13F-HR filed by WHITEBOX ADVISORS LLC
WHITEBOX ADVISORS LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 97 holding rows worth $2,753,975,000.
- Accession
- 0000950123-19-011085
- Filer
- CIK 1257391
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 97 entries on the cover page, a total value of $2,753,975,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,753,975,000 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 | 3,450,000 | $1,023,858,000 | thousands by filing date | put |
| ALTABA INC | 021346101 | COM | 7,570,815 | $147,479,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 2,360,281 | $122,404,000 | thousands by filing date | |
| INTELSAT S A | 45790VAB6 | NOTE 4.500% 6/1 | 76,348,000 | $112,095,000 | thousands by filing date | principal |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 98,500,000 | $100,044,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 68,445,000 | $71,268,000 | thousands by filing date | principal |
| IAC INTERACTIVECORP | 44919P508 | COM | 273,121 | $59,532,000 | thousands by filing date | |
| ARBOR RLTY TR INC | 038923AF5 | NOTE 5.250% 7/0 | 49,300,000 | $57,931,000 | thousands by filing date | principal |
| ALLERGAN PLC | G0177J108 | SHS | 338,987 | $57,048,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 552,490 | $54,862,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V907 | CALL | 380,100 | $52,784,000 | thousands by filing date | call |
| CONTURA ENERGY INC | 21241B100 | COM | 1,784,020 | $49,881,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 49,500,000 | $48,293,000 | thousands by filing date | principal |
| MARATHON PETE CORP COM | 56585A102 | Stock | 780,800 | $47,434,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 2,187,827 | $43,844,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 21,125,000 | $40,080,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 37,906,000 | $38,664,000 | thousands by filing date | principal |
| ENCANA CORP | 292505104 | COM | 7,605,040 | $34,983,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 31,393,000 | $31,839,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 28,655,000 | $29,959,000 | thousands by filing date | principal |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 35,050,000 | $28,829,000 | thousands by filing date | principal |
| BUNGE LTD | G16962105 | COM | 481,311 | $27,252,000 | thousands by filing date | |
| DBX ETF TR | 233051959 | PUT | 1,000,000 | $27,090,000 | thousands by filing date | put |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 198,256 | $25,274,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 259,426 | $25,245,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 154,808 | $21,134,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 20,000,000 | $19,940,000 | thousands by filing date | principal |
| ENCORE CAP EUROPE FIN LTD | 29260UAA5 | BOND | 19,250,000 | $19,808,000 | thousands by filing date | principal |
| QUDIAN INC | G7314VAA8 | DEBT 1.000% 7/0 | 21,000,000 | $19,756,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 18,250,000 | $18,454,000 | thousands by filing date | principal |
| NOVAVAX INC | 670002AB0 | NOTE 3.750% 2/0 | 44,095,000 | $18,410,000 | thousands by filing date | principal |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 1,166,718 | $18,294,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 7,115,008 | $17,930,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 4,477,111 | $17,506,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 16,000,000 | $14,487,000 | thousands by filing date | principal |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 13,348,000 | $13,650,000 | thousands by filing date | principal |
| TESLA INC | 88160R951 | PUT | 50,000 | $12,044,000 | thousands by filing date | put |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 1,035,798 | $11,114,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 10,620,000 | $10,782,000 | thousands by filing date | principal |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 1,115,050 | $9,679,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 409,351 | $9,358,000 | thousands by filing date | |
| DENBURY RES INC DEL | U2481AAK4 | DEBT 6.375%12/3 | 15,994,000 | $9,306,000 | thousands by filing date | principal |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 12,400,000 | $9,180,000 | thousands by filing date | principal |
| NIO INC | G6525FAA0 | DEBT 4.500% 2/0 | 30,500,000 | $8,518,000 | thousands by filing date | principal |
| PRECIGEN INC | 46122TAA0 | NOTE 3.500% 7/0 | 11,000,000 | $6,710,000 | thousands by filing date | principal |
| PARKER DRILLING CO | 701081507 | Stock | 339,530 | $6,424,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 255,916 | $5,661,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 649,920 | $5,342,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 260,172 | $5,295,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 6,750,000 | $5,281,000 | thousands by filing date | principal |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 252,866 | $5,113,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 177,553 | $5,018,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 389,071 | $4,871,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 1,274,977 | $4,807,000 | thousands by filing date | |
| TILRAY INC | U8961EAA4 | DEBT 5.00010/0 | 7,400,000 | $4,796,000 | thousands by filing date | principal |
| INFINERA CORP | 45667GAC7 | BOND | 5,053,000 | $4,384,000 | thousands by filing date | principal |
| MESA AIR GROUP INC | 590479135 | COM NEW | 624,158 | $4,210,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 275,846 | $4,110,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 6,956,279 | $3,965,000 | thousands by filing date | |
| APHRIA INC | 03765K954 | COM | 600,000 | $3,114,000 | thousands by filing date | put |
| INVACARE CORP | 461203AF8 | NOTE 5.000% 2/1 | 3,325,000 | $3,107,000 | thousands by filing date | principal |
| RH | 74967X103 | COM | 15,137 | $2,586,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 126,130 | $2,424,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 2,500,000 | $2,040,000 | thousands by filing date | principal |
| Verastem Inc 5.00 per cent 11-2048 | 92337CAA2 | NOTE 5.000%11/0 | 4,500,000 | $2,000,000 | thousands by filing date | principal |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 129,888 | $1,948,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 153,019 | $1,945,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 390,323 | $1,784,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 81,700 | $1,736,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 109,956 | $1,724,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337959 | COM UNIT LTD | 950,000 | $1,653,000 | thousands by filing date | put |
| MBIA INC | 55262C100 | COMMON STOCK | 166,260 | $1,535,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 50,000 | $1,355,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 52,645 | $1,268,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 317,393 | $1,143,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 62,900 | $725,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 197,367 | $659,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 5,138 | $640,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 43,390 | $625,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 11,983 | $620,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 127,371 | $606,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037953 | PUT | 250,000 | $505,000 | thousands by filing date | put |
| GAP INC COM | 364760108 | Stock | 28,952 | $503,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 35,072 | $498,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 89,530 | $454,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 10,755 | $450,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 101,906 | $448,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 25,193 | $391,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 12,018 | $310,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 160,480 | $297,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 14,646 | $276,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,484 | $250,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 8,820 | $238,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 1,977 | $234,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 3,040 | $224,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 16,081 | $210,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 15,500 | $141,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-011085 | this filing | 2019-11-14 | acceptance time not in the bulk data set |