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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
REGN icon
1
PUT
Regeneron Pharmaceuticals
REGN
$68.8B
$7.75M 0.74%
+20,000
New +$7.41M
EACQ
2
DELISTED
Easterly Acquisition Corp
EACQ
$6.47M 0.62%
650,000
– –
BLVDU
3
DELISTED
Boulevard Acquisition Corp. II
BLVDU
$6.26M 0.6%
600,000
– –
AAPL icon
4
CALL
Apple
AAPL
$4.89T
$6.16M 0.59%
+171,600
New +$5.65M
PRPL icon
5
Purple Innovation
PRPL
$33.2M
$5.99M 0.57%
+24,000
New +$6.02M
EAGLU
6
DELISTED
Double Eagle Acquisition Corp.
EAGLU
$5.28M 0.51%
500,000
– –
RMNI icon
7
Rimini Street
RMNI
$408M
$5.23M 0.5%
524,990
– –
ZIONW
8
DELISTED
Zions Bancorporation N.A. Warrants
ZIONW
$5.1M 0.49%
446,299
-201,800
-31% -$2.47M
LCAHU
9
DELISTED
Landcadia Holdings, Inc. Unit
LCAHU
$4.27M 0.41%
400,000
– –
KLRE
10
DELISTED
KLR Energy Acquisition Corp
KLRE
$4.06M 0.39%
393,490
-5,510
-1% -$57.2K
CLAC
11
DELISTED
Capitol Acquisition Corp. III
CLAC
$3.17M 0.3%
+300,000
New +$3.03M
PAACU
12
DELISTED
Pacific Special Acquisition Corp. Units
PAACU
$2.2M 0.21%
199,400
– –
ASB.WS
13
DELISTED
Associated Banc-Corp Warrants
ASB.WS
$2.02M 0.19%
379,381
+39,484
+12% +$228K
REGN icon
14
Regeneron Pharmaceuticals
REGN
$68.8B
$2.02M 0.19%
+5,200
New +$1.93M
WFT
15
DELISTED
Weatherford International plc
WFT
$1.9M 0.18%
+286,385
New +$1.68M
VRNT
16
DELISTED
Verint Systems
VRNT
$1.16M 0.11%
+52,683
New +$1.03M
SCACU
17
DELISTED
Saban Capital Acquisition Corp. Units
SCACU
$1.06M 0.1%
100,000
– –
CPAAU
18
DELISTED
Conyers Park Acquisition Corp. Unit
CPAAU
$777K 0.07%
69,221
-55,779
-45% -$621K
STI.WS.B
19
DELISTED
Suntrust Banks Inc
STI.WS.B
$753K 0.07%
56,038
– –
SBNYW
20
DELISTED
Signature Bank Warrant
SBNYW
$673K 0.06%
5,649
– –
CLACW
21
DELISTED
Capitol Acquisition Corp. III Warrants
CLACW
$555K 0.05%
+300,000
New +$328K
KLREW
22
DELISTED
KLR Energy Acquisition Corp.
KLREW
$465K 0.04%
399,000
– –
BKLN icon
23
Invesco Senior Loan ETF
BKLN
$7.1B
$233K 0.02%
+10,000
New +$233K
GPACW
24
DELISTED
Global Partner Acquisition Corp
GPACW
$204K 0.02%
+600,000
New +$291K
VRS
25
DELISTED
Verso Corporation
VRS
$157K 0.02%
26,092
– –
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 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.