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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
+7.4%
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
$1.05B
AUM Growth
+$71.4M
Cap. Flow
-$791M
Cap. Flow %
-75.31%
Top 10 Hldgs %
71.76%
Holding
88
New
9
Increased
4
Reduced
4
Closed
16

Top Buys

Rank Stock Value
1
PNC.WS
PNC Financial Services Group Inc
PNC.WS
+$10.8M
2
WFC.WS
Wells Fargo & Company Ws
WFC.WS
+$7.77M
3
GPACU
Global Partner Acquisition Corp. Units
GPACU
+$6.01M
4
KLRE
KLR Energy Acquisition Corp
KLRE
+$4.06M
5
GM.WS.B
General Motors Company
GM.WS.B
+$3.95M

Top Sells

Rank Stock Value
1
ARWA
Arowana Inc.
ARWA
+$8.87M
2
PACEU
Pace Holdings Corp.
PACEU
+$5M
3
TSLA icon
Tesla
TSLA
+$4.27M
4
KLREU
KLR Energy Acquisition Corp.
KLREU
+$4.19M
5
AAPC
Atlantic Alliance Partnership Corp
AAPC
+$2.1M

Sector Composition

Rank Sector Weight
1 Financials 0.83%
2 Technology 0.5%
3 Energy 0.39%
4 Industrials 0.28%
5 Consumer Discretionary 0.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SBNYW
26
DELISTED
Signature Bank Warrant
SBNYW
$680K 0.06%
5,649
– –
DKS icon
27
Dick's Sporting Goods
DKS
$18.4B
$664K 0.06%
+12,500
New +$717K
KLREW
28
DELISTED
KLR Energy Acquisition Corp.
KLREW
$549K 0.05%
+399,000
New +$233K
LNC.WS
29
DELISTED
Lincoln National Corporation
LNC.WS
$423K 0.04%
6,886
– –
TSLA icon
30
Tesla
TSLA
$1.24T
$311K 0.03%
21,840
-324,840
-94% -$4.27M
NXEOW
31
DELISTED
Nexeo Solutions, Inc. Warrant
NXEOW
$191K 0.02%
276,441
– –
VRS
32
DELISTED
Verso Corporation
VRS
$185K 0.02%
26,092
– –
GPIAW
33
DELISTED
GP Investments Acquisition Corp
GPIAW
$120K 0.01%
262,495
– –
LINDW
34
DELISTED
Lindblad Expeditions Holdings Inc. Warrant
LINDW
$119K 0.01%
55,863
-162,600
-74% -$344K
EACQW
35
DELISTED
Easterly Acquisition Corp.
EACQW
$119K 0.01%
325,001
– –
BHACR
36
DELISTED
Barington/Hilco Acquisition Corp. Rights
BHACR
$50K ﹤0.01%
+200,000
New +$37.7K
KMI.WS
37
DELISTED
Kinder Morgan Inc
KMI.WS
$34K ﹤0.01%
5,600,000
– –
AGFSW
38
DELISTED
AgroFresh Solutions Inc Warrants
AGFSW
$26K ﹤0.01%
144,248
– –
BHACW
39
DELISTED
Barington/Hilco Acquisition Corp. Warrants
BHACW
$26K ﹤0.01%
+200,000
New +$16.7K
CMCSA icon
40
CALL
Comcast
CMCSA
$79.1B
– –
-90,000
Closed -$2.98M
CVX icon
41
CALL
Chevron
CVX
$388B
– –
-45,000
Closed -$4.63M
DKS icon
42
CALL
Dick's Sporting Goods
DKS
$18.4B
– –
-25,000
Closed -$1.42M
T icon
43
CALL
AT&T
T
$165B
– –
-119,160
Closed -$3.65M
AAPC
44
DELISTED
Atlantic Alliance Partnership Corp
AAPC
– –
-200,000
Closed -$2.1M
KLREU
45
DELISTED
KLR Energy Acquisition Corp.
KLREU
– –
-399,000
Closed -$4.19M
PACEU
46
DELISTED
Pace Holdings Corp.
PACEU
– –
-481,326
Closed -$5M
ARWA
47
DELISTED
Arowana Inc.
ARWA
– –
-872,500
Closed -$8.87M
ARWAW
48
DELISTED
Arowana Inc
ARWAW
– –
-700,000
Closed -$74K
ARWAR
49
DELISTED
Arowana Inc
ARWAR
– –
-700,000
Closed -$140K
TRTLW
50
DELISTED
Terrapin 3 Acquisition Corporation
TRTLW
– –
-845,000
Closed -$133K
1
2
3

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Castle Creek Arbitrage's Q4 2016 Portfolio in Review

As of Q4 2016, Castle Creek Arbitrage held 88 positions worth $1.05B, up 7.3% from $978M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Castle Creek Arbitrage withdrew a net $791M in Q4 2016, closing 16 positions and reducing 4 holdings. Its most notable exit was Arowana Inc., an estimated $8.87M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.83% of assets, down from 1.6% a quarter earlier, followed by Technology and Energy.

Against the trend, Castle Creek Arbitrage opened a new position in Wells Fargo & Company Ws worth $9.56M.

  • Castle Creek Arbitrage's largest Q4 2016 buy was Wells Fargo & Company Ws: 446,441 shares worth $9.56M.
  • Castle Creek Arbitrage added most to PNC Financial Services Group Inc in Q4 2016, an estimated $10.8M increase.
  • Castle Creek Arbitrage's biggest Q4 2016 reduction was Tesla, cutting an estimated $4.27M.
  • Castle Creek Arbitrage fully exited Arowana Inc. in Q4 2016, selling an estimated $8.87M.
  • Castle Creek Arbitrage's ten largest holdings make up 72% of its $1.05B portfolio in Q4 2016.
  • Castle Creek Arbitrage opened 9 new positions and closed 16 in Q4 2016.
  • Castle Creek Arbitrage's portfolio value rose 7.3% quarter-over-quarter to $1.05B.

Based on Castle Creek Arbitrage's 13F filing for Q4 2016, filed 14 Feb 2017.