13F-HR filed by ZAZOVE ASSOCIATES LLC
ZAZOVE ASSOCIATES LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-10-21, with 128 holding rows worth $2,975,140,000 by the sum of the rows.
- Accession
- 0001009012-13-000018
- Filer
- CIK 1009012
- Filed
- 2013-10-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 128 entries on the cover page, a total value of $2,975,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,975,140,000 with VALUE read as thousands by filing date, 13F file number 028-05338. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $2,975,000, about 1/1,000 of the sum of the rows, $2,975,140,000. The filer likely wrote its cover total in thousands and its rows in dollars. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 149,555,000 | $178,225,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 1,190,675 | $163,658,000 | thousands by filing date | |
| E M C CORP MASS | 268648AM4 | NOTE 1.750%12/0 | 94,268,000 | $150,744,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 116,807,000 | $121,479,000 | thousands by filing date | principal |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 97,903,000 | $121,033,000 | thousands by filing date | principal |
| ALCOA INC | 013817AT8 | NOTE 5.250% 3/1 | 86,875,000 | $111,906,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 67,930,000 | $110,811,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORP | 74348TAC6 | NOTE 6.250% | 92,320,000 | $99,648,000 | thousands by filing date | principal |
| INTL GAME TECH 3.250 | 459902AQ5 | NOTE 3.250% 5/0 | 88,940,000 | $98,168,000 | thousands by filing date | principal |
| GOLDCORP INC NEW | 380956AB8 | NOTE 2.000% 8/0 | 93,081,000 | $94,137,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 89,081,000 | $92,537,000 | thousands by filing date | principal |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 81,130,000 | $79,710,000 | thousands by filing date | principal |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 71,308,000 | $78,751,000 | thousands by filing date | principal |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 69,110,000 | $76,928,000 | thousands by filing date | principal |
| ENPRO INDS INC | 29355XAB3 | DBCV 3.938%10/1 | 39,666,000 | $73,162,000 | thousands by filing date | principal |
| PHH CORP | 693320AN3 | CORPORATE OBLIG | 57,421,000 | $62,768,000 | thousands by filing date | principal |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 38,298,000 | $60,800,000 | thousands by filing date | principal |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 46,180,000 | $56,515,000 | thousands by filing date | principal |
| ANNALY CAP MGMT INC | 035710AA0 | NOTE 4.000% 2/1 | 50,214,000 | $55,455,000 | thousands by filing date | principal |
| NEWMONT MINING CORP | 651639AH9 | NOTE | 48,181,000 | $48,753,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 45,085,000 | $47,452,000 | thousands by filing date | principal |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 42,835,000 | $46,716,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 8,561,704 | $42,552,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 40,625,000 | $41,767,000 | thousands by filing date | principal |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 27,086,000 | $40,351,000 | thousands by filing date | principal |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 44,843,000 | $37,892,000 | thousands by filing date | principal |
| TYSON FOODS INC | 902494AP8 | NOTE | 20,788,000 | $35,690,000 | thousands by filing date | principal |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 683,549 | $33,366,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 25,745,000 | $29,995,000 | thousands by filing date | principal |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 30,700,000 | $28,999,000 | thousands by filing date | principal |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 28,918,000 | $28,159,000 | thousands by filing date | principal |
| OMNICOM GROUP INC | 681919AV8 | NOTE 7/3 | 22,435,000 | $27,288,000 | thousands by filing date | principal |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 20,670,000 | $26,666,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 25,936,000 | $24,979,000 | thousands by filing date | principal |
| RITE AID CORP | 767754BU7 | CNV | 12,659,000 | $24,938,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 23,736,000 | $23,242,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 15,885,000 | $22,407,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 14,070,000 | $20,577,000 | thousands by filing date | principal |
| Janus Capital | 47102XAH8 | CONV | 19,067,000 | $19,997,000 | thousands by filing date | principal |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 14,735,000 | $19,638,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 16,055 | $18,263,000 | thousands by filing date | |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 14,195,000 | $18,125,000 | thousands by filing date | principal |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 18,200,000 | $17,301,000 | thousands by filing date | principal |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 21,416,000 | $17,173,000 | thousands by filing date | principal |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 893,596 | $16,934,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879AD3 | NOTE 5.000% 3/1 | 14,166,000 | $16,503,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 14,530,000 | $15,293,000 | thousands by filing date | principal |
| ARCHER DANIELS MIDLAND CO | 039483AW2 | NOTE 0.875% 2/1 | 10,700,000 | $10,891,000 | thousands by filing date | principal |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 14,880,000 | $10,788,000 | thousands by filing date | principal |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 10,419,000 | $10,771,000 | thousands by filing date | principal |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 8,940,000 | $10,180,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V134 | WAR | 2,480,958 | $9,924,000 | thousands by filing date | |
| RAYONIER TRS HLDGS INC | 75508AAC0 | NOTE 4.500% 8/1 | 5,729,000 | $9,700,000 | thousands by filing date | principal |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 322,434 | $9,380,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748WAB4 | NOTE 2.375%10/1 | 9,414,000 | $9,220,000 | thousands by filing date | principal |
| MOLYCORP INC DEL | 608753AH2 | BOND | 8,900,000 | $9,212,000 | thousands by filing date | principal |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 7,500,000 | $7,809,000 | thousands by filing date | principal |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 6,156,000 | $7,603,000 | thousands by filing date | principal |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 491,510 | $7,520,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 5,870,000 | $7,382,000 | thousands by filing date | principal |
