Castle Creek Arbitrage, LLC - Q3 2021 holdings

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$1.77 Billion is the total value of Castle Creek Arbitrage, LLC's 648 reported holdings in Q3 2021. The portfolio turnover from Q2 2021 to Q3 2021 was 100.0% .

All

			Value		Shares		↓ Weighting
GGPIW	Exit	GORES GUGGENHEIM INC*w exp 03/25/202	$0	–	-20,000	-100.0%	-0.00%	–
STPCWS	Exit	STAR PEAK CORP II*w exp 12/24/202	$0	–	-15,000	-100.0%	-0.00%	–
IPVFWS	Exit	INTERPRIVATE III FINANCIAL P*w exp 99/99/999	$0	–	-16,000	-100.0%	-0.00%	–
PLMIW	Exit	PLUM ACQUISITION CORP I*w exp 03/15/202	$0	–	-10,000	-100.0%	-0.00%	–
SRNGW	Exit	SOARING EAGLE ACQUISITION CO*w exp 02/23/202	$0	–	-12,075	-100.0%	-0.00%	–
DCRBW	Exit	DECARBONIZATION PLUS ACQU CO*w exp 10/02/202	$0	–	-11,837	-100.0%	-0.00%	–
EMPWWS	Exit	EMPOWER LTD*w exp 11/30/202	$0	–	-16,666	-100.0%	-0.00%	–
IVANWS	Exit	IVANHOE CAPITAL ACQUISTIN CO*w exp 01/08/202	$0	–	-16,666	-100.0%	-0.00%	–
SOACWS	Exit	SUSTAINABLE OPPORTNTS ACQ CO*w exp 99/99/999	$0	–	-37,318	-100.0%	-0.00%	–
WPFWS	Exit	FOLEY TRASIMENE ACQUISTN COR*w exp 05/26/202	$0	–	-24,214	-100.0%	-0.00%	–
NGACW	Exit	NEXTGEN ACQUISITION CORP*w exp 10/06/202	$0	–	-33,333	-100.0%	-0.00%	–
FPACWS	Exit	FAR PEAK ACQUISITION CORP*w exp 12/07/202	$0	–	-33,332	-100.0%	-0.00%	–
AUSWS	Exit	AUSTERLITZ ACQUISITION CORP*w exp 02/19/202	$0	–	-37,499	-100.0%	-0.00%	–
HIMSWS	Exit	HIMS & HERS HEALTH INC*w exp 01/20/202	$0	–	-27,186	-100.0%	-0.01%	–
CENHW	Exit	CENTRICUS ACQUISITION CORP*w exp 02/04/202	$0	–	-64,257	-100.0%	-0.01%	–
LOTZW	Exit	CARLOTZ INC*w exp 02/26/202	$0	–	-60,999	-100.0%	-0.01%	–
SCPEWS	Exit	SC HEALTH CORP*w exp 99/99/999	$0	–	-47,499	-100.0%	-0.01%	–
CHFWWS	Exit	CONSONANCE HFW ACQUISITION C*w exp 10/28/202	$0	–	-68,066	-100.0%	-0.01%	–
RTPZWS	Exit	REINVENT TECHNOLOGY PARTNERS*w exp 09/16/202	$0	–	-65,362	-100.0%	-0.01%	–
PICCU	Exit	PIVOTAL INVESTMENT CORP IIIunit 01/28/2028	$0	–	-15,000	-100.0%	-0.01%	–
VCVCW	Exit	10X CAPITAL VENTURE ACQU COR*w exp 10/29/202	$0	–	-91,611	-100.0%	-0.01%	–
DEHWS	Exit	D8 HOLDINGS CORP*w exp 08/05/202	$0	–	-113,319	-100.0%	-0.01%	–
FCACW	Exit	FALCON CAPITAL ACQUISITN COR*w exp 08/20/202	$0	–	-107,499	-100.0%	-0.01%	–
SPFRWS	Exit	JAWS SPITFIRE ACQUISITION CO*w exp 12/01/202	$0	–	-100,000	-100.0%	-0.01%	–
ORGNW	Exit	ORIGIN MATERIALS INC*w exp 06/24/202	$0	–	-112,137	-100.0%	-0.01%	–
CCVWS	Exit	CHURCHILL CAPITAL CORP V*w exp 10/29/202	$0	–	-101,249	-100.0%	-0.01%	–
OWLWS	Exit	BLUE OWL CAPITAL INC*w exp 05/19/202	$0	–	-82,067	-100.0%	-0.01%	–
NBAWS	Exit	NEW BEGINNINGS ACQUISITION C*w exp 11/01/202	$0	–	-200,000	-100.0%	-0.01%	–
FGNAWS	Exit	FG NEW AMER ACQUISITION CORP*w exp 08/31/202	$0	–	-140,000	-100.0%	-0.02%	–
