13F-HR filed by WHITEBOX ADVISORS LLC
WHITEBOX ADVISORS LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 95 holding rows worth $2,412,511,000.
- Accession
- 0000950123-20-011673
- Filer
- CIK 1257391
- Filed
- 2020-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 95 entries on the cover page, a total value of $2,412,511,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,412,511,000 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 |
|---|---|---|---|---|---|---|
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 86,455,000 | $597,619,000 | thousands by filing date | principal |
| SPDR S&P 500 ETF TR | 78462F953 | PUT | 400,000 | $133,956,000 | thousands by filing date | put |
| TESLA INC | 88160R951 | PUT | 250,000 | $107,253,000 | thousands by filing date | put |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 12,099,499 | $101,636,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 47,549,000 | $98,548,000 | thousands by filing date | principal |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 45,684,000 | $98,472,000 | thousands by filing date | principal |
| SEA LTD | G7948TAE9 | DEBT 2.375%12/0 | 41,600,000 | $77,769,000 | thousands by filing date | principal |
| NOVAVAX INC | 670002AB0 | NOTE 3.750% 2/0 | 64,034,000 | $76,615,000 | thousands by filing date | principal |
| NIO INC | G6525FAA0 | DEBT 4.500% 2/0 | 31,000,000 | $73,800,000 | thousands by filing date | principal |
| MARATHON PETE CORP COM | 56585A102 | Stock | 2,391,876 | $70,178,000 | thousands by filing date | |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 27,297,000 | $68,959,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAG6 | NOTE 1.375% 9/0 | 24,250,000 | $57,940,000 | thousands by filing date | principal |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 3,126,410 | $54,243,000 | thousands by filing date | |
| SEA LTD | G7948TAC3 | DEBT 1.000%12/0 | 17,000,000 | $52,402,000 | thousands by filing date | principal |
| AMERICAN AIRLINES GROUP INC | 02376RAF9 | NOTE 6.500% 7/0 | 44,000,000 | $40,563,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F739 | CONV | 800,000 | $38,200,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577AA0 | NOTE 4.750% 5/1 | 25,746,000 | $37,409,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 37,300,000 | $34,241,000 | thousands by filing date | principal |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 18,500,000 | $33,705,000 | thousands by filing date | principal |
| GOGO INC | 38046CAD1 | NOTE 6.000% 5/1 | 17,725,000 | $28,660,000 | thousands by filing date | principal |
| ENCORE CAP EUROPE FIN LTD | 29260UAA5 | BOND | 25,850,000 | $28,171,000 | thousands by filing date | principal |
| IQIYI INC | 46267XAD0 | NOTE 2.000% 4/0 | 27,500,000 | $26,091,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AM4 | NOTE 3.250%10/0 | 21,550,000 | $24,523,000 | thousands by filing date | principal |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 548,592 | $23,403,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 3,490,000 | $20,766,000 | thousands by filing date | principal |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 8,000,000 | $20,556,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AC8 | NOTE 0.500% 9/1 | 13,903,000 | $19,324,000 | thousands by filing date | principal |
| BILIBILI INC | G10970AA2 | DEBT 1.250% 6/1 | 16,000,000 | $19,243,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 16,250,000 | $17,538,000 | thousands by filing date | principal |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 8,978,000 | $16,831,000 | thousands by filing date | principal |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 8,250,000 | $16,578,000 | thousands by filing date | principal |
| UNITED STATES STEEL CORP | 912909958 | COM | 2,000,000 | $14,680,000 | thousands by filing date | put |
| MARATHON PETE CORP | 56585A902 | CALL | 500,000 | $14,670,000 | thousands by filing date | call |
| IAC INTERACTIVECORP NEW | 44891N109 | COM | 118,215 | $14,160,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 9,500,000 | $13,711,000 | thousands by filing date | principal |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 2,000,000 | $13,079,000 | thousands by filing date | principal |
| VEONEER INC | 92336XAA7 | NOTE 4.000% 6/0 | 13,350,000 | $13,058,000 | thousands by filing date | principal |
| AMERICAN AIRLINES GROUP INC | 02376R952 | PUT | 1,000,000 | $12,290,000 | thousands by filing date | put |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 12,518,000 | $11,239,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 13,900,000 | $11,175,000 | thousands by filing date | principal |
| INFINERA CORP | 45667GAC7 | BOND | 10,000,000 | $9,228,000 | thousands by filing date | principal |
| NABORS INDS INC | 62957HAB1 | BOND | 33,849,000 | $9,055,000 | thousands by filing date | principal |
| OMEROS CORP | 682143AG7 | NOTE 5.250% 2/1 | 10,500,000 | $8,897,000 | thousands by filing date | principal |
