CASTLE CREEK ARBITRAGE, LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 44
New Positions 23
Increased Positions 30
Decreased Positions 11
Positions with Activity 41
Sold Out Positions 8
Total Mkt Value (in $ millions) 107

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 33.84%
Consumer/Non-Cyclical 0%
Energy 17.81%
Financial 25.87%
Healthcare 0.18%
Services 0.69%
Technology 1.45%
Transportation 1.43%
Utilities

44 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
GENERAL MTRS CO WT EXP 071019 35,133 35,133 New 2,126,718
SEMGROUP CORP WT EXP 113014 19,001 413 2.22 460,079
HYDE PK ACQUISITION CORP II COM 7,784 New 735,000
HARTFORD FINL SVCS GROUP INC WT EXP 062619 5,789 3,782 188.49 223,860
QUARTET MERGER CORP UNIT 1 COM & 1RT 5,210 5,210 New 500,000
HF2 FINL MGMT INC CL A 5,125 -1,720 (25.13) 500,000
SILVER EAGLE ACQUISITION CORP COM 4,374 4,374 New 450,000
ROI ACQUISITION CORP II UNIT 000018 4,084 4,084 New 400,000
MERGEWORTHRX CORP COM 2,670 -2,387 (47.2) 330,000
SILVER EAGLE ACQUISITION CORP UNIT 1 000018 2,064 -5,676 (73.33) 200,000
NOKIA CORP SPONSORED ADR 1,548 1,548 New 212,100
GOLAR LNG LTD BERMUDA SHS 1,525 New 33,326
ZIONS BANCORPORATION WT EXP 052220 1,399 829 145.56 239,070
LINCOLN NATL CORP IND WT EXP 071019 1,303 1,303 New 34,011
CATHAY GEN BANCORP WT EXP 120518 1,085 1,085 New 170,000
SUNTRUST BKS INC WT EXP 123118 1,084 313 40.57 111,200
GENERAL MTRS CO WT EXP 123115 982 982 New 408,968
BANK OF AMERICA CORPORATION COM 895 895 New 55,500
BANK OF AMERICA CORPORATION WT EXP 102818 788 788 New 927,700
EASTMAN KODAK CO WT EXP 090318 602 602 New 40,621


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