VCVC	Exit	10X CAPITAL VENTURE ACQU COR	$0	–	-30,644	-100.0%	-0.02%	–
CLIIWS	Exit	CLIMATE CHANGE CRISIS REAL I*w exp 09/15/202	$0	–	-80,797	-100.0%	-0.02%	–
LIVKW	Exit	LIV CAP ACQUISITION CORP*w exp 12/13/202	$0	–	-400,000	-100.0%	-0.02%	–
GSEV	Exit	GORES HOLDINGS VII INC	$0	–	-39,992	-100.0%	-0.02%	–
DHCAU	Exit	DHC ACQUISITION CORPunit 02/25/2026	$0	–	-40,403	-100.0%	-0.02%	–
ALUSWS	Exit	ALUSSA ENERGY ACQUISITION CO*w exp 10/31/202	$0	–	-212,899	-100.0%	-0.02%	–
ACICWS	Exit	ATLAS CREST INVT CORP*w exp 01/30/202	$0	–	-300,000	-100.0%	-0.03%	–
GPACU	Exit	GLOBAL PARTNER ACQISTN CORPunit 01/06/2026	$0	–	-47,743	-100.0%	-0.03%	–
SAIIW	Exit	SOFTWARE ACQUISITN GRUP INC*w exp 09/17/202	$0	–	-287,500	-100.0%	-0.03%	–
GLEOWS	Exit	GALILEO ACQUISITION CORP*w exp 10/31/202	$0	–	-417,086	-100.0%	-0.03%	–
PAYAW	Exit	PAYA HOLDINGS INC*w exp 10/16/202	$0	–	-184,999	-100.0%	-0.03%	–
SBGWS	Exit	SANDBRIDGE ACQUISITION CORP*w exp 09/14/202	$0	–	-344,066	-100.0%	-0.03%	–
EMPW	Exit	EMPOWER LTD	$0	–	-49,998	-100.0%	-0.03%	–
ROT	Exit	ROTOR ACQUISITION CORP	$0	–	-50,000	-100.0%	-0.03%	–
GNACU	Exit	GROUP NINE ACQUISITION CORPunit 01/15/2026	$0	–	-55,600	-100.0%	-0.03%	–
RMGBW	Exit	RMG ACQUISITION CORP II*w exp 12/27/202	$0	–	-344,866	-100.0%	-0.03%	–
GNPKWS	Exit	GENESIS PK ACQUISITION CORP*w exp 05/27/202	$0	–	-250,000	-100.0%	-0.03%	–
TWCTW	Exit	TWC TECH HLDGS II CORP*w exp 09/15/202	$0	–	-348,838	-100.0%	-0.03%	–
ROCCW	Exit	ROTH CH ACQUISITION II CO*w exp 09/16/202	$0	–	-424,750	-100.0%	-0.04%	–
NGAC	Exit	NEXTGEN ACQUISITION CORPcl a	$0	–	-67,189	-100.0%	-0.04%	–
FTAAU	Exit	FTAC ATHENA ACQUISITION CORPunit 99/99/9999	$0	–	-66,761	-100.0%	-0.04%	–
QSI	Exit	QUANTUM SI INC	$0	–	-55,668	-100.0%	-0.04%	–
CEREW	Exit	CEREVEL THERAPEUTICS HLDNG I*w exp 06/09/202	$0	–	-49,052	-100.0%	-0.04%	–
RAACW	Exit	REVOLUTION ACCELERTN ACQU CO*w exp 12/01/202	$0	–	-351,873	-100.0%	-0.04%	–
MYPS	Exit	PLAYSTUDIOS INC	$0	–	-100,000	-100.0%	-0.04%	–
PRPCU	Exit	CC NEUBERGER PRINCIPAL HOLDNunit 99/99/9999	$0	–	-75,000	-100.0%	-0.04%	–
HOLUW	Exit	HOLICITY INC*w exp 08/04/202	$0	–	-215,011	-100.0%	-0.04%	–
FUSEWS	Exit	FUSION ACQUISITION CORP*w exp 06/01/202	$0	–	-566,000	-100.0%	-0.04%	–
LDHAU	Exit	LDH GROWTH CORP Iunit 03/17/2026	$0	–	-81,100	-100.0%	-0.04%	–
GOEVW	Exit	CANOO INC*w exp 12/21/202	$0	–	-274,982	-100.0%	-0.05%	–
NSHWS	Exit	NAVSIGHT HLDGS INC*w exp 01/01/203	$0	–	-510,838	-100.0%	-0.05%	–
SPNVWS	Exit	SUPERNOVA PARTNERS ACQUISITI*w exp 10/16/202	$0	–	-562,937	-100.0%	-0.05%	–
SNPR	Exit	TORTOISE ACQUISITION CORP II	$0	–	-87,726	-100.0%	-0.05%	–
SFTWWS	Exit	OSPREY TECHNLGY AQUISTION CO*w exp 10/30/202	$0	–	-541,430	-100.0%	-0.05%	–
