13F-HR filed by ZAZOVE ASSOCIATES LLC
ZAZOVE ASSOCIATES LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-10, with 141 holding rows worth $2,576,899,000 by the sum of the rows.
- Accession
- 0001009012-14-000014
- Filer
- CIK 1009012
- Filed
- 2014-11-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 142 entries on the cover page, a total value of $2,576,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,576,899,000 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 $2,576,000, about 1/1,000 of the sum of the rows, $2,576,899,000. 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 | 131,046,000 | $192,186,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 1,302,124 | $171,473,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 123,382,000 | $158,700,000 | thousands by filing date | principal |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 87,958,000 | $147,374,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 87,426,000 | $144,913,000 | thousands by filing date | principal |
| RAYONIER TRS HLDGS INC | 75508AAC0 | NOTE 4.500% 8/1 | 89,799,000 | $121,004,000 | thousands by filing date | principal |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 89,485,000 | $91,666,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 52,935,000 | $78,413,000 | thousands by filing date | principal |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 52,742,000 | $71,893,000 | thousands by filing date | principal |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 53,003,000 | $64,923,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 60,833,000 | $63,228,000 | thousands by filing date | principal |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 36,010,000 | $61,624,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 42,424,000 | $53,905,000 | thousands by filing date | principal |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 43,725,000 | $50,803,000 | thousands by filing date | principal |
| ANNALY CAP MGMT INC | 035710AA0 | NOTE 4.000% 2/1 | 48,875,000 | $50,158,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 12,620,171 | $45,937,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 41,255,000 | $43,912,000 | thousands by filing date | principal |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 39,625,000 | $39,377,000 | thousands by filing date | principal |
| ENPRO INDS INC | 29355XAB3 | DBCV 3.938%10/1 | 21,261,000 | $39,223,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 36,440,000 | $37,533,000 | thousands by filing date | principal |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 33,870,000 | $35,608,000 | thousands by filing date | principal |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 35,000,000 | $35,000,000 | thousands by filing date | principal |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 26,520,000 | $34,443,000 | thousands by filing date | principal |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 27,860,000 | $34,337,000 | thousands by filing date | principal |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 673,754 | $33,351,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 28,590,000 | $33,093,000 | thousands by filing date | principal |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 27,957,000 | $30,054,000 | thousands by filing date | principal |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 20,850,000 | $28,043,000 | thousands by filing date | principal |
| Janus Capital | 47102XAH8 | CONV | 19,067,000 | $26,813,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 26,980,000 | $26,626,000 | thousands by filing date | principal |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 24,676,000 | $24,878,000 | thousands by filing date | principal |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 943,448 | $22,458,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYSTEMS GROUP INC | 01167PAE1 | CV SR SUB NT | 26,628,000 | $21,569,000 | thousands by filing date | principal |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 22,525,000 | $21,471,000 | thousands by filing date | principal |
| OMNICOM GROUP INC COM | 681919106 | Stock | 268,576 | $18,494,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 18,780,000 | $18,240,000 | thousands by filing date | principal |
| SQNM 5 10/1/17 | 817337AB4 | Bond 30/360P2 U | 18,940,000 | $18,073,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 14,549 | $17,495,000 | thousands by filing date | principal |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 16,597,000 | $16,452,000 | thousands by filing date | principal |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 16,530,000 | $14,712,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 13,825,000 | $14,706,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 13,800,000 | $14,231,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 972,920 | $14,069,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 7,900,000 | $13,692,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 13,180,000 | $12,811,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 11,035,000 | $12,249,000 | thousands by filing date | principal |
| ELY 3.75 08/19 | 131193AC8 | Bond 30/360P2 U | 10,551,000 | $11,830,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 11,780,000 | $11,437,000 | thousands by filing date | principal |
| TERRAVIA HLDGS INC | 83415TAB7 | NOTE 6.000% 2/0 | 8,620,000 | $9,978,000 | thousands by filing date | principal |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 26,106,000 | $9,268,000 | thousands by filing date | principal |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 8,315,000 | $8,648,000 | thousands by filing date | principal |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 9,437,000 | $8,151,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 7,430,000 | $8,001,000 | thousands by filing date | principal |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 7,419,000 | $7,846,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 7,850,000 | $7,633,000 | thousands by filing date | principal |
| AGCO CORP | 001084102 | COM | 166,823 | $7,584,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 53,527 | $7,022,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 443,270 | $6,596,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768300 | UNIT 99/99/9999 | 492,668 | $6,481,000 | thousands by filing date | principal |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 314,163 | $6,318,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AH2 | BOND | 17,235,000 | $6,032,000 | thousands by filing date | principal |
| DOMINION RESOURCES INC/VA | 25746UAT6 | CNV | 2,755,000 | $5,742,000 | thousands by filing date | principal |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 5,090,000 | $5,714,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 5,345,000 | $5,539,000 | thousands by filing date | principal |
