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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
+2.2%
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
$2.28B
AUM Growth
+$44.3M
Cap. Flow
-$1.63B
Cap. Flow %
-71.51%
Top 10 Hldgs %
52.63%
Holding
110
New
23
Increased
14
Reduced
4
Closed
8

Top Buys

Rank Stock Value
1
GM.WS.B
General Motors Company
GM.WS.B
+$20.2M
2
VDTH
Videocon d2h Limited
VDTH
+$4.39M
3
HIG.WS
Hartford Financial Services Grp
HIG.WS
+$3.76M
4
GM.WS.C
GENERAL MTRS CO WTS EXP 12/31/15 (DE)
GM.WS.C
+$1.78M
5
NOK icon
Nokia
NOK
+$1.59M

Top Sells

Rank Stock Value
1
GM.WS.A
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
+$51.4M
2
OC.WS.B
OWENS CORNING INC WTS EXP 2013 SER B
OC.WS.B
+$2.67M
3
LIND icon
Lindblad Expeditions
LIND
+$2.58M
4
MWRX
MEDWORTH RX CORP COM STK (DE)
MWRX
+$2.38M
5
CMA.WS
Comerica Incorporated Ws
CMA.WS
+$2.03M

Sector Composition

Rank Sector Weight
1 Technology 0.08%
2 Energy 0.05%
3 Financials 0.04%
4 Materials 0.01%
5 Consumer Discretionary 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TWO.WS
51
DELISTED
TWO HBRS INVT CORP WTS EXP 11/07/2013 (MD)
TWO.WS
– –
-83,397
Closed -$810K
OC.WS.B
52
DELISTED
OWENS CORNING INC WTS EXP 2013 SER B
OC.WS.B
– –
-70,400
Closed -$2.67M
1 2
3

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Castle Creek Arbitrage's Q4 2013 Portfolio in Review

As of Q4 2013, Castle Creek Arbitrage held 110 positions worth $2.28B, up 2% from $2.23B the previous quarter. Its ten largest holdings account for 53% of the portfolio.

Castle Creek Arbitrage withdrew a net $1.63B in Q4 2013, closing 8 positions and reducing 4 holdings. Its most notable exit was GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016), an estimated $51.4M position sold in full.

By sector, the portfolio is most concentrated in Technology at 0.08% of assets, followed by Energy and Financials.

Against the trend, Castle Creek Arbitrage opened a new position in Videocon d2h Limited worth $4.36M.

  • Castle Creek Arbitrage's largest Q4 2013 buy was Videocon d2h Limited: 450,000 shares worth $4.36M.
  • Castle Creek Arbitrage added most to General Motors Company in Q4 2013, an estimated $20.2M increase.
  • Castle Creek Arbitrage's biggest Q4 2013 reduction was MEDWORTH RX CORP COM STK (DE), cutting an estimated $2.38M.
  • Castle Creek Arbitrage fully exited GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016) in Q4 2013, selling an estimated $51.4M.
  • Castle Creek Arbitrage's ten largest holdings make up 53% of its $2.28B portfolio in Q4 2013.
  • Castle Creek Arbitrage opened 23 new positions and closed 8 in Q4 2013.
  • Castle Creek Arbitrage's portfolio value rose 2% quarter-over-quarter to $2.28B.

Based on Castle Creek Arbitrage's 13F filing for Q4 2013, filed 14 Feb 2014.