Castle Creek Arbitrage, LLC (d/b/a Castle Creek Strategies, LLC; “Castle Creek” or the “Firm”)
is a limited liability company organized under the laws of the State of Delaware and maintains its
principal place of business in Avon, Colorado. The Firm has been registered with the U.S.
Securities and Exchange Commission (“SEC”) as an investment adviser since February of 2006.
Mr. Allan Weine, founder of Castle Creek, majority owns and controls the Firm. Additionally,
Mr. Peter Fletcher, portfolio manager of Castle Creek, is a non-controlling principal of the Firm.
Castle Creek provides investment advisory services to several private investment funds that were
organized by the Firm (the “Funds”). In managing the Funds, the Firm implements several
strategies, including convertible arbitrage, relative value, capital structure arbitrage, special
purpose acquisition vehicles (“SPACs”), other credit related strategies, and equity-option related
strategies. Each strategy is more fully described in the relevant Fund’s offering documents. In
addition, Castle Creek may provide investment advisory services to other clients that generally
replicate the investment strategies used by the Funds, including pooled investment vehicles
organized by unaffiliated third parties or separately
managed accounts (collectively, “Managed
Accounts”, and together with the Funds, “Clients”).
The Funds, and the shares and interests offered by the Funds, are not registered under applicable
securities regulations, including the U.S. Securities Act of 1933, as amended or the Investment
Company Act of 1940, as amended. Accordingly, interests or shares of the Funds are offered and
sold exclusively to investors that satisfy eligibility and suitability requirements under rules
applicable to private placement transactions or offshore transactions.
The Firm’s advisory services are provided on a discretionary basis, which may be limited by
conditions set forth in the governing documents for a Fund or may be imposed by a Managed
Account in written investment guidelines or restrictions. As Castle Creek provides advisory
services to the Funds, and not directly to any underlying investor as a result of investing in the
Funds, the Firm does not take into consideration any specific investment condition requested by
an investor in the Funds. Castle Creek does not manage any assets on a non-discretionary basis.
As of December 31, 2022, Castle Creek managed (on a fully discretionary basis) approximately
$1,365,259,000 of regulatory assets under management.