SFTW	Exit	OSPREY TECHNLGY AQUISTION CO	$0	–	-93,379	-100.0%	-0.05%	–
LCYAW	Exit	LANDCADIA HOLDINGS III INC*w exp 10/01/202	$0	–	-349,271	-100.0%	-0.05%	–
	Exit	THERAVANCE BIOPHARMA INCnote 3.250%11/0	$0	–	-1,039,000	-100.0%	-0.06%	–
VACQW	Exit	VECTOR ACQUISITION CORP*w exp 09/30/202	$0	–	-349,790	-100.0%	-0.06%	–
ACIIU	Exit	ATLAS CREST INVESTMENT CORPunit 99/99/9999	$0	–	-100,000	-100.0%	-0.06%	–
PONDU	Exit	ANGEL POND HOLDINGS CORPunit 99/99/9999	$0	–	-100,000	-100.0%	-0.06%	–
LWACU	Exit	LOCUST WALK ACQUISITION CORPunit 12/31/2025	$0	–	-100,100	-100.0%	-0.06%	–
ROTWS	Exit	ROTOR ACQUISITION CORP*w exp 06/15/202	$0	–	-857,747	-100.0%	-0.06%	–
SOAC	Exit	SUSTAINABLE OPPORTNTS ACQ CO	$0	–	-113,656	-100.0%	-0.06%	–
FUSE	Exit	FUSION ACQUISITION CORPcl a	$0	–	-114,045	-100.0%	-0.06%	–
FSTWS	Exit	FAST ACQUISITION CORP*w exp 08/25/202	$0	–	-393,429	-100.0%	-0.06%	–
CMLF	Exit	CM LIFE SCIENCES INC	$0	–	-92,124	-100.0%	-0.07%	–
DMYI	Exit	DMY TECHNOLOGY GROUP INC III	$0	–	-128,775	-100.0%	-0.08%	–
ASPLWS	Exit	ASPIRATIONAL CONSUMER LIFEST*w exp 09/19/202	$0	–	-725,805	-100.0%	-0.08%	–
STPC	Exit	STAR PEAK CORP II	$0	–	-148,421	-100.0%	-0.08%	–
SPTKU	Exit	SPORTSTEK ACQUISITION CORPunit 02/16/2028	$0	–	-146,429	-100.0%	-0.08%	–
QELL	Exit	QELL ACQUISITION CORPcl a	$0	–	-150,200	-100.0%	-0.08%	–
MAAC	Exit	MONTES ARCHIMEDES ACQUISITIO	$0	–	-150,000	-100.0%	-0.08%	–
TSIBU	Exit	TISHMAN SPEYER INNOVATION COunit 02/11/2026	$0	–	-150,000	-100.0%	-0.08%	–
SPRQWS	Exit	SPARTAN ACQUISITION CORP II*w exp 11/28/202	$0	–	-848,016	-100.0%	-0.08%	–
ASPL	Exit	ASPIRATIONAL CONSUMER LIFEST	$0	–	-171,281	-100.0%	-0.10%	–
ACNDWS	Exit	ASCENDANT DIGITAL ACQUISITIO*w exp 07/28/202	$0	–	-1,067,120	-100.0%	-0.10%	–
DEH	Exit	D8 HOLDINGS CORP	$0	–	-200,000	-100.0%	-0.11%	–
DILAU	Exit	DILA CAPITAL ACQUISITION CORunit 99/99/9999	$0	–	-199,699	-100.0%	-0.11%	–
RTPZ	Exit	REINVENT TECHNOLOGY PARTNERS	$0	–	-202,588	-100.0%	-0.11%	–
EOSEW	Exit	EOS ENERGY ENTERPRISES INC*w exp 05/06/202	$0	–	-282,332	-100.0%	-0.11%	–
CHFW	Exit	CONSONANCE HFW ACQUISITION C	$0	–	-204,198	-100.0%	-0.11%	–
RTP	Exit	REINVENT TECHNOLOGY PARTNERScl a	$0	–	-216,159	-100.0%	-0.12%	–
CMLTU	Exit	CM LIFE SCIENCES III INCunit 04/30/2028	$0	–	-200,000	-100.0%	-0.12%	–
CMIIU	Exit	CM LIFE SCIENCES II INCunit 02/25/2028	$0	–	-171,395	-100.0%	-0.13%	–
THCBW	Exit	TUSCAN HLDGS CORP*w exp 04/01/202	$0	–	-554,704	-100.0%	-0.13%	–
SSAAU	Exit	SCIENCE STRATEGIC ACQ ALPHAunit 01/20/2026	$0	–	-242,481	-100.0%	-0.13%	–
OSIU	Exit	OSIRIS ACQUISITION CORPunit 99/99/9999	$0	–	-250,000	-100.0%	-0.14%	–
TMPMU	Exit	TURMERIC ACQUISITION CORPunit 10/08/2025	$0	–	-247,757	-100.0%	-0.14%	–
ROTU	Exit	ROTOR ACQUISITION CORPunit 06/15/2027	$0	–	-238,675	-100.0%	-0.14%	–
