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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
+0.19%
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
$997M
AUM Growth
+$65M
Cap. Flow
-$885M
Cap. Flow %
-88.78%
Top 10 Hldgs %
91.07%
Holding
50
New
1
Increased
–
Reduced
7
Closed
9

Top Buys

Rank Stock Value
1
EAGLW
Double Eagle Acquisition Corp. Warrant
EAGLW
+$227K

Top Sells

Rank Stock Value
1
EACQ
Easterly Acquisition Corp
EACQ
+$6.52M
2
PRPL icon
Purple Innovation
PRPL
+$5.97M
3
EAGLU
Double Eagle Acquisition Corp.
EAGLU
+$5.26M
4
ZIONW
Zions Bancorporation N.A. Warrants
ZIONW
+$2.59M
5
FXI icon
iShares China Large-Cap ETF
FXI
+$675K

Sector Composition

Rank Sector Weight
1 Financials 0.6%
2 Energy 0.04%
3 Consumer Discretionary 0%
4 Industrials 0%
5 Materials 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BLVD
1
DELISTED
Boulevard Acquisition Corp. II Class A Common Stock
BLVD
$5.94M 0.6%
594,500
-5,500
-0.9% -$55K
LCAHU
2
DELISTED
Landcadia Holdings, Inc. Unit
LCAHU
$4.28M 0.43%
400,000
– –
ZIONW
3
DELISTED
Zions Bancorporation N.A. Warrants
ZIONW
$3.74M 0.38%
246,299
-200,000
-45% -$2.59M
ASB.WS
4
DELISTED
Associated Banc-Corp Warrants
ASB.WS
$1.88M 0.19%
380,181
– –
SCACU
5
DELISTED
Saban Capital Acquisition Corp. Units
SCACU
$1.06M 0.11%
100,000
– –
STI.WS.B
6
DELISTED
Suntrust Banks Inc
STI.WS.B
$902K 0.09%
56,038
– –
SBNYW
7
DELISTED
Signature Bank Warrant
SBNYW
$560K 0.06%
5,649
– –
GPACW
8
DELISTED
Global Partner Acquisition Corp
GPACW
$442K 0.04%
560,000
-40,000
-7% -$26.1K
NBR icon
9
Nabors Industries
NBR
$1.23B
$401K 0.04%
994
– –
EAGLW
10
DELISTED
Double Eagle Acquisition Corp. Warrant
EAGLW
$297K 0.03%
+430,000
New +$227K
BLVDW
11
DELISTED
Boulevard Acquisition Corp. II Warrant
BLVDW
$264K 0.03%
300,000
– –
EACQW
12
DELISTED
Easterly Acquisition Corp.
EACQW
$162K 0.02%
207,501
-1,000
-0.5% -$817
GPIAW
13
DELISTED
GP Investments Acquisition Corp
GPIAW
$111K 0.01%
260,619
-1,776
-0.7% -$1.2K
BAC.WS.B
14
DELISTED
Bank Of America Corporation Ws B
BAC.WS.B
$83K 0.01%
106,100
– –
ALR.PRB
15
DELISTED
Alere Inc
ALR.PRB
– –
0
– –
BHACR
16
DELISTED
Barington/Hilco Acquisition Corp. Rights
BHACR
$27K ﹤0.01%
121,896
-4,250
-3% -$1.26K
BHACW
17
DELISTED
Barington/Hilco Acquisition Corp. Warrants
BHACW
$17K ﹤0.01%
168,689
-8,000
-5% -$1.13K
FXI icon
18
iShares China Large-Cap ETF
FXI
$4.31B
– –
-17,000
Closed -$675K
PRPL icon
19
Purple Innovation
PRPL
$33.2M
– –
-24,000
Closed -$5.97M
VRNT
20
DELISTED
Verint Systems
VRNT
– –
-27,753
Closed -$575K
VRS
21
DELISTED
Verso Corporation
VRS
– –
-26,092
Closed -$122K
HOS
22
DELISTED
Hornbeck Offshore Services, Inc.
HOS
– –
-16,739
Closed -$47K
EAGLU
23
DELISTED
Double Eagle Acquisition Corp.
EAGLU
– –
-500,000
Closed -$5.26M
PAACR
24
DELISTED
Pacific Special Acquisition Corp. Rights
PAACR
– –
-151,300
Closed -$90K
CPAAW
25
DELISTED
Conyers Park Acquisition Corp. Warrant
CPAAW
– –
-20,000
Closed -$52K
1
2

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Castle Creek Arbitrage's Q3 2017 Portfolio in Review

As of Q3 2017, Castle Creek Arbitrage held 50 positions worth $997M, up 7% from $932M the previous quarter. Its ten largest holdings account for 91% of the portfolio.

Castle Creek Arbitrage withdrew a net $885M in Q3 2017, closing 9 positions and reducing 7 holdings. Its most notable exit was Easterly Acquisition Corp, an estimated $6.52M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.6% of assets, down from 1.3% a quarter earlier, followed by Energy and Consumer Discretionary.

Against the trend, Castle Creek Arbitrage opened a new position in Double Eagle Acquisition Corp. Warrant worth $297K.

  • Castle Creek Arbitrage's largest Q3 2017 buy was Double Eagle Acquisition Corp. Warrant: 430,000 shares worth $297K.
  • Castle Creek Arbitrage's biggest Q3 2017 reduction was Zions Bancorporation N.A. Warrants, cutting an estimated $2.59M.
  • Castle Creek Arbitrage fully exited Easterly Acquisition Corp in Q3 2017, selling an estimated $6.52M.
  • Castle Creek Arbitrage's ten largest holdings make up 91% of its $997M portfolio in Q3 2017.
  • Castle Creek Arbitrage opened 1 new position and closed 9 in Q3 2017.
  • Castle Creek Arbitrage's portfolio value rose 7% quarter-over-quarter to $997M.

Based on Castle Creek Arbitrage's 13F filing for Q3 2017, filed 15 Nov 2017.