CASTLE CREEK ARBITRAGE, LLC Information

227 WEST MONROE STREET, SUITE 3550, CHICAGO, Illinois, 60606, (312) 692-7564

Report Date: 09/30/2014

Position Statistics

Total Positions 41
New Positions 6
Increased Positions 16
Decreased Positions 11
Positions with Activity 27
Sold Out Positions 9
Total Mkt Value (in $ millions) 111

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 0.41%
Capital Goods
Conglomerates
Consumer Cyclical 0%
Consumer/Non-Cyclical
Energy 20.49%
Financial 52.73%
Healthcare 0.12%
Services 0%
Technology 0.36%
Transportation
Utilities

41 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ISHARES TR CHINA LG-CAP ETF 24,508 24,508 New 588,000
SEMGROUP CORP WT EXP 113014 22,745 1,057 4.88 411,816
CAPITAL ONE FINL CORP WT EXP 111418 20,352 6,113 42.93 490,400
SILVER EAGLE ACQUISITION CORP COM 6,370 New 650,000
TERRAPIN 3 ACQUISITION CORP UNIT 1COM 1WT 6,000 6,000 New 600,000
BOULEVARD ACQUISITION CORP COM 4,748 -72 (1.5) 492,480
CAMBRIDGE CAP ACQUISITION CORP COM 4,703 New 475,000
1347 CAP CORP UN 1COM 1RT 1WT 3,504 3,504 New 350,000
ZIONS BANCORPORATION WT EXP 052220 2,378 71 3.08 536,700
COMERICA INC WT EXP 111418 2,327 108 4.88 131,100
HENNESSY CAP ACQUISITION CORP COM 1,954 New 198,400
WINTRUST FINL CORP WT EXP 121918 1,879 1 .04 77,949
TEXAS CAPITAL BANCSHARES INC WT EXP 011619 1,798 New 40,200
CATHAY GEN BANCORP WT EXP 120518 1,500 26 1.79 231,534
ASSOCIATED BANC CORP WT EXP 112118 1,061 29 2.76 353,833
SUNTRUST BKS INC WT EXP 123118 863 23 2.71 71,900
HARTFORD FINL SVCS GROUP INC WT EXP 062619 575 575 New 16,882
SIGNATURE BK NEW YORK N Y WT PUR COM STK 505 New 5,649
SUNTRUST BKS INC WT EXP 111418 488 -33 (6.4) 77,500
CENTRUS ENERGY CORP CL A 461 461 New 110,700