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Castle Creek Arbitrage Portfolio holdings

AUM $425M
1-Year Est. Return 7.4%
This Fund
S&P 500
This Quarter Est. Return
+0.3%
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
$1.3B
AUM Growth
+$49.9M
Cap. Flow
-$998M
Cap. Flow %
-76.57%
Top 10 Hldgs %
64.78%
Holding
100
New
11
Increased
3
Reduced
1
Closed
12

Top Buys

Rank Stock Value
1
ARWA
Arowana Inc.
ARWA
+$8.6M
2
KMI.WS
Kinder Morgan Inc
KMI.WS
+$2.67M
3
NXEO
Nexeo Solutions, Inc. Common Stock
NXEO
+$1.92M
4
CMA
Comerica
CMA
+$656K
5
ARWAR
Arowana Inc
ARWAR
+$141K

Top Sells

Rank Stock Value
1
WFC icon
Wells Fargo
WFC
+$6.96M
2
CAMB
CAMBRIDGE CAP ACQUISITION CORP (DE)
CAMB
+$4.74M
3
TWI icon
Titan International
TWI
+$628K
4
STI
SunTrust Banks, Inc.
STI
+$419K
5
ROIQW
ROI ACQUISITION CORP WT EXP 2/28/2017 (DE)
ROIQW
+$114K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Industrials 0.23%
3 Materials 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WAFDW
26
DELISTED
Washington Federal, Inc.
WAFDW
$622K 0.05%
89,382
– –
STI.WS.A
27
DELISTED
Suntrust Banks Inc
STI.WS.A
$506K 0.04%
45,800
– –
KMI.WS
28
DELISTED
Kinder Morgan Inc
KMI.WS
$367K 0.03%
+5,600,000
New +$2.67M
STI.WS.B
29
DELISTED
Suntrust Banks Inc
STI.WS.B
$339K 0.03%
59,100
– –
LNC.WS
30
DELISTED
Lincoln National Corporation
LNC.WS
$293K 0.02%
6,886
– –
BHAC
31
DELISTED
Barington/Hilco Acquisition Corp.
BHAC
$243K 0.02%
24,740
– –
AGFSW
32
DELISTED
AgroFresh Solutions Inc Warrants
AGFSW
$147K 0.01%
158,428
– –
ARWAR
33
DELISTED
Arowana Inc
ARWAR
$140K 0.01%
+700,000
New +$141K
JBLU icon
34
JetBlue
JBLU
$1.96B
$71K 0.01%
+3,132
New +$78K
ALR.PRB
35
DELISTED
Alere Inc
ALR.PRB
– –
0
– –
AMZN icon
36
PUT
Amazon
AMZN
$2.5T
– –
-250,000
Closed -$6.4M
RYN icon
37
CALL
Rayonier
RYN
$6.49B
– –
-96,996
Closed -$1.94M
TWI icon
38
Titan International
TWI
$516M
– –
-95,000
Closed -$628K
TWI icon
39
PUT
Titan International
TWI
$516M
– –
-100,000
Closed -$661K
STI
40
DELISTED
SunTrust Banks, Inc.
STI
– –
-10,968
Closed -$419K
DD
41
PUT
DELISTED
Du Pont De Nemours E I
DD
– –
-100,000
Closed -$4.82M
CAMB
42
DELISTED
CAMBRIDGE CAP ACQUISITION CORP (DE)
CAMB
– –
-475,000
Closed -$4.74M
ROIQW
43
DELISTED
ROI ACQUISITION CORP WT EXP 2/28/2017 (DE)
ROIQW
– –
-313,600
Closed -$114K
VXX
44
PUT
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
-15,625
Closed -$6.41M
POM
45
CALL
DELISTED
PEPCO HOLDINGS, INC.
POM
– –
-50,000
Closed -$1.21M
1
2

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PAM
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PC
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GCMG
Gyroscope Capital Management Group Naples, Florida $436M AUM 17.45% 1-Year Est. Return
AGP
Akaris Global Partners New York $395M AUM 40.82% 1-Year Est. Return
KI
Kensington Investments Amsterdam, Netherlands $390M AUM 222.61% 1-Year Est. Return
MWM
Madison Wealth Management Cincinnati, Ohio $476M AUM 18.78% 1-Year Est. Return
LBA
Lowell Blake & Associates Boston, Massachusetts $355M AUM 33.69% 1-Year Est. Return
CRG
Cornerstone Retirement Group Reno, Nevada $350M AUM 8.07% 1-Year Est. Return

Castle Creek Arbitrage's Q4 2015 Portfolio in Review

As of Q4 2015, Castle Creek Arbitrage held 100 positions worth $1.3B, up 4% from $1.25B the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Castle Creek Arbitrage withdrew a net $998M in Q4 2015, closing 12 positions and reducing 1 holding. Its most notable exit was CAMBRIDGE CAP ACQUISITION CORP (DE), an estimated $4.74M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 1.3% a quarter earlier, followed by Industrials and Materials.

Against the trend, Castle Creek Arbitrage opened a new position in Arowana Inc. worth $8.53M.

  • Castle Creek Arbitrage's largest Q4 2015 buy was Arowana Inc.: 872,500 shares worth $8.53M.
  • Castle Creek Arbitrage added most to Comerica in Q4 2015, an estimated $656K increase.
  • Castle Creek Arbitrage's biggest Q4 2015 reduction was Wells Fargo, cutting an estimated $6.96M.
  • Castle Creek Arbitrage fully exited CAMBRIDGE CAP ACQUISITION CORP (DE) in Q4 2015, selling an estimated $4.74M.
  • Castle Creek Arbitrage's ten largest holdings make up 65% of its $1.3B portfolio in Q4 2015.
  • Castle Creek Arbitrage opened 11 new positions and closed 12 in Q4 2015.
  • Castle Creek Arbitrage's portfolio value rose 4% quarter-over-quarter to $1.3B.

Based on Castle Creek Arbitrage's 13F filing for Q4 2015, filed 16 Feb 2016.