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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
+0.3%
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
$1.3B
AUM Growth
+$49.9M
Cap. Flow
-$998M
Cap. Flow %
-76.57%
Top 10 Hldgs %
64.78%
Holding
100
New
11
Increased
3
Reduced
1
Closed
12

Top Buys

Rank Stock Value
1
ARWA
Arowana Inc.
ARWA
+$8.6M
2
KMI.WS
Kinder Morgan Inc
KMI.WS
+$2.67M
3
NXEO
Nexeo Solutions, Inc. Common Stock
NXEO
+$1.92M
4
CMA
Comerica
CMA
+$656K
5
ARWAR
Arowana Inc
ARWAR
+$141K

Top Sells

Rank Stock Value
1
WFC icon
Wells Fargo
WFC
+$6.96M
2
CAMB
CAMBRIDGE CAP ACQUISITION CORP (DE)
CAMB
+$4.74M
3
TWI icon
Titan International
TWI
+$628K
4
STI
SunTrust Banks, Inc.
STI
+$419K
5
ROIQW
ROI ACQUISITION CORP WT EXP 2/28/2017 (DE)
ROIQW
+$114K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Industrials 0.23%
3 Materials 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PNC.WS
1
DELISTED
PNC Financial Services Group Inc
PNC.WS
$14.3M 1.1%
499,400
– –
QQQ icon
2
PUT
Invesco QQQ Trust
QQQ
$455B
$11.2M 0.86%
+100,000
New +$11.2M
WFC icon
3
Wells Fargo
WFC
$261B
$9.49M 0.73%
174,582
-128,100
-42% -$6.96M
GRSHU
4
DELISTED
Gores Holdings, Inc.
GRSHU
$9M 0.69%
900,000
– –
ARWA
5
DELISTED
Arowana Inc.
ARWA
$8.53M 0.65%
+872,500
New +$8.6M
JNPR
6
PUT
DELISTED
Juniper Networks
JNPR
$8.28M 0.64%
300,000
– –
MU icon
7
PUT
Micron Technology
MU
$1.04T
$7.08M 0.54%
500,000
– –
BLVDU
8
DELISTED
Boulevard Acquisition Corp. II
BLVDU
$5.94M 0.46%
600,000
– –
INTC icon
9
PUT
Intel
INTC
$466B
$5.17M 0.4%
+150,000
New +$5.07M
AAPC
10
DELISTED
Atlantic Alliance Partnership Corp
AAPC
$5.05M 0.39%
500,000
– –
EAGLU
11
DELISTED
Double Eagle Acquisition Corp.
EAGLU
$5M 0.38%
500,000
– –
PACEU
12
DELISTED
Pace Holdings Corp.
PACEU
$4.85M 0.37%
481,326
– –
GLD icon
13
CALL
SPDR Gold Trust
GLD
$131B
$4.57M 0.35%
45,000
– –
DLTR icon
14
PUT
Dollar Tree
DLTR
$23.1B
$3.86M 0.3%
+50,000
New +$3.5M
XELA
15
DELISTED
Exela Technologies, Inc. Common Stock
XELA
$2.91M 0.22%
25
– –
ZIONW
16
DELISTED
Zions Bancorporation N.A. Warrants
ZIONW
$2.54M 0.2%
782,750
– –
NXEO
17
DELISTED
Nexeo Solutions, Inc. Common Stock
NXEO
$1.9M 0.15%
+190,500
New +$1.92M
YHOO
18
CALL
DELISTED
Yahoo Inc
YHOO
$1.66M 0.13%
50,000
– –
P
19
CALL
DELISTED
Pandora Media Inc
P
$1.34M 0.1%
+100,000
New +$1.49M
CMA.WS
20
DELISTED
Comerica Incorporated Ws
CMA.WS
$1.15M 0.09%
82,200
– –
ASB.WS
21
DELISTED
Associated Banc-Corp Warrants
ASB.WS
$1.01M 0.08%
339,600
– –
DKS icon
22
CALL
Dick's Sporting Goods
DKS
$18.4B
$884K 0.07%
+25,000
New +$1.05M
CMA
23
DELISTED
Comerica
CMA
$883K 0.07%
21,099
+15,000
+246% +$656K
SBNYW
24
DELISTED
Signature Bank Warrant
SBNYW
$698K 0.05%
5,649
– –
LINDW
25
DELISTED
Lindblad Expeditions Holdings Inc. Warrant
LINDW
$656K 0.05%
218,663
– –
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 Q4 2015 Portfolio in Review

As of Q4 2015, Castle Creek Arbitrage held 100 positions worth $1.3B, up 4% from $1.25B the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Castle Creek Arbitrage withdrew a net $998M in Q4 2015, closing 12 positions and reducing 1 holding. Its most notable exit was CAMBRIDGE CAP ACQUISITION CORP (DE), an estimated $4.74M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 1.3% a quarter earlier, followed by Industrials and Materials.

Against the trend, Castle Creek Arbitrage opened a new position in Arowana Inc. worth $8.53M.

  • Castle Creek Arbitrage's largest Q4 2015 buy was Arowana Inc.: 872,500 shares worth $8.53M.
  • Castle Creek Arbitrage added most to Comerica in Q4 2015, an estimated $656K increase.
  • Castle Creek Arbitrage's biggest Q4 2015 reduction was Wells Fargo, cutting an estimated $6.96M.
  • Castle Creek Arbitrage fully exited CAMBRIDGE CAP ACQUISITION CORP (DE) in Q4 2015, selling an estimated $4.74M.
  • Castle Creek Arbitrage's ten largest holdings make up 65% of its $1.3B portfolio in Q4 2015.
  • Castle Creek Arbitrage opened 11 new positions and closed 12 in Q4 2015.
  • Castle Creek Arbitrage's portfolio value rose 4% quarter-over-quarter to $1.3B.

Based on Castle Creek Arbitrage's 13F filing for Q4 2015, filed 16 Feb 2016.