13F-HR filed by ZAZOVE ASSOCIATES LLC
ZAZOVE ASSOCIATES LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-04, with 110 holding rows worth $2,165,180,000 by the sum of the rows.
- Accession
- 0001009012-16-000028
- Filer
- CIK 1009012
- Filed
- 2016-11-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 109 entries on the cover page, a total value of $2,165,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,165,180,000 with VALUE read as thousands by filing date, 13F file number 028-05338. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $2,165,000, about 1/1,000 of the sum of the rows, $2,165,180,000. 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 |
|---|---|---|---|---|---|---|
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 101,404,000 | $131,312,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 29,676,000 | $114,365,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 700,000 | $108,738,000 | thousands by filing date | principal |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 1,000,000 | $94,502,000 | thousands by filing date | principal |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 40,705,000 | $84,230,000 | thousands by filing date | principal |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 15,037,000 | $83,835,000 | thousands by filing date | principal |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 13,210,000 | $80,686,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 600,000 | $80,059,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 18,830,000 | $74,784,000 | thousands by filing date | principal |
| Janus Capital | 47102XAH8 | CONV | 100,978,000 | $63,892,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 2,400,000 | $63,281,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,339,000 | $61,088,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 21,080,000 | $56,703,000 | thousands by filing date | principal |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 30,972,000 | $50,301,000 | thousands by filing date | principal |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 94,943,000 | $46,956,000 | thousands by filing date | principal |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 27,405,000 | $43,799,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 10,815,000 | $40,412,000 | thousands by filing date | principal |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 200,000 | $39,561,000 | thousands by filing date | principal |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 4,980,000 | $39,152,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 12,785,000 | $38,980,000 | thousands by filing date | principal |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 17,715,000 | $38,622,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 22,240,000 | $38,463,000 | thousands by filing date | principal |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 1,380,000 | $37,267,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 5,350,000 | $36,111,000 | thousands by filing date | principal |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 24,725,000 | $34,397,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 1,595,000 | $32,390,000 | thousands by filing date | principal |
| COWEN INC | 223622AB7 | NOTE 3.000 3/1 | 4,875,000 | $32,013,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 24,720,000 | $30,189,000 | thousands by filing date | principal |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 6,430,000 | $29,749,000 | thousands by filing date | principal |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 2,590,000 | $29,372,000 | thousands by filing date | principal |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 23,560,000 | $28,522,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 2,740,000 | $27,835,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 17,167,000 | $24,115,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 20,270,000 | $22,083,000 | thousands by filing date | principal |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 1,500,000 | $22,070,000 | thousands by filing date | principal |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 49,038,000 | $21,260,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 5,580,000 | $20,894,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 2,000,000 | $19,696,000 | thousands by filing date | principal |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 41,755,000 | $16,271,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 214,018 | $15,809,000 | thousands by filing date | |
| ENERNOC INC | 292764AB3 | DBCV 2.250% 8/1 | 28,494,000 | $14,710,000 | thousands by filing date | principal |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 34,362,000 | $12,545,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 200,000 | $11,424,000 | thousands by filing date | principal |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 1,940,000 | $11,168,000 | thousands by filing date | principal |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 5,195,000 | $10,636,000 | thousands by filing date | principal |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 50,066,000 | $10,036,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 2,145,000 | $9,598,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 1,000,000 | $9,252,000 | thousands by filing date | principal |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 25,174,000 | $8,930,000 | thousands by filing date | principal |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 6,045,000 | $8,743,000 | thousands by filing date | principal |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 12,256,000 | $8,143,000 | thousands by filing date | principal |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 18,970,000 | $6,894,000 | thousands by filing date | principal |
| NXP SEMICONDUCTORS N V | 62952QAB6 | NOTE 1.000%12/0 | 8,340,000 | $6,492,000 | thousands by filing date | principal |
| TERRAVIA HLDGS INC | 83415TAB7 | NOTE 6.000% 2/0 | 15,510,000 | $5,755,000 | thousands by filing date | principal |
| AMYRIS INC | 03236MAC5 | NOTE 6.500 5/1 | 1,995,000 | $5,525,000 | thousands by filing date | principal |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 61,456,000 | $5,169,000 | thousands by filing date | principal |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 1,310,000 | $4,549,000 | thousands by filing date | principal |
| Global Eagle Entertainment | 37951DAB8 | CONV BOND | 6,020,000 | $3,946,000 | thousands by filing date | principal |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 127,000 | $3,458,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 1,977,509 | $3,169,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 73,503,000 | $2,943,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 1,250,000 | $2,605,000 | thousands by filing date | principal |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,500,000 | $2,576,000 | thousands by filing date | principal |
| SAFEGUARD SCIENTIFICS INC | 786449AK4 | BOND | 7,870,000 | $2,507,000 | thousands by filing date | principal |
| Emmis Communications Corp | 291525400 | COM | 12,576,332 | $2,477,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 5,715,000 | $2,192,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 370,000 | $2,147,000 | thousands by filing date | principal |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 11,747,000 | $2,086,000 | thousands by filing date | principal |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 36,277,000 | $2,009,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC | 231082108 | CL A | 37,500 | $1,794,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 7,069 | $1,599,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 23,500 | $1,587,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 33,638,000 | $1,539,000 | thousands by filing date | principal |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 11,770,000 | $1,463,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 8,590,000 | $1,456,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,375,000 | $1,429,000 | thousands by filing date | principal |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 25,448,000 | $1,185,000 | thousands by filing date | principal |
| QTM 4.5 11/17 | 747906AJ4 | Bond 30/360P2 U | 19,530,000 | $1,040,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 1,400,000 | $1,000,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 50,657,000 | $969,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 33,427,000 | $948,000 | thousands by filing date | principal |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 818,636 | $940,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 13,144 | $850,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 1,805,000 | $794,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 2,140,000 | $708,000 | thousands by filing date | principal |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 35,909,000 | $684,000 | thousands by filing date | principal |
| PERNIX THERAPEUTICS HLDGS IN | 71426VAK4 | DBCV 4.250 4/0 | 87,644,000 | $650,000 | thousands by filing date | principal |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 2,650,000 | $611,000 | thousands by filing date | principal |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 2,362,157 | $603,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 1,132,476 | $578,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 171,671 | $576,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 13,144 | $576,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 5,450,000 | $566,000 | thousands by filing date | principal |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 6,275,000 | $564,000 | thousands by filing date | principal |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 125,841 | $562,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 26,758 | $555,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 5,436,616 | $555,000 | thousands by filing date | |
| IDTI 0.875 22 | 458118AB2 | Bond 30/360P2 U | 47,271,000 | $487,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 56,466,000 | $420,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 112,096 | $354,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 46,923,000 | $326,000 | thousands by filing date | principal |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 15,000,000 | $295,000 | thousands by filing date | principal |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 238,568 | $259,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 48,236 | $255,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 152,006 | $246,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 29,447 | $225,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 15,070,000 | $221,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,467,085 | $189,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 11,230 | $43,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 46,000 | $31,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001009012-16-000028 | this filing | 2016-11-04 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001009012-16-000029 | base | 2016-11-04 | acceptance time not in the bulk data set |