| THOMPSON CREEK METALS CO INC | 884768300 | UNIT 99/99/9999 | 385,943 | $7,236,000 | thousands by filing date | |
| TOWER GROUP INTL LTD | 891777AC8 | NOTE | 8,500,000 | $7,225,000 | thousands by filing date | principal |
| DOMINION RESOURCES INC/VA | 25746UAT6 | CNV | 3,836,000 | $7,134,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 6,750,000 | $6,895,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 4,605,000 | $5,992,000 | thousands by filing date | principal |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 9,620,000 | $5,892,000 | thousands by filing date | principal |
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 2,000,000 | $5,541,000 | thousands by filing date | principal |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 317,463 | $5,321,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 42,655 | $5,316,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,104,000 | $4,720,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 2,940,000 | $4,607,000 | thousands by filing date | principal |
| EQUINIX INC | 29444UAH9 | CNV | 2,000,000 | $4,514,000 | thousands by filing date | principal |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 3,720,000 | $4,232,000 | thousands by filing date | principal |
| LEUCADIA NATIONAL CORP | 527288AX2 | NOTE 3.750% | 3,035,000 | $3,957,000 | thousands by filing date | principal |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 3,770,000 | $3,911,000 | thousands by filing date | principal |
| SAFEGUARD SCIENTIFICS INC | 786449AJ7 | BOND | 3,500,000 | $3,868,000 | thousands by filing date | principal |
| CMS ENERGY CORP | 125896BD1 | CNV | 2,000,000 | $3,844,000 | thousands by filing date | principal |
| CHEMED CORP NEW 1.875 | 16359RAC7 | NOTE | 3,687,000 | $3,841,000 | thousands by filing date | principal |
| GENCORP INC | 368682AN0 | SDCV | 2,000,000 | $3,615,000 | thousands by filing date | principal |
| UNITED THERAPEUTICS CORP DEL | 91307CAF9 | NOTE 1.000% 9/1 | 2,000,000 | $3,403,000 | thousands by filing date | principal |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 2,000,000 | $3,389,000 | thousands by filing date | principal |
| ARRIS GROUP INC 2.000 | 04269QAC4 | NOTE | 3,037,000 | $3,272,000 | thousands by filing date | principal |
| LEVEL 3 COMMUNICATIONS INC | 52729NBR0 | NOTE 6.500%10/0 | 2,155,000 | $3,246,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AC6 | NOTE 3.000%11/2 | 2,000,000 | $3,128,000 | thousands by filing date | principal |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 2,000,000 | $3,103,000 | thousands by filing date | principal |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,142,705 | $3,074,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 3,000,000 | $3,068,000 | thousands by filing date | principal |
| TIBCO SOFTWARE INC | 88632QAB9 | NOTE | 2,975,000 | $3,035,000 | thousands by filing date | principal |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 2,500,000 | $2,831,000 | thousands by filing date | principal |
| OMNICARE INC | 681904AP3 | NOTE 3.750% 4/0 | 2,000,000 | $2,825,000 | thousands by filing date | principal |
| CADENCE DESIGN SYSTEM INC | 127387AJ7 | NOTE | 1,500,000 | $2,732,000 | thousands by filing date | principal |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 2,500,000 | $2,670,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAC1 | NOTE 2.000% 8/1 | 2,000,000 | $2,456,000 | thousands by filing date | principal |
| ENDO HEALTH SOLUTIONS INC | 29264FAB2 | BOND | 1,500,000 | $2,382,000 | thousands by filing date | principal |
| GREEN PLAINS RENEWABLE ENERG | 393222AB0 | BOND | 1,715,000 | $2,236,000 | thousands by filing date | principal |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 2,092,000 | $2,201,000 | thousands by filing date | principal |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 2,267,000 | $2,086,000 | thousands by filing date | principal |
| WELLS FARGO CO. | 94986RCZ2 | MTNF 0.125 3/0 | 1,760,000 | $2,086,000 | thousands by filing date | principal |
| US STEEL CORP | 912909AE8 | NOTE | 2,000,000 | $2,049,000 | thousands by filing date | principal |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 761,460 | $2,048,000 | thousands by filing date | |
| HEADWATERS INC | 42210PAD4 | CORPORATE OBLIG | 1,815,000 | $1,813,000 | thousands by filing date | principal |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 1,500,000 | $1,766,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W379 | UL VIXSTFUT ETF | 50,000 | $1,717,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 68,300 | $1,566,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 73,884 | $1,374,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 31,987 | $1,208,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 1,000,000 | $1,196,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 873,140 | $1,170,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586WAA4 | NOTE 7.00%12/1 | 1,320,000 | $1,007,000 | thousands by filing date | principal |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 865,000 | $936,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 830,000 | $894,000 | thousands by filing date | principal |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 45,235 | $856,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 1,400,000 | $840,000 | thousands by filing date | principal |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 191,612 | $755,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 695 | $751,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 660,000 | $702,000 | thousands by filing date | principal |
| JAMES RIVER COAL CO | 470355AH1 | NOTE 3.125% 3/1 | 3,055,000 | $672,000 | thousands by filing date | principal |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 650,000 | $663,000 | thousands by filing date | principal |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 500,000 | $516,000 | thousands by filing date | principal |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 102,910 | $392,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 32,071 | $384,000 | thousands by filing date | |
| AIRTRAN HLDGS INC | 00949PAD0 | NOTE 5.250%11/0 | 215,000 | $321,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC | 231082108 | CL A | 53,742 | $284,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 46,190 | $227,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 150,000 | $157,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 3,241 | $86,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1,076 | $39,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 2,305 | $36,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001009012-13-000018 | this filing | 2013-10-21 | acceptance time not in the bulk data set |