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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
-0.32%
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
$1.25B
AUM Growth
-$56M
Cap. Flow
-$1.11B
Cap. Flow %
-88.69%
Top 10 Hldgs %
66.75%
Holding
100
New
7
Increased
2
Reduced
3
Closed
14

Top Buys

Rank Stock Value
1
CLACU
Capitol Acquisition Corp. III Unit
CLACU
+$5.93M
2
KLREU
KLR Energy Acquisition Corp.
KLREU
+$3.99M
3
LMB icon
Limbach Holdings
LMB
+$3.46M
4
PAACU
Pacific Special Acquisition Corp. Units
PAACU
+$2.01M
5
NXEO
Nexeo Solutions, Inc. Common Stock
NXEO
+$994K

Top Sells

Rank Stock Value
1
WFC icon
Wells Fargo
WFC
+$9.49M
2
CMA.WS
Comerica Incorporated Ws
CMA.WS
+$1.15M
3
CMA
Comerica
CMA
+$883K
4
JBLU icon
JetBlue
JBLU
+$71K
5
STI.WS.A
Suntrust Banks Inc
STI.WS.A
+$7.11K

Sector Composition

Rank Sector Weight
1 Financials 0.72%
2 Industrials 0.51%
3 Materials 0.23%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MU icon
1
PUT
Micron Technology
MU
$1.04T
$17.3M 1.38%
1,648,700
+1,148,700
+230% +$12.8M
PNC.WS
2
DELISTED
PNC Financial Services Group Inc
PNC.WS
$10.1M 0.81%
499,400
– –
GRSHU
3
DELISTED
Gores Holdings, Inc.
GRSHU
$8.98M 0.72%
900,000
– –
ARWA
4
DELISTED
Arowana Inc.
ARWA
$8.68M 0.7%
872,500
– –
BLVDU
5
DELISTED
Boulevard Acquisition Corp. II
BLVDU
$5.97M 0.48%
600,000
– –
CLACU
6
DELISTED
Capitol Acquisition Corp. III Unit
CLACU
$5.91M 0.47%
+600,000
New +$5.93M
AAPC
7
DELISTED
Atlantic Alliance Partnership Corp
AAPC
$5.21M 0.42%
500,000
– –
EAGLU
8
DELISTED
Double Eagle Acquisition Corp.
EAGLU
$5M 0.4%
500,000
– –
PACEU
9
DELISTED
Pace Holdings Corp.
PACEU
$4.81M 0.39%
481,326
– –
KLREU
10
DELISTED
KLR Energy Acquisition Corp.
KLREU
$4.01M 0.32%
+399,000
New +$3.99M
LMB icon
11
Limbach Holdings
LMB
$867M
$3.46M 0.28%
+350,000
New +$3.46M
XELA
12
DELISTED
Exela Technologies, Inc. Common Stock
XELA
$2.94M 0.24%
25
– –
NXEO
13
DELISTED
Nexeo Solutions, Inc. Common Stock
NXEO
$2.91M 0.23%
290,000
+99,500
+52% +$994K
PAACU
14
DELISTED
Pacific Special Acquisition Corp. Units
PAACU
$2.03M 0.16%
+200,000
New +$2.01M
ZIONW
15
DELISTED
Zions Bancorporation N.A. Warrants
ZIONW
$1.77M 0.14%
782,750
– –
ASB.WS
16
DELISTED
Associated Banc-Corp Warrants
ASB.WS
$832K 0.07%
338,300
-1,300
-0.4% -$2.93K
WAFDW
17
DELISTED
Washington Federal, Inc.
WAFDW
$604K 0.05%
89,382
– –
SBNYW
18
DELISTED
Signature Bank Warrant
SBNYW
$601K 0.05%
5,649
– –
LINDW
19
DELISTED
Lindblad Expeditions Holdings Inc. Warrant
LINDW
$536K 0.04%
218,663
– –
STI.WS.A
20
DELISTED
Suntrust Banks Inc
STI.WS.A
$320K 0.03%
44,800
-1,000
-2% -$7.11K
BHAC
21
DELISTED
Barington/Hilco Acquisition Corp.
BHAC
$246K 0.02%
24,740
– –
STI.WS.B
22
DELISTED
Suntrust Banks Inc
STI.WS.B
$214K 0.02%
58,438
-662
-1% -$2.23K
LNC.WS
23
DELISTED
Lincoln National Corporation
LNC.WS
$212K 0.02%
6,886
– –
KMI.WS
24
DELISTED
Kinder Morgan Inc
KMI.WS
$209K 0.02%
5,600,000
– –
ARWAR
25
DELISTED
Arowana Inc
ARWAR
$168K 0.01%
700,000
– –
1
2

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AGP
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MWM
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LBA
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CRG
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Castle Creek Arbitrage's Q1 2016 Portfolio in Review

As of Q1 2016, Castle Creek Arbitrage held 100 positions worth $1.25B, down 4.3% from $1.3B the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Castle Creek Arbitrage withdrew a net $1.11B in Q1 2016, closing 14 positions and reducing 3 holdings. Its most notable exit was Wells Fargo, an estimated $9.49M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.72% of assets, down from 1.5% a quarter earlier, followed by Industrials and Materials.

Against the trend, Castle Creek Arbitrage opened a new position in Capitol Acquisition Corp. III Unit worth $5.91M.

  • Castle Creek Arbitrage's largest Q1 2016 buy was Capitol Acquisition Corp. III Unit: 600,000 shares worth $5.91M.
  • Castle Creek Arbitrage added most to Nexeo Solutions, Inc. Common Stock in Q1 2016, an estimated $994K increase.
  • Castle Creek Arbitrage's biggest Q1 2016 reduction was Suntrust Banks Inc, cutting an estimated $7.11K.
  • Castle Creek Arbitrage fully exited Wells Fargo in Q1 2016, selling an estimated $9.49M.
  • Castle Creek Arbitrage's ten largest holdings make up 67% of its $1.25B portfolio in Q1 2016.
  • Castle Creek Arbitrage opened 7 new positions and closed 14 in Q1 2016.
  • Castle Creek Arbitrage's portfolio value fell 4.3% quarter-over-quarter to $1.25B.

Based on Castle Creek Arbitrage's 13F filing for Q1 2016, filed 13 May 2016.