13F-HR filed by ZAZOVE ASSOCIATES LLC
ZAZOVE ASSOCIATES LLC filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-07-22, with 151 holding rows worth $1,114,758,000 by the sum of the rows.
- Accession
- 0001009012-21-000008
- Filer
- CIK 1009012
- Filed
- 2021-07-22
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A holdings report, 151 entries on the cover page, a total value of $1,115,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,114,758,000 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 $1,115,000, about 1/1,000 of the sum of the rows, $1,114,758,000. 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 |
|---|---|---|---|---|---|---|
| KAMAN CORP | 483548AF0 | BOND | 67,134,000 | $71,283,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 60,565,000 | $70,292,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 62,223,000 | $67,885,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 46,893,000 | $63,048,000 | thousands by filing date | principal |
| PIONEER NAT RES CO | 723787AP2 | NOTE 0.250% 5/1 | 37,705,000 | $60,290,000 | thousands by filing date | principal |
| SMART GLOBAL HLDGS INC | 83205YAB0 | BOND | 27,580,000 | $38,044,000 | thousands by filing date | principal |
| INTERDIGITAL INC | 45867GAB7 | BOND | 32,526,000 | $36,146,000 | thousands by filing date | principal |
| JAZZ INVESTMENTS I LTD | 472145AF8 | NOTE 2.000% 6/1 | 25,830,000 | $34,517,000 | thousands by filing date | principal |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 24,540,000 | $27,920,000 | thousands by filing date | principal |
| LUMENTUM HLDGS INC | 55024UAD1 | NOTE 0.500%12/1 | 23,807,000 | $25,801,000 | thousands by filing date | principal |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 22,600,000 | $24,196,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 23,571,000 | $24,057,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AF1 | NOTE 1.125% 6/1 | 20,715,000 | $20,235,000 | thousands by filing date | principal |
| PDD HOLDINGS INC | 722304AC6 | NOTE 12/0 | 18,605,000 | $19,152,000 | thousands by filing date | principal |
| REVANCE THERAPEUTICS INC | 761330AB5 | BOND | 15,910,000 | $18,551,000 | thousands by filing date | principal |
| SILICON LABORATORIES INC | 826919AD4 | NOTE 0.625% 6/1 | 13,000,000 | $18,087,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 13,290,000 | $16,862,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 11,435,000 | $16,688,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 1,019,252 | $14,963,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637AB6 | BOND | 11,264,000 | $14,495,000 | thousands by filing date | principal |
| INNOVATE CORP | 404139AG2 | NOTE 7.500% 8/0 | 12,363,000 | $14,450,000 | thousands by filing date | principal |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 15,688,000 | $14,237,000 | thousands by filing date | principal |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 11,890,000 | $13,846,000 | thousands by filing date | principal |
| BURLINGTON STORES INC | 122017AB2 | NOTE 2.250% 4/1 | 8,420,000 | $13,414,000 | thousands by filing date | principal |
| MESA LABS INC | 59064RAA7 | NOTE 1.375% 8/1 | 11,307,000 | $13,031,000 | thousands by filing date | principal |
| CNX RES CORP | 12653CAG3 | NOTE 2.250% 5/0 | 9,860,000 | $12,806,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAK3 | NOTE 6.750% 2/1 | 10,179,000 | $12,597,000 | thousands by filing date | principal |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 2,401,845 | $12,057,000 | thousands by filing date | |
| Coupa Software | 22266LAF3 | CONV BOND | 10,350,000 | $11,994,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 9,032,000 | $11,547,000 | thousands by filing date | principal |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 9,595,000 | $11,322,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 8,310,000 | $10,891,000 | thousands by filing date | principal |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 1,706,124 | $10,595,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082AA8 | NOTE 1.500% 2/1 | 9,440,000 | $9,763,000 | thousands by filing date | principal |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 8,705,000 | $9,445,000 | thousands by filing date | principal |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 2,325,616 | $8,791,000 | thousands by filing date | |
| VAREX IMAGING CORP | 92214XAB2 | NOTE 4.000% 6/0 | 5,736,000 | $8,504,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 7,340,000 | $8,459,000 | thousands by filing date | principal |
| OKTA INC | 679295AF2 | NOTE 0.375% 6/1 | 6,556,000 | $8,174,000 | thousands by filing date | principal |
| INSMED INC | 457669AB5 | NOTE 0.750% 6/0 | 7,325,000 | $8,112,000 | thousands by filing date | principal |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 6,470,000 | $7,105,000 | thousands by filing date | principal |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 500,000 | $6,923,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 4,277,000 | $6,697,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 5,890,000 | $6,538,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 6,297,000 | $6,521,000 | thousands by filing date | principal |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 6,386,000 | $6,306,000 | thousands by filing date | principal |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 6,080,000 | $5,936,000 | thousands by filing date | principal |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 2,227,044 | $5,879,000 | thousands by filing date | |
| TEEKAY CORPORATION | 87900YAE3 | NOTE 5.000% 1/1 | 5,446,000 | $5,364,000 | thousands by filing date | principal |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 3,110,000 | $4,719,000 | thousands by filing date | principal |
| RINGCENTRAL INC | 76680RAF4 | NOTE 3/0 | 4,037,000 | $4,458,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 3,950,000 | $4,227,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 3,500,000 | $4,185,000 | thousands by filing date | principal |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 433,088 | $3,850,000 | thousands by filing date | |
| Shopify Inc | 82509LAA5 | Convertible bond | 2,920,000 | $3,813,000 | thousands by filing date | principal |
| STEM INC | 85859N110 | *W EXP 08/11/202 | 150,064 | $3,565,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 1,362,131 | $3,290,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F111 | *W EXP 04/21/202 | 641,635 | $3,260,000 | thousands by filing date | |
| SKILLZ INC | 83067L109 | COM | 150,003 | $3,258,000 | thousands by filing date | |
| BAOZUN INC | 06684LAB9 | NOTE 1.625% 5/0 | 3,100,000 | $3,135,000 | thousands by filing date | principal |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 3,182,000 | $3,031,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AC8 | NOTE 0.500% 9/1 | 2,550,000 | $2,974,000 