medium · Asset-Backed Securities clos

A CLO manager is considering adding a new loan to a $1 billion portfolio during the reinvestment period. The portfolio currently has a Weighted Average Spread (WAS) of 360 bp (floor 350 bp) and a Weighted Average Rating Factor (WARF) of 2850 (cap 2900). The new loan is a $20 million position with a spread of 320 bp and a rating factor of 3100.

Which test is most at risk of being breached by this trade?

  1. Neither test, because a $20 million trade is too small to shift a $1 billion CLO portfolio's weighted averages
  2. Only the WARF test, because the WAS floor covenant applies only at the end of the reinvestment period, not to interim trades
  3. Only the WAS test, because the WARF cap is recalculated monthly based on the trustee's 'Moody's Diversity Score' for the pool
  4. Both the WAS and WARF tests may be breached, as the new loan is below the current WAS average and above the WARF average

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