Form D · Hedge Fund

CC ARB SIF I, Ltd.

George Town, Grand Cayman, E9 · CIK 0001518609

Offering snapshot reported Sep 14, 2018 · SEC filing

Reported sold: $57.4M
Investors reported: 6
Minimum accepted: $100K
First sale: Feb 1, 2011

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Sep 14, 2018	Amendment	$57,369,800	$0vs Sep 14, 2017	6	SEC filing
Sep 14, 2017	Amendment	$57,369,800	$0vs Sep 14, 2016	6	SEC filing
Sep 14, 2016	Amendment	$57,369,800	-$387,159,312vs Apr 21, 2016	6	SEC filing
Apr 21, 2016	Amendment	$444,529,112	$388,759,312vs Apr 21, 2015	6	SEC filing
Apr 21, 2015	Amendment	$55,769,800	$24,307,000vs Apr 21, 2014	6	SEC filing
Apr 21, 2014	Amendment	$31,462,800	$6,682,646vs Apr 24, 2013	2	SEC filing
Apr 24, 2013	Amendment	$24,780,154	$0vs Apr 24, 2012	4	SEC filing
Apr 24, 2012	Amendment	$24,780,154	$10,450,000vs Apr 21, 2011	4	SEC filing
Apr 21, 2011	Initial	$14,330,154	No comparison	4	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-158745

Source: Form D, filed Sep 14, 2018. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

CC ARB SIF I, LTD.

Investment adviser: CASTLE CREEK ARBITRAGE, LLC

Gross asset value: $74.6M
Beneficial owners: 7
ADV minimum commitment: $1M

Reported in Form ADV on Jun 7, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HSBC TRUSTEE (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE CHICAGO, Illinois, United States

Custodian BNP PARIBAS PRIME BROKERAGE, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian COMPUTERSHARE TRUST COMPANY N.A. PROVIDENCE, Rhode Island, United States Related to adviser: No

Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian KEYBANK NA CLEVELAND, Ohio, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Custodian SCOTIA CAPITAL (USA) INC. NEW YORK, New York, United States Related to adviser: No

Prime broker BNP PARIBAS PRIME BROKERAGE, INC. CHICAGO, Illinois, United States

Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Prime broker SCOTIA CAPITAL (USA) INC. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE
PCAOB 1096

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

J.P. MORGAN SECURITIES LLC
SEC 8-35008

PERSHING LLC
SEC 8-17574

SCOTIA CAPITAL (USA) INC.
SEC 8-3716

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

PERSHING LLC
CRD 7560 · SEC 8-17574

SCOTIA CAPITAL (USA) INC.
CRD 2739 · SEC 8-3716

Filing source

Form ADV 1322615 · Jun 7, 2019 · Schedule D 7.B.(1), fund 805-8493789849

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
N/A Castle Creek Arbitrage, Llc	Executive
Garth Ebanks	Director
Peter C. Fletcher	Executive
Courtney Fong	Executive
Paul Janowitz	Executive
Christopher Le Beau	Director
Betsy Mortel	Director
Chris Perz	Executive
Letitia Solomon	Director
Allan D. Weine	Director, Executive
Tim Woolaver	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Maples Fiduciary Services (Cayman) Ltd. Ugland House, South Church Street
George Town, Grand Cayman, E9, KY1-1104