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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
+0.2%
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
$1.04B
AUM Growth
-$7.66M
Cap. Flow
-$906M
Cap. Flow %
-86.91%
Top 10 Hldgs %
79.39%
Holding
80
New
12
Increased
1
Reduced
6
Closed
18

Top Buys

Rank Stock Value
1
PRPL icon
Purple Innovation
PRPL
+$6.02M
2
CLAC
Capitol Acquisition Corp. III
CLAC
+$3.03M
3
REGN icon
Regeneron Pharmaceuticals
REGN
+$1.93M
4
WFT
Weatherford International plc
WFT
+$1.68M
5
VRNT
Verint Systems
VRNT
+$1.03M

Top Sells

Rank Stock Value
1
PNC.WS
PNC Financial Services Group Inc
PNC.WS
+$39.3M
2
WFC.WS
Wells Fargo & Company Ws
WFC.WS
+$9.56M
3
CLACU
Capitol Acquisition Corp. III Unit
CLACU
+$6.18M
4
GPACU
Global Partner Acquisition Corp. Units
GPACU
+$6M
5
GM.WS.B
General Motors Company
GM.WS.B
+$4.35M

Sector Composition

Rank Sector Weight
1 Financials 0.62%
2 Technology 0.61%
3 Consumer Discretionary 0.57%
4 Energy 0.57%
5 Healthcare 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GPIAW
26
DELISTED
GP Investments Acquisition Corp
GPIAW
$131K 0.01%
262,495
– –
BAC.WS.B
27
DELISTED
Bank Of America Corporation Ws B
BAC.WS.B
$98K 0.01%
+106,100
New +$115K
HOS
28
DELISTED
Hornbeck Offshore Services, Inc.
HOS
$74K 0.01%
+16,739
New +$95.4K
EACQW
29
DELISTED
Easterly Acquisition Corp.
EACQW
$73K 0.01%
208,501
-116,500
-36% -$47.9K
BHACR
30
DELISTED
Barington/Hilco Acquisition Corp. Rights
BHACR
$47K ﹤0.01%
133,150
-66,850
-33% -$20.6K
BHACW
31
DELISTED
Barington/Hilco Acquisition Corp. Warrants
BHACW
$32K ﹤0.01%
188,799
-11,201
-6% -$1.59K
KMI.WS
32
DELISTED
Kinder Morgan Inc
KMI.WS
$14K ﹤0.01%
5,600,000
– –
DKS icon
33
Dick's Sporting Goods
DKS
$18.4B
– –
-12,500
Closed -$664K
MA icon
34
CALL
Mastercard
MA
$477B
– –
-50,000
Closed -$5.16M
MU icon
35
PUT
Micron Technology
MU
$1.04T
– –
-1,648,700
Closed -$36.1M
TSLA icon
36
Tesla
TSLA
$1.24T
– –
-21,840
Closed -$311K
XELA
37
DELISTED
Exela Technologies, Inc. Common Stock
XELA
– –
-25
Closed -$2.99M
AGFSW
38
DELISTED
AgroFresh Solutions Inc Warrants
AGFSW
– –
-144,248
Closed -$26K
LINDW
39
DELISTED
Lindblad Expeditions Holdings Inc. Warrant
LINDW
– –
-55,863
Closed -$119K
GM.WS.B
40
DELISTED
General Motors Company
GM.WS.B
– –
-253,501
Closed -$4.35M
LNC.WS
41
DELISTED
Lincoln National Corporation
LNC.WS
– –
-6,886
Closed -$423K
NXEOW
42
DELISTED
Nexeo Solutions, Inc. Warrant
NXEOW
– –
-276,441
Closed -$191K
WFC.WS
43
DELISTED
Wells Fargo & Company Ws
WFC.WS
– –
-446,441
Closed -$9.56M
GPACU
44
DELISTED
Global Partner Acquisition Corp. Units
GPACU
– –
-600,000
Closed -$6M
CLACU
45
DELISTED
Capitol Acquisition Corp. III Unit
CLACU
– –
-600,000
Closed -$6.18M
WAFDW
46
DELISTED
Washington Federal, Inc.
WAFDW
– –
-89,382
Closed -$1.51M
TCBIW
47
DELISTED
Texas Capital Bancshares, Inc. Warrant
TCBIW
– –
-40,700
Closed -$2.6M
PNC.WS
48
DELISTED
PNC Financial Services Group Inc
PNC.WS
– –
-792,555
Closed -$39.3M
STI.WS.A
49
DELISTED
Suntrust Banks Inc
STI.WS.A
– –
-78,151
Closed -$1.7M
BHAC
50
DELISTED
Barington/Hilco Acquisition Corp.
BHAC
– –
-224,740
Closed -$2.28M
1
2

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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 Q1 2017 Portfolio in Review

As of Q1 2017, Castle Creek Arbitrage held 80 positions worth $1.04B, down 0.73% from $1.05B the previous quarter. Its ten largest holdings account for 79% of the portfolio.

Castle Creek Arbitrage withdrew a net $906M in Q1 2017, closing 18 positions and reducing 6 holdings. Its most notable exit was PNC Financial Services Group Inc, an estimated $39.3M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.62% of assets, down from 0.83% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Castle Creek Arbitrage opened a new position in Purple Innovation worth $5.99M.

  • Castle Creek Arbitrage's largest Q1 2017 buy was Purple Innovation: 24,000 shares worth $5.99M.
  • Castle Creek Arbitrage added most to Associated Banc-Corp Warrants in Q1 2017, an estimated $228K increase.
  • Castle Creek Arbitrage's biggest Q1 2017 reduction was Zions Bancorporation N.A. Warrants, cutting an estimated $2.47M.
  • Castle Creek Arbitrage fully exited PNC Financial Services Group Inc in Q1 2017, selling an estimated $39.3M.
  • Castle Creek Arbitrage's ten largest holdings make up 79% of its $1.04B portfolio in Q1 2017.
  • Castle Creek Arbitrage opened 12 new positions and closed 18 in Q1 2017.
  • Castle Creek Arbitrage's portfolio value fell 0.73% quarter-over-quarter to $1.04B.

Based on Castle Creek Arbitrage's 13F filing for Q1 2017, filed 15 May 2017.