.93M 0.11%
9,700
– –
HLMNW
193
DELISTED
Hillman Solutions Corp. Warrant
HLMNW
$1.82M 0.1%
626,033
+276,762
+79% +$841K
HZAC
194
DELISTED
Horizon Acquisition Corporation
HZAC
$1.8M 0.1%
180,480
– –
LFTR
195
DELISTED
Lefteris Acquisition Corp. Class A Common Stock
LFTR
$1.76M 0.1%
180,474
– –
BLUA
196
DELISTED
BlueRiver Acquisition Corp.
BLUA
$1.7M 0.1%
174,996
– –
SPGS
197
DELISTED
Simon Property Group Acquisition Holdings, Inc.
SPGS
$1.7M 0.1%
174,990
– –
RMGC
198
DELISTED
RMG Acquisition Corp. III Class A Ordinary Shares
RMGC
$1.7M 0.1%
174,995
– –
VYGG
199
DELISTED
Vy Global Growth
VYGG
$1.68M 0.09%
170,995
– –
SOFIW
200
DELISTED
SoFi Technologies, Inc. Warrants
SOFIW
$1.66M 0.09%
266,134
+220,000
+477% +$1.33M
6 7
8
9 10

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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.