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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
-0.5%
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
$1.25B
AUM Growth
-$439M
Cap. Flow
-$1.19B
Cap. Flow %
-94.93%
Top 10 Hldgs %
61.57%
Holding
104
New
16
Increased
3
Reduced
4
Closed
13

Top Buys

Rank Stock Value
1
WFC icon
Wells Fargo
WFC
+$16.6M
2
GRSHU
Gores Holdings, Inc.
GRSHU
+$9.07M
3
BLVDU
Boulevard Acquisition Corp. II
BLVDU
+$5.98M
4
EAGLU
Double Eagle Acquisition Corp.
EAGLU
+$5.07M
5
PACEU
Pace Holdings Corp.
PACEU
+$4.89M

Top Sells

Rank Stock Value
1
WFC.WS
Wells Fargo & Company Ws
WFC.WS
+$26.1M
2
KMI.WS
Kinder Morgan Inc
KMI.WS
+$17.9M
3
AGFS
AgroFresh Solutions Inc
AGFS
+$4.54M
4
GOL
Gol Linhas Aéreas Inteligentes S.A. American Depositary Shares (Each representing Ten Preferred Shares)
GOL
+$2.7M
5
TTMI icon
TTM Technologies
TTMI
+$1.49M

Sector Composition

Rank Sector Weight
1 Financials 1.31%
2 Industrials 0.29%
3 Energy 0%
4 Materials 0%
5 Technology 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STI
26
DELISTED
SunTrust Banks, Inc.
STI
$419K 0.03%
10,968
– –
LINDW
27
DELISTED
Lindblad Expeditions Holdings Inc. Warrant
LINDW
$388K 0.03%
+218,663
New +$389K
STI.WS.A
28
DELISTED
Suntrust Banks Inc
STI.WS.A
$387K 0.03%
45,800
– –
AGFSW
29
DELISTED
AgroFresh Solutions Inc Warrants
AGFSW
$309K 0.02%
+158,428
New +$362K
LNC.WS
30
DELISTED
Lincoln National Corporation
LNC.WS
$271K 0.02%
6,886
– –
CMA
31
DELISTED
Comerica
CMA
$251K 0.02%
6,099
-10,000
-62% -$455K
BHAC
32
DELISTED
Barington/Hilco Acquisition Corp.
BHAC
$243K 0.02%
24,740
– –
STI.WS.B
33
DELISTED
Suntrust Banks Inc
STI.WS.B
$200K 0.02%
59,100
– –
ROIQW
34
DELISTED
ROI ACQUISITION CORP WT EXP 2/28/2017 (DE)
ROIQW
$114K 0.01%
313,600
-86,400
-22% -$31.4K
ALR.PRB
35
DELISTED
Alere Inc
ALR.PRB
– –
0
– –
BB icon
36
CALL
BlackBerry
BB
$5.01B
– –
-80,000
Closed -$654K
FFIV icon
37
PUT
F5
FFIV
$22.1B
– –
-40,000
Closed -$4.81M
HUM icon
38
CALL
Humana
HUM
$46.7B
– –
-20,000
Closed -$3.83M
LEU icon
39
Centrus Energy
LEU
$3.22B
– –
-14,745
Closed -$61K
NOK icon
40
Nokia
NOK
$50.8B
– –
-29,130
Closed -$200K
TTMI icon
41
TTM Technologies
TTMI
$13.6B
– –
-149,000
Closed -$1.49M
GOL
42
DELISTED
Gol Linhas Aéreas Inteligentes S.A. American Depositary Shares (Each representing Ten Preferred Shares)
GOL
– –
-570,500
Closed -$2.7M
AGFS
43
DELISTED
AgroFresh Solutions Inc
AGFS
– –
-363,100
Closed -$4.54M
KSU
44
CALL
DELISTED
Kansas City Southern
KSU
– –
-12,500
Closed -$1.14M
WFC.WS
45
DELISTED
Wells Fargo & Company Ws
WFC.WS
– –
-463,300
Closed -$26.1M
RXII
46
DELISTED
GALENA BIOPHARMA INC COM
RXII
– –
-25,045
Closed -$43K
KMI.WS
47
DELISTED
Kinder Morgan Inc
KMI.WS
– –
-465,948
Closed -$17.9M
1
2

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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 2015 Portfolio in Review

As of Q3 2015, Castle Creek Arbitrage held 104 positions worth $1.25B, down 26% from $1.69B the previous quarter. Its ten largest holdings account for 62% of the portfolio.

Castle Creek Arbitrage withdrew a net $1.19B in Q3 2015, closing 13 positions and reducing 4 holdings. Its most notable exit was Wells Fargo & Company Ws, an estimated $26.1M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.3% of assets, up from 0.09% a quarter earlier, followed by Industrials and Energy.

Against the trend, Castle Creek Arbitrage opened a new position in Wells Fargo worth $15.5M.

  • Castle Creek Arbitrage's largest Q3 2015 buy was Wells Fargo: 302,682 shares worth $15.5M.
  • Castle Creek Arbitrage added most to Titan International in Q3 2015, an estimated $675K increase.
  • Castle Creek Arbitrage's biggest Q3 2015 reduction was Comerica, cutting an estimated $455K.
  • Castle Creek Arbitrage fully exited Wells Fargo & Company Ws in Q3 2015, selling an estimated $26.1M.
  • Castle Creek Arbitrage's ten largest holdings make up 62% of its $1.25B portfolio in Q3 2015.
  • Castle Creek Arbitrage opened 16 new positions and closed 13 in Q3 2015.
  • Castle Creek Arbitrage's portfolio value fell 26% quarter-over-quarter to $1.25B.

Based on Castle Creek Arbitrage's 13F filing for Q3 2015, filed 16 Nov 2015.