13F-HR filed by WHITEBOX ADVISORS LLC
WHITEBOX ADVISORS LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 93 holding rows worth $3,416,467,000.
- Accession
- 0000950123-17-010684
- Filer
- CIK 1257391
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 93 entries on the cover page, a total value of $3,416,467,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,416,467,000 with VALUE read as thousands by filing date, 13F file number 028-10715. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TR | 78462F953 | PUT | 4,450,000 | $1,117,974,000 | thousands by filing date | put |
| STATE STR SPDR S&P 500 ETF T | 78462F903 | CALL | 1,950,000 | $489,899,000 | thousands by filing date | call |
| ALTABA INC | 021346101 | COM | 5,637,847 | $373,451,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 5,333,567 | $110,938,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 69,000,000 | $84,741,000 | thousands by filing date | principal |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 2,615,941 | $78,400,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 2,320,588 | $76,556,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 33,111,000 | $60,593,000 | thousands by filing date | principal |
| SINA CORP | G81477104 | ORD | 501,702 | $57,520,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 661,140 | $51,047,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 5,639,667 | $48,896,000 | thousands by filing date | |
| POWERSHARES QQQ NASDAQ 100 | 73935A954 | COM | 300,000 | $43,635,000 | thousands by filing date | put |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 38,000,000 | $42,798,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAC7 | BOND | 30,900,000 | $40,460,000 | thousands by filing date | principal |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 28,593,000 | $37,099,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 25,000,000 | $34,516,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 31,000,000 | $34,042,000 | thousands by filing date | principal |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 300,000 | $33,927,000 | thousands by filing date | |
| RH | 74967X953 | COM | 447,500 | $31,468,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 4,201,705 | $25,084,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 240,420 | $24,631,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 1,264,508 | $24,405,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 22,309,000 | $24,177,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F906 | CALL | 1,000,000 | $22,960,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A958 | PUT | 500,000 | $19,910,000 | thousands by filing date | put |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 17,000,000 | $19,444,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V950 | PUT | 480,000 | $19,382,000 | thousands by filing date | put |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 15,448,000 | $17,900,000 | thousands by filing date | principal |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 17,810,000 | $17,743,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 10,125,000 | $17,668,000 | thousands by filing date | principal |
| RITHM CAPITAL CORP | 64828T901 | COM NEW | 1,000,000 | $16,730,000 | thousands by filing date | call |
| NOVAVAX INC | 670002AB0 | NOTE 3.750% 2/0 | 35,549,000 | $16,553,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 14,300,000 | $16,329,000 | thousands by filing date | principal |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 150,678 | $15,884,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 14,000,000 | $13,904,000 | thousands by filing date | principal |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 828,668 | $13,864,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 951,262 | $11,234,000 | thousands by filing date | |
| AT&T INC | 00206R952 | PUT | 270,000 | $10,576,000 | thousands by filing date | put |
| TESLA INC | 88160R951 | PUT | 30,000 | $10,233,000 | thousands by filing date | put |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 460,909 | $9,886,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 742,706 | $9,781,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 12,779,000 | $9,073,000 | thousands by filing date | principal |
| NETFLIX INC. | 64110L956 | PUT | 50,000 | $9,068,000 | thousands by filing date | put |
| HARMONIC INC | 413160AB8 | NOTE 4.000%12/0 | 9,950,000 | $8,843,000 | thousands by filing date | principal |
| FORD MTR CO | 345370950 | PUT | 720,000 | $8,618,000 | thousands by filing date | put |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 8,500,000 | $8,505,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 7,500,000 | $8,391,000 | thousands by filing date | principal |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 8,245,000 | $8,276,000 | thousands by filing date | principal |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 9,653,923 | $7,723,000 | thousands by filing date | principal |
| MTGE INVT CORP COM | 55378A105 | REIT | 398,072 | $7,723,000 | thousands by filing date | |
| ARBOR RLTY TR INC | 038923AA6 | NOTE 6.50010/0 | 7,000,000 | $7,477,000 | thousands by filing date | principal |
| GOGO INC | 38046CAB5 | NOTE 3.750 3/0 | 7,525,000 | $6,881,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503403 | COM NEW | 3,700 | $6,774,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 2,609,039 | $6,549,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 359,582 | $5,908,000 | thousands by filing date | |
| COWEN INC | 223622AB7 | NOTE 3.000 3/1 | 5,538,000 | $5,811,000 | thousands by filing date | principal |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 5,000,000 | $5,800,000 | thousands by filing date | principal |
| UNISYS CORP | 909214BS6 | NOTE 5.500% 3/0 | 5,000,000 | $5,784,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 6,000,000 | $5,685,000 | thousands by filing date | principal |
| SAFEGUARD SCIENTIFICS INC | 786449AK4 | BOND | 5,416,000 | $5,565,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 5,000,000 | $5,066,000 | thousands by filing date | principal |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 218,665 | $4,787,000 | thousands by filing date | |
| GNC HOLDINGS INC-CL A | 36191G957 | Cmn | 500,000 | $4,420,000 | thousands by filing date | put |
| COMSTOCK RES INC | 205768AN4 | NOTE 9.500% 6/1 | 5,156,479 | $4,074,000 | thousands by filing date | principal |
| DYNEGY INC NEW DEL | 26817R108 | COM | 410,267 | $4,017,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 503,782 | $3,869,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 138,958 | $3,810,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 448,100 | $3,204,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 7,181,707 | $2,585,000 | thousands by filing date | |
| TRANSOCEAN LTD | H8817H950 | REGISTERED SHS | 200,000 | $2,152,000 | thousands by filing date | put |
| RAS 4 10/1/33 | 749227AB0 | Bond 30/360P2 U | 2,000,000 | $1,840,000 | thousands by filing date | principal |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 92,969 | $1,605,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 133,552 | $1,369,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 66,414 | $952,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 7,400 | $870,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 43,833 | $751,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 33,600 | $630,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 154,288 | $588,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 49,906 | $527,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 28,523 | $501,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 2,000,000 | $500,000 | thousands by filing date | principal |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 25,036 | $485,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 18,053 | $404,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 47,699 | $385,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 15,446 | $337,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 27,019 | $298,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 8,100 | $269,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 42,800 | $262,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 19,600 | $261,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 8,789 | $260,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 5,684 | $259,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 6,840 | $251,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 20,559 | $187,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-010684 | this filing | 2017-11-14 | acceptance time not in the bulk data set |