CASTLEARK MANAGEMENT LLC

HTTP://WWW.CASTLEARK.COM • CHICAGO, IL • Investment Advisor How do I update this listing?

Castleark Management is based out of Chicago. Castleark Management is a large advisory firm with 25 clients and discretionary assets under management (AUM) of $2,871,310,367 (Form ADV from 2019-03-30). Their last reported 13F filing for Q3 2019 included $2,451,479,000 in managed 13F securities and a top 10 holdings concentration of 18.66%. Castleark Management's largest holding is Microsoft Corp. with shares held of 466,960. Castleark Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 77 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.451 Billion
  • Prior Market Value $2.607 Billion
  • New Purchases71 stocks
  • Additional Purchases82 stocks
  • Sold out of68 stocks
  • Reduced holdings in139 stocks
  • Top 10 Holdings % 18.66 %
  • Turnover % [1]:39.71%
  • Turnover Alt % [2]: 33.19 %
  • Time Held Top20:2.60 quarters
  • Time Held Top10:3.40 quarters
  • Time Held All:13.72 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.29%
Performance Last 4 Quarters: 11.75%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR/A (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CASTLEARK MANAGEMENT LLC
Classified as Hedge Fund
1 N. WACKER DRIVE, SUITE 3950
CHICAGO IL    60606
Country: United States
Business Phone: 312-456-9682
Fax: 312-456-9690
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 30
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 25
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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CASTLEARK MANAGEMENT LLC

ownership team - last updated 2019-03-30
Name Title Start Date Direct/Indirect % Ownership
CASTELLINI, JEROME, A MANAGING MEMBER, PREFERRED AND COMMON 01/01/1999 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC MANAGING MEMBER, PREFERRED AND COMMON direct 1999-01-01
C2 ASSET MANAGEMENT L.L.C. PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2005-02-01
CASTLEARK ALTERNATIVES, LLC PRESIDENT, MANAGING MEMBER direct 2005-02-01
CASTLEARK MANAGEMENT LLC PRESIDENT direct 1999-01-01 2017-06-12
CASTELLINI, JAMES, H CHIEF LEGAL OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHIEF LEGAL OFFICER direct 2004-10-01
CASTLEARK MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
CASTLEARK MANAGEMENT LLC GENERAL COUNSEL direct 2004-10-01
C2 ASSET MANAGEMENT L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-04-01
SIMEK, RICHARD, J CHIEF COMPLIANCE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-09-01
CASTLEARK ALTERNATIVES, LLC CCO direct 2012-09-01
TAKAZAWA, ROBERT, SATORU MEMBER, PREFERRED AND COMMON 01/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC SENIOR VP direct 2000-01-01
CASTLEARK MANAGEMENT LLC SENIOR VICE PRESIDENT direct 2000-01-01
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2000-01-01
STARK, JAMES, ARTHUR MEMBER, COMMON UNITS 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC SENIOR VICE PRESIDENT direct 2013-01-01
CASTLEARK MANAGEMENT LLC MEMBER, COMMON direct 2013-01-01
DOLSEN, KEVIN, M MEMBER, PREFERRED AND COMMON 04/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHEIF EXECUTIVE OFFICER direct 2014-04-01
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2014-04-01
ROCKEY, JOAN, KATHRYN MEMBER, PREFERRED AND COMMON 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHEIF FINANCIAL OFFICER direct 2014-01-01
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2014-01-01
BAXTER, GREGORY, PETER MEMBER, COMMON UNITS 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC MEMBER, COMMON UNITS direct 2013-01-01
REDDI, AJOY MEMBER, PREFERRED AND COMMON 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2018-01-01
Hagan, Joseph, M MEMBER, PREFERRED AND COMMON 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2018-01-01
OSTROWSKI, QUENTIN, MICHAEL MEMBER, COMMON UNITS 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC MEMBER, COMMON UNITS direct 2013-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CASTLEARK LONG/SHORT FUND, LP United States 805-1044755614 Hedge Fund 1,998,896 0

CASTLEARK MANAGEMENT LLC

ownership team - last updated 2018-04-09
Name Title Start Date Direct/Indirect % Ownership
CASTELLINI, JEROME, A MANAGING MEMBER, PREFERRED AND COMMON 01/01/1999 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC MANAGING MEMBER, PREFERRED AND COMMON direct 1999-01-01
C2 ASSET MANAGEMENT L.L.C. PRESIDENT, CHIEF EXECUTIVE OFFICER direct 2005-02-01
CASTLEARK ALTERNATIVES, LLC PRESIDENT, MANAGING MEMBER direct 2005-02-01
CASTLEARK MANAGEMENT LLC PRESIDENT direct 1999-01-01 2017-06-12
CASTELLINI, JAMES, H CHIEF LEGAL OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHIEF LEGAL OFFICER direct 2004-10-01
CASTLEARK MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
CASTLEARK MANAGEMENT LLC GENERAL COUNSEL direct 2004-10-01
C2 ASSET MANAGEMENT L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-04-01
SIMEK, RICHARD, J CHIEF COMPLIANCE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-09-01
CASTLEARK ALTERNATIVES, LLC CCO direct 2012-09-01
TAKAZAWA, ROBERT, SATORU MEMBER, PREFERRED AND COMMON 01/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC SENIOR VP direct 2000-01-01
CASTLEARK MANAGEMENT LLC SENIOR VICE PRESIDENT direct 2000-01-01
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2000-01-01
STARK, JAMES, ARTHUR MEMBER, COMMON 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC SENIOR VICE PRESIDENT direct 2013-01-01
CASTLEARK MANAGEMENT LLC MEMBER, COMMON direct 2013-01-01
DOLSEN, KEVIN, M MEMBER, PREFERRED AND COMMON 04/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHEIF EXECUTIVE OFFICER direct 2014-04-01
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2014-04-01
ROCKEY, JOAN, KATHRYN MEMBER, PREFERRED AND COMMON 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASTLEARK MANAGEMENT LLC CHEIF FINANCIAL OFFICER direct 2014-01-01
CASTLEARK MANAGEMENT LLC MEMBER, PREFERRED AND COMMON direct 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CASTLEARK LONG/SHORT FUND, LP United States 805-1044755614 Hedge Fund 2,115,000 0

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