DHHCU	Exit	DIAMONDHEAD HOLDINGS CORPunit 01/21/2026	$0	–	-251,500	-100.0%	-0.14%	–
NBA	Exit	NEW BEGINNINGS ACQUISITION C	$0	–	-251,123	-100.0%	-0.14%	–
IBERU	Exit	IBERE PHARMACEUTICALSunit 99/99/9999	$0	–	-253,446	-100.0%	-0.14%	–
CENH	Exit	CENTRICUS ACQUISITION CORP	$0	–	-257,028	-100.0%	-0.14%	–
CFAC	Exit	CF FIN ACQUISITION CORP IIIcl a	$0	–	-285,688	-100.0%	-0.16%	–
LEGOU	Exit	LEGATO MERGER CORPunit 12/31/2025	$0	–	-241,538	-100.0%	-0.16%	–
CLBRU	Exit	COLOMBIER ACQUISITION CORPunit 99/99/9999	$0	–	-300,000	-100.0%	-0.17%	–
BYTSU	Exit	BYTE ACQUISITION CORPunit 03/18/2029	$0	–	-293,558	-100.0%	-0.17%	–
SAII	Exit	SOFTWARE ACQUISITN GRUP INC	$0	–	-345,153	-100.0%	-0.19%	–
NXUU	Exit	NOVUS CAPITAL CORPORATION IIunit 99/99/9999	$0	–	-350,000	-100.0%	-0.20%	–
GNPK	Exit	GENESIS PK ACQUISITION CORP	$0	–	-359,600	-100.0%	-0.21%	–
IIACU	Exit	INVESTINDUSTRIAL ACQUISITIONunit 99/99/9999	$0	–	-380,002	-100.0%	-0.21%	–
FOREU	Exit	FORESIGHT ACQUISITION CORPunit 01/29/2026	$0	–	-372,889	-100.0%	-0.22%	–
TWCT	Exit	TWC TECH HLDGS II CORP	$0	–	-400,197	-100.0%	-0.22%	–
BRIVU	Exit	B RILEY PRIN 250 MERGER CORPunit 04/06/2026	$0	–	-425,000	-100.0%	-0.24%	–
PUCKU	Exit	GOAL ACQUISITIONS CORPunit 99/99/9999	$0	–	-425,000	-100.0%	-0.24%	–
IIIIU	Exit	INSU ACQUISITION CORP IIIunit 12/31/2026	$0	–	-435,730	-100.0%	-0.24%	–
GLEO	Exit	GALILEO ACQUISITION CORP	$0	–	-449,600	-100.0%	-0.25%	–
SRNG	Exit	SOARING EAGLE ACQUISITION CO	$0	–	-475,036	-100.0%	-0.26%	–
AJAX	Exit	AJAX I	$0	–	-475,000	-100.0%	-0.26%	–
CND	Exit	CONCORD ACQUISITION CORP	$0	–	-599,932	-100.0%	-0.33%	–
LJAQU	Exit	LIGHTJUMP ACQUISITION CORPunit 01/06/2026	$0	–	-591,722	-100.0%	-0.33%	–
	Exit	GLAUKOS CORPnote 2.750% 6/1	$0	–	-3,500,000	-100.0%	-0.33%	–
SPFR	Exit	JAWS SPITFIRE ACQUISITION CO	$0	–	-599,800	-100.0%	-0.34%	–
SDACU	Exit	SUSTAINABLE DEVELP ACQU I COunit 02/04/2026	$0	–	-613,239	-100.0%	-0.35%	–
ROCC	Exit	ROTH CH ACQUISITION II CO	$0	–	-756,040	-100.0%	-0.42%	–
ATVCU	Exit	TRIBE CAPITAL GROWTH CORP Iunit 02/24/2026	$0	–	-775,188	-100.0%	-0.43%	–
NSH	Exit	NAVSIGHT HLDGS INCcl a	$0	–	-796,531	-100.0%	-0.44%	–
TCACU	Exit	TUATARA CAPITAL ACQUISITN COunit 99/99/9999	$0	–	-851,461	-100.0%	-0.48%	–
RMGB	Exit	RMG ACQUISITION CORP II	$0	–	-1,014,598	-100.0%	-0.56%	–
RAAC	Exit	REVOLUTION ACCELERTN ACQU CO	$0	–	-1,055,619	-100.0%	-0.59%	–
SKYAU	Exit	SKYDECK ACQUISITION CORPunit 05/13/2026	$0	–	-1,184,359	-100.0%	-0.66%	–
SPRQ	Exit	SPARTAN ACQUISITION CORP II	$0	–	-1,347,675	-100.0%	-0.75%	–
ACND	Exit	ASCENDANT DIGITAL ACQUISITIO	$0	–	-1,609,682	-100.0%	-0.89%	–
SPNV	Exit	SUPERNOVA PARTNERS ACQUISITI	$0	–	-2,110,899	-100.0%	-1.17%	–
	Exit	SPLUNK INCnote 0.500% 9/1	$0	–	-23,308,000	-100.0%	-1.52%	–

