hard · Asset-Backed Securities clos

A broadly syndicated CLO is past its reinvestment period and is currently failing its senior overcollateralization (OC) test. The manager identifies a CCC-rated loan trading at 78 that it expects to recover near par, and a B-rated loan trading at 99 of similar par. The CLO's CCC bucket is already above its 7.5% limit, so excess CCC par is carried at market value in the OC numerator.

Holding the post-trade portfolio par roughly constant, which single trade does the MOST to cure the senior OC test on the trade date?

  1. Sell the B-rated loan at 99 and buy the CCC loan at 78, because the deeply discounted purchase price adds more par per dollar spent to the OC numerator
  2. Sell the deepest-discount excess-CCC loan and reinvest proceeds into the B-rated loan at 99, lifting the haircut portion of the numerator toward full par value
  3. Sell the CCC loan at 78 and distribute all of the sale proceeds directly to equity, shrinking the numerator further but nonetheless still improving the overall ratio
  4. Buy additional CCC par outright with available principal cash, since CCC loans that are purchased below a price of 80 are credited at full par in the senior OC numerator

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