Certuity’s Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o CAS.U Stock Holding History

Certuity’s Portfolio CAS.U Stock Details CAS.U Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2021 Q4	–	Sell	-50,000	Closed	-$504K	–	422
2021 Q3	$504K	Hold	50,000	–	–	0.1%	160
2021 Q2	$511K	Hold	50,000	–	–	0.12%	134
2021 Q1	$513K	Hold	50,000	–	–	0.14%	109
2020 Q4	$523K	Buy	+50,000	New	+$509K	0.17%	97

Other funds holding CAS.U

Magnetar Financial Evanston, Illinois $11B AUM 3.37% 1-Year Est. Return

Wealthspring Capital West Harrison, New York $448M AUM 8.38% 1-Year Est. Return

SIA

Schechter Investment Advisors Birmingham, Michigan $1.21B AUM 8.73% 1-Year Est. Return

Gillson Capital Chicago, Illinois $1.7B AUM 16.09% 1-Year Est. Return

MTCM

Mint Tower Capital Management Amsterdam, Netherlands $871M AUM 8.61% 1-Year Est. Return

HRT Financial New York $54.8B AUM 81.03% 1-Year Est. Return

GCL

Glazer Capital LLC New York $4.07B AUM 78.71% 1-Year Est. Return

AGM

Alpine Global Management New York $615M AUM 34.28% 1-Year Est. Return

SMA

Sage Mountain Advisors Atlanta, Georgia $1.63B AUM 18.97% 1-Year Est. Return

Stifel Financial St. Louis, Missouri $120B AUM 27.84% 1-Year Est. Return

Certuity's CAS.U Position: Q4 2021 in Review

Certuity sold out of Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o (CAS.U) in Q4 2021, closing a stake of 50,000 shares — an estimated $504K sold.

Certuity first reported a position in CAS.U in Q4 2020 and held it in 4 quarters. The position peaked at $523K in Q4 2020. 15 funds tracked by Wall St. Rank hold CAS.U as of Q4 2021.

Certuity reported no remaining Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o position as of Q4 2021 after selling out during the quarter.
Certuity sold 50,000 Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o shares in Q4 2021, an estimated $504K.
Certuity first reported a position in Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o in Q4 2020 and held it in 4 quarters.
Certuity's Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o position peaked at $523K in Q4 2020.
15 funds tracked by Wall St. Rank held Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o as of Q4 2021.

Based on Certuity's 13F filing for Q4 2021, filed 14 Feb 2022.