Original filings

The following EDGAR filing(s) were analyzed to create this report:

View 13F-HR filed 2021-11-15

Signatures

The EDGAR filing(s) were signed by:

Chris Perz — CFO/CCO

Top long-term holdings

Name	Quarters owned	Latest quarter owned	Max weighting
MICRON TECHNOLOGY INC	26	Q4 2019	31.5%
THERAVANCE INC	24	Q3 2020	1.7%
NATIONAL ENERGY SERVICES REU	21	Q1 2023	0.0%
Tesla Mtrs Inc	19	Q3 2018	1.9%
Zions Bancorporation	19	Q4 2017	1.5%
MICRON TECHNOLOGY INC	18	Q2 2018	33.8%
TESARO INC	18	Q4 2018	7.8%
ASSOCIATED BANC CORP	18	Q1 2018	0.4%
SunTrust Bks Inc	18	Q4 2017	0.2%
MICROCHIP TECHNOLOGY INC	17	Q1 2020	15.8%

View Castle Creek Arbitrage, LLC's complete holdings history.

Latest significant ownerships (13-D/G)

Castle Creek Arbitrage, LLC Q3 2021 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
	Filed	Shares	Percentage
10X Capital Venture Acquisition Corp. II^{Sold out}	February 13, 2023	0	0.0%
7GC & Co. Holdings Inc.	February 13, 2023	450,000	8.9%
Fortistar Sustainable Solutions Corp.^{Sold out}	February 13, 2023	0	0.0%
KINS Technology Group, Inc.^{Sold out}	February 13, 2023	0	0.0%
Riverview Acquisition Corp.	February 13, 2023	684,332	0.9%
Sarissa Capital Acquisition Corp.^{Sold out}	February 13, 2023	0	0.0%
SEP Acquisition Corp.^{Sold out}	February 13, 2023	0	0.0%
Stratim Cloud Acquisition Corp.^{Sold out}	February 13, 2023	0	0.0%
Tuscan Holdings Corp. II^{Sold out}	February 13, 2023	0	0.0%
ACE Convergence Acquisition Corp.	February 11, 2022	688,810	3.0%

View Castle Creek Arbitrage, LLC's complete significant-ownership history.

Latest filings

Type	Filed
13F-HR	2024-01-18
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10
SC 13G/A	2024-01-10

View Castle Creek Arbitrage, LLC's complete filings history.

All filings

View complete filings history.

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