| CLOVIS ONCOLOGY INC | 189464AE0 | NOTE 4.500% 8/0 | 9,300,000 | $8,861,000 | thousands by filing date | principal |
| PG&E CORP | 69331C140 | CONV | 90,000 | $8,828,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 5,200,000 | $7,912,000 | thousands by filing date | principal |
| DAUCH CORP | 024061103 | COM | 1,340,528 | $7,735,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 7,756,000 | $7,235,000 | thousands by filing date | principal |
| BILIBILI INC | 090040AB2 | NOTE 1.375% 4/0 | 4,000,000 | $7,058,000 | thousands by filing date | principal |
| PRECIGEN INC | 46122TAA0 | NOTE 3.500% 7/0 | 13,600,000 | $6,528,000 | thousands by filing date | principal |
| CONTURA ENERGY INC | 21241B100 | COM | 832,650 | $6,095,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767EAC6 | NOTE 5.000% 4/0 | 4,898,060 | $5,853,000 | thousands by filing date | principal |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 3,304,000 | $5,660,000 | thousands by filing date | principal |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 229,463 | $5,624,000 | thousands by filing date | |
| WHITING PETROLEUM CORP | 966387508 | COMMON STOCK | 312,738 | $5,407,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365AAD3 | NOTE 7.500%11/1 | 5,000,000 | $4,566,000 | thousands by filing date | principal |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 4,312,514 | $4,313,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 5,000,000 | $4,078,000 | thousands by filing date | principal |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 9,400,000 | $3,760,000 | thousands by filing date | principal |
| DONNELLEY R R & SONS CO | 257867200 | COM | 2,428,035 | $3,545,000 | thousands by filing date | |
| AMRYT PHARMA LTD - SPNR ADR | 03217L106 | COMMON EQUITY | 271,624 | $3,341,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 383,255 | $3,127,000 | thousands by filing date | |
| O-I GLASS INC | 67098H104 | COM | 287,018 | $3,040,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 2,000,000 | $2,933,000 | thousands by filing date | principal |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 216,356 | $2,856,000 | thousands by filing date | |
| INVACARE CORP | 461203AL5 | NOTE 5.000%11/1 | 3,325,000 | $2,849,000 | thousands by filing date | principal |
| GOL EQUITY FIN | L4441GAA8 | DEBT 3.750% 7/1 | 4,000,000 | $2,497,000 | thousands by filing date | principal |
| APACHE CORP | 037411105 | COM | 262,773 | $2,488,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 303,019 | $2,379,000 | thousands by filing date | |
| FORUM MERGER II CORP | 34986F111 | W EXP 09/30/202 | 254,000 | $2,253,000 | thousands by filing date | call |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 245,021 | $2,205,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 244,481 | $1,951,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 108,700 | $1,541,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 180,000 | $1,476,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P117 | *W EXP 05/29/202 | 913,017 | $1,433,000 | thousands by filing date | call |
| MACYS INC | 55616P954 | COM | 250,000 | $1,425,000 | thousands by filing date | put |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 65,861 | $1,176,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 137,356 | $1,054,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 110,500 | $1,045,000 | thousands by filing date | |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 1,000,000 | $1,033,000 | thousands by filing date | principal |
| HALLIBURTON CO COM | 406216101 | Stock | 74,182 | $894,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 19,258 | $813,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 32,514 | $707,000 | thousands by filing date | |
| Colonnade Acquisition Corp | G2283K128 | COLONNADE ACQUISITION CORP | 68,200 | $679,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 38,267 | $533,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 70,000 | $486,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 17,070 | $478,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 30,315 | $471,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 290,474 | $468,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 16,207 | $427,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X113 | *W EXP 05/09/202 | 80,000 | $351,000 | thousands by filing date | call |
| SPARTAN ENERGY ACQUISITION C | 846784122 | *W EXP 08/27/202 | 55,000 | $241,000 | thousands by filing date | call |
| UTZ BRANDS INC | 918090119 | W EXP 08/28/202 | 30,000 | $196,000 | thousands by filing date | call |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 17,458 | $142,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC WT EXP 122525 | G8708A108 | Stock | 60,000 | $31,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-011673 | this filing | 2020-11-13 | acceptance time not in the bulk data set |