Form D · Hedge Fund

CC ARB West, LLC

Avon, CO · CIK 0001574847

Offering snapshot reported May 10, 2023 · SEC filing

Reported sold
$276M
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$50M
Reported outside-investor minimum
First sale
Apr 10, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$138M$276MApr 19, 2013: $50,250,000.00Apr 19, 2013Apr 22, 2014: $188,250,000.00Apr 21, 2015: $188,250,000.00Apr 21, 2016: $188,250,000.00Sep 14, 2016: $188,250,000.00Sep 14, 2017: $238,250,000.00Sep 14, 2018: $238,250,000.00May 23, 2019: $238,250,000.00May 13, 2022: $275,633,307.00May 13, 2022: $275,633,307.00May 10, 2023: $275,633,307.00May 10, 2023

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

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 10, 2023Amendment$275,633,307$0vs May 13, 20222SEC filing
May 13, 2022Amendment$275,633,307$0vs May 13, 20222SEC filing
May 13, 2022Amendment$275,633,307$37,383,307vs May 23, 20192SEC filing
May 19, 2021Amendment$274,474,643$36,224,643vs May 13, 20212SEC filing
May 13, 2021Amendment$238,250,000$0vs May 12, 20202SEC filing
May 12, 2020Initial$238,250,000No comparison2SEC filing
May 23, 2019Amendment$238,250,000$0vs Sep 14, 20182SEC filing
Sep 14, 2018Amendment$238,250,000$0vs Sep 14, 20172SEC filing
Sep 14, 2017Amendment$238,250,000$50,000,000vs Sep 14, 20162SEC filing
Sep 14, 2016Amendment$188,250,000$0vs Apr 21, 20162SEC filing
Apr 21, 2016Amendment$188,250,000$0vs Apr 21, 20152SEC filing
Apr 21, 2015Amendment$188,250,000$0vs Apr 22, 20142SEC filing
Apr 22, 2014Amendment$188,250,000$138,000,000vs Apr 19, 20132SEC filing
Apr 19, 2013Initial$50,250,000No comparison2SEC 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
021-195258

Source: Form D, filed May 10, 2023. 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 WEST, LLC

Investment adviser: CASTLE CREEK ARBITRAGE, LLC

Gross asset value
$918M
Beneficial owners
2
ADV minimum commitment
$50M

Reported in Form ADV on Mar 7, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HSBC SECURITIES SERVICES (IRELAND) LIMITED DUBLIN, Ireland 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 J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian TD PRIME SERVICES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker BNP PARIBAS PRIME BROKERAGE, INC. CHICAGO, Illinois, United States
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States
Prime broker PERSHING LLC JERSEY CITY, Illinois, United States
Prime broker TD PRIME SERVICES LLC 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

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

PERSHING LLC
SEC 8-17574

TD PRIME SERVICES LLC
SEC 8-3337

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

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

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

PERSHING LLC
CRD 7560 · SEC 8-17574

TD PRIME SERVICES LLC
CRD 1914 · SEC 8-3337

Filing source

Form ADV 1721231 · Mar 7, 2023 · Schedule D 7.B.(1), fund 805-6673125467

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
NameReported role
Amir A. Ahmed Executive, Promoter
N/A Castle Creek Arbitrage, Llc Executive
Peter C. Fletcher Executive, Promoter
Courtney Fong Executive
Paul Janowitz Executive
Chris Perz Executive
Allan D. Weine Executive, Promoter
Connie Wick Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
111 W Beaver Creek Boulevard Po Box 3500
Avon, CO, 81620