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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
-0.12%
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
$1.21B
AUM Growth
-$34.6M
Cap. Flow
-$925M
Cap. Flow %
-76.29%
Top 10 Hldgs %
68.73%
Holding
95
New
17
Increased
2
Reduced
5
Closed
6

Top Buys

Rank Stock Value
1
EACQ
Easterly Acquisition Corp
EACQ
+$6.31M
2
TRTL
Terrapin 3 Acquisition Corporation Class A
TRTL
+$5.91M
3
RMNI icon
Rimini Street
RMNI
+$5.15M
4
GPIAW
GP Investments Acquisition Corp
GPIAW
+$166K
5
TRTLW
Terrapin 3 Acquisition Corporation
TRTLW
+$160K

Top Sells

Rank Stock Value
1
NXEO
Nexeo Solutions, Inc. Common Stock
NXEO
+$2.91M
2
ZIONW
Zions Bancorporation N.A. Warrants
ZIONW
+$92K
3
STI.WS.B
Suntrust Banks Inc
STI.WS.B
+$10.9K
4
STI.WS.A
Suntrust Banks Inc
STI.WS.A
+$1K

Sector Composition

Rank Sector Weight
1 Financials 1.76%
2 Industrials 0.51%
3 Technology 0.42%
4 Materials 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ZIONW
26
DELISTED
Zions Bancorporation N.A. Warrants
ZIONW
$1.63M 0.13%
747,948
-34,802
-4% -$92K
DKS icon
27
CALL
Dick's Sporting Goods
DKS
$18.4B
$1.13M 0.09%
+25,000
New +$1.09M
WAFDW
28
DELISTED
Washington Federal, Inc.
WAFDW
$610K 0.05%
89,382
– –
LMT icon
29
CALL
Lockheed Martin
LMT
$134B
$546K 0.05%
+2,200
New +$519K
ASB.WS
30
DELISTED
Associated Banc-Corp Warrants
ASB.WS
$543K 0.04%
338,300
– –
SBNYW
31
DELISTED
Signature Bank Warrant
SBNYW
$537K 0.04%
5,649
– –
LINDW
32
DELISTED
Lindblad Expeditions Holdings Inc. Warrant
LINDW
$434K 0.04%
218,663
– –
STI.WS.A
33
DELISTED
Suntrust Banks Inc
STI.WS.A
$424K 0.04%
44,700
-100
-0.2% -$1K
BHAC
34
DELISTED
Barington/Hilco Acquisition Corp.
BHAC
$247K 0.02%
24,740
– –
STI.WS.B
35
DELISTED
Suntrust Banks Inc
STI.WS.B
$243K 0.02%
56,038
-2,400
-4% -$10.9K
EACQW
36
DELISTED
Easterly Acquisition Corp.
EACQW
$218K 0.02%
+325,001
New +$121K
LNC.WS
37
DELISTED
Lincoln National Corporation
LNC.WS
$211K 0.02%
6,886
– –
GPIAW
38
DELISTED
GP Investments Acquisition Corp
GPIAW
$160K 0.01%
+262,495
New +$166K
TRTLW
39
DELISTED
Terrapin 3 Acquisition Corporation
TRTLW
$158K 0.01%
845,000
+595,000
+238% +$160K
AGFSW
40
DELISTED
AgroFresh Solutions Inc Warrants
AGFSW
$134K 0.01%
158,428
– –
ARWAR
41
DELISTED
Arowana Inc
ARWAR
$123K 0.01%
700,000
– –
KMI.WS
42
DELISTED
Kinder Morgan Inc
KMI.WS
$99K 0.01%
5,600,000
– –
ARWAW
43
DELISTED
Arowana Inc
ARWAW
$56K ﹤0.01%
+700,000
New +$65.7K
ALR.PRB
44
DELISTED
Alere Inc
ALR.PRB
– –
0
– –
NXEO
45
DELISTED
Nexeo Solutions, Inc. Common Stock
NXEO
– –
-290,000
Closed -$2.91M
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 Q2 2016 Portfolio in Review

As of Q2 2016, Castle Creek Arbitrage held 95 positions worth $1.21B, down 2.8% from $1.25B the previous quarter. Its ten largest holdings account for 69% of the portfolio.

Castle Creek Arbitrage withdrew a net $925M in Q2 2016, closing 6 positions and reducing 5 holdings. Its most notable exit was Nexeo Solutions, Inc. Common Stock, an estimated $2.91M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.8% of assets, up from 0.72% a quarter earlier, followed by Industrials and Technology.

Against the trend, Castle Creek Arbitrage opened a new position in Easterly Acquisition Corp worth $6.36M.

  • Castle Creek Arbitrage's largest Q2 2016 buy was Easterly Acquisition Corp: 650,000 shares worth $6.36M.
  • Castle Creek Arbitrage added most to Terrapin 3 Acquisition Corporation in Q2 2016, an estimated $160K increase.
  • Castle Creek Arbitrage's biggest Q2 2016 reduction was Zions Bancorporation N.A. Warrants, cutting an estimated $92K.
  • Castle Creek Arbitrage fully exited Nexeo Solutions, Inc. Common Stock in Q2 2016, selling an estimated $2.91M.
  • Castle Creek Arbitrage's ten largest holdings make up 69% of its $1.21B portfolio in Q2 2016.
  • Castle Creek Arbitrage opened 17 new positions and closed 6 in Q2 2016.
  • Castle Creek Arbitrage's portfolio value fell 2.8% quarter-over-quarter to $1.21B.

Based on Castle Creek Arbitrage's 13F filing for Q2 2016, filed 15 Aug 2016.