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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
+0.27%
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
$1.23B
AUM Growth
+$231M
Cap. Flow
-$915M
Cap. Flow %
-74.48%
Top 10 Hldgs %
82.69%
Holding
75
New
27
Increased
–
Reduced
2
Closed
6

Top Buys

Rank Stock Value
1
AIFA
All In FutureTech Alliance Inc
AIFA
+$6.7M
2
MMDM
Modern Media Acquisition Corp. Common Stock
MMDM
+$5.34M
3
INDUU
Industrea Acquisition Corp. Unit
INDUU
+$5.06M
4
VEACU
Vantage Energy Acquisition Corp. Unit
VEACU
+$4.81M
5
WRLSU
Pensare Acquisition Corp. Unit
WRLSU
+$4.11M

Top Sells

Rank Stock Value
1
BLVD
Boulevard Acquisition Corp. II Class A Common Stock
BLVD
+$5.94M
2
ZIONW
Zions Bancorporation N.A. Warrants
ZIONW
+$1.45M
3
SBNYW
Signature Bank Warrant
SBNYW
+$560K
4
EAGLW
Double Eagle Acquisition Corp. Warrant
EAGLW
+$297K
5
BLVDW
Boulevard Acquisition Corp. II Warrant
BLVDW
+$264K

Sector Composition

Rank Sector Weight
1 Technology 0.77%
2 Communication Services 0.48%
3 Energy 0.03%
4 Financials 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRACW
26
DELISTED
Black Ridge Acquisition Corp. Warrant
BRACW
$214K 0.02%
+700,000
New +$200K
ESTRW
27
DELISTED
Estre Ambiental, Inc
ESTRW
$206K 0.02%
+300,000
New +$236K
BRACR
28
DELISTED
Black Ridge Acquisition Corp. Right
BRACR
$194K 0.02%
+700,000
New +$195K
MMDMR
29
DELISTED
Modern Media Acquisition Corp. Right
MMDMR
$174K 0.01%
+447,200
New +$174K
MMDMW
30
DELISTED
Modern Media Acquisition Corp. Warrant
MMDMW
$133K 0.01%
+274,999
New +$139K
FMCIR
31
DELISTED
Forum Merger Corporation Right
FMCIR
$132K 0.01%
+200,000
New +$100K
EACQW
32
DELISTED
Easterly Acquisition Corp.
EACQW
$123K 0.01%
207,501
– –
FMCIW
33
DELISTED
Forum Merger Corporation Warrant
FMCIW
$54K ﹤0.01%
+81,700
New +$41.9K
GSHTW
34
DELISTED
Gores Holdings II, Inc. Warrants
GSHTW
$48K ﹤0.01%
+33,332
New +$48.9K
VIVO
35
VivoPower PLC
VIVO
$131M
$35K ﹤0.01%
+1,215
New +$37K
BHACR
36
DELISTED
Barington/Hilco Acquisition Corp. Rights
BHACR
$20K ﹤0.01%
121,896
– –
BHACW
37
DELISTED
Barington/Hilco Acquisition Corp. Warrants
BHACW
$12K ﹤0.01%
168,689
– –
SBNYW
38
DELISTED
Signature Bank Warrant
SBNYW
– –
-5,649
Closed -$560K
BAC.WS.B
39
DELISTED
Bank Of America Corporation Ws B
BAC.WS.B
– –
-106,100
Closed -$83K
BLVDW
40
DELISTED
Boulevard Acquisition Corp. II Warrant
BLVDW
– –
-300,000
Closed -$264K
EAGLW
41
DELISTED
Double Eagle Acquisition Corp. Warrant
EAGLW
– –
-430,000
Closed -$297K
GPIAW
42
DELISTED
GP Investments Acquisition Corp
GPIAW
– –
-260,619
Closed -$111K
BLVD
43
DELISTED
Boulevard Acquisition Corp. II Class A Common Stock
BLVD
– –
-594,500
Closed -$5.94M
1
2

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PC
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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 Q4 2017 Portfolio in Review

As of Q4 2017, Castle Creek Arbitrage held 75 positions worth $1.23B, up 23% from $997M the previous quarter. Its ten largest holdings account for 83% of the portfolio.

Castle Creek Arbitrage withdrew a net $915M in Q4 2017, closing 6 positions and reducing 2 holdings. Its most notable exit was Boulevard Acquisition Corp. II Class A Common Stock, an estimated $5.94M position sold in full.

By sector, the portfolio is most concentrated in Technology at 0.77% of assets, up from 0% a quarter earlier, followed by Communication Services and Energy.

Against the trend, Castle Creek Arbitrage opened a new position in All In FutureTech Alliance Inc worth $6.75M.

  • Castle Creek Arbitrage's largest Q4 2017 buy was All In FutureTech Alliance Inc: 116,667 shares worth $6.75M.
  • Castle Creek Arbitrage's biggest Q4 2017 reduction was Zions Bancorporation N.A. Warrants, cutting an estimated $1.45M.
  • Castle Creek Arbitrage fully exited Boulevard Acquisition Corp. II Class A Common Stock in Q4 2017, selling an estimated $5.94M.
  • Castle Creek Arbitrage's ten largest holdings make up 83% of its $1.23B portfolio in Q4 2017.
  • Castle Creek Arbitrage opened 27 new positions and closed 6 in Q4 2017.
  • Castle Creek Arbitrage's portfolio value rose 23% quarter-over-quarter to $1.23B.

Based on Castle Creek Arbitrage's 13F filing for Q4 2017, filed 14 Feb 2018.