| RITE AID CORP | 767754BU7 | CNV | 2,710,000 | $5,196,000 | thousands by filing date | principal |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 3,876,000 | $4,901,000 | thousands by filing date | principal |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 14,000 | $4,781,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 4,600,000 | $4,760,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC | 231082108 | CL A | 1,075,000 | $4,332,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 3,865,000 | $4,327,000 | thousands by filing date | principal |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,345,031 | $4,277,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 2,800,000 | $4,265,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 4,330,000 | $4,233,000 | thousands by filing date | principal |
| EASTMAN KODAK CO | 277461406 | COM NEW | 191,348 | $4,204,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 4,073,000 | $4,190,000 | thousands by filing date | principal |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 54,413,000 | $4,081,000 | thousands by filing date | principal |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 3,670,000 | $3,815,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 3,460,000 | $3,564,000 | thousands by filing date | principal |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 3,000,000 | $3,311,000 | thousands by filing date | principal |
| SAFEGUARD SCIENTIFICS INC | 786449AK4 | BOND | 2,650,000 | $3,266,000 | thousands by filing date | principal |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 201,785 | $2,942,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639AB4 | MTNF 6.500% 3/0 | 2,605,000 | $2,602,000 | thousands by filing date | principal |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 1,079,897 | $2,279,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 1,013,077 | $2,229,000 | thousands by filing date | principal |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 248,024 | $2,215,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 1,605,000 | $2,036,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V134 | WAR | 2,238,351 | $1,947,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 2,000,000 | $1,945,000 | thousands by filing date | principal |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 1,500,000 | $1,937,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 2,000,000 | $1,902,000 | thousands by filing date | principal |
| MORGANS HOTEL GROUP CO | 61748WAB4 | NOTE 2.375%10/1 | 1,840,000 | $1,838,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 1,740,000 | $1,838,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 1,620,000 | $1,618,000 | thousands by filing date | principal |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 1,583,000 | $1,563,000 | thousands by filing date | principal |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 60,000 | $1,373,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 862,490 | $1,268,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 1,580,000 | $1,209,000 | thousands by filing date | principal |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 2,415,000 | $1,171,000 | thousands by filing date | principal |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 1,695,000 | $1,161,000 | thousands by filing date | principal |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 1,084,000 | $1,118,000 | thousands by filing date | principal |
| Liberty Media Corp | 531229300 | COMMON STOCK | 20,000 | $940,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 252,910 | $883,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 595,000 | $781,000 | thousands by filing date | principal |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 186,921 | $714,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 650,000 | $657,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 555,000 | $562,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 860,000 | $544,000 | thousands by filing date | principal |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 435,000 | $483,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 10,000 | $472,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AF4 | NOTE 1.125% 9/0 | 425,000 | $460,000 | thousands by filing date | principal |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 350,000 | $448,000 | thousands by filing date | principal |
| OMNICARE | 681904AQ1 | NOTE3 | 360,000 | $397,000 | thousands by filing date | principal |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 34,542 | $393,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 330 | $378,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 380,000 | $364,000 | thousands by filing date | principal |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 32,071 | $362,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 280,000 | $305,000 | thousands by filing date | principal |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 225,000 | $285,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 190,000 | $257,000 | thousands by filing date | principal |
| DDR CORP | 251591AX1 | NOTE | 200,000 | $230,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 145,000 | $193,000 | thousands by filing date | principal |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 185,000 | $193,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 155,000 | $175,000 | thousands by filing date | principal |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 60,000 | $167,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 140,000 | $159,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 150,000 | $149,000 | thousands by filing date | principal |
| RAMBUS INC | 750917AE6 | CNV | 120,000 | $147,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 125,000 | $137,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 120,000 | $122,000 | thousands by filing date | principal |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 115,000 | $102,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 65,000 | $96,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 11,308 | $83,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 115,000 | $79,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 11,308 | $74,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 7,000 | $70,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 75,000 | $69,000 | thousands by filing date | principal |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 4,133 | $61,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 25,000 | $55,000 | thousands by filing date | principal |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,000 | $54,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 55,000 | $46,000 | thousands by filing date | principal |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 1,546 | $26,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001009012-14-000014 | this filing | 2014-11-10 | acceptance time not in the bulk data set |