medium · Asset-Backed Securities

A 'CLO' portfolio currently has 12% of its assets rated 'CCC'.

If the 'CCC' limit in the indenture is 7.5%, how does this usually affect the 'Overcollateralization' (OC) test?

  1. The interest proceeds generated from the 'CCC' assets are redirected immediately to pay the subordinate equity holders in the deal.
  2. The entire underlying loan portfolio is immediately marked to market, and the deal is fully liquidated within thirty days.
  3. The manager is prohibited from selling any 'CCC' assets until the concentration drops below 7.5%.
  4. The excess 'CCC' assets (the 4.5% over the limit) are 'haircut' and valued at market price or a fixed recovery for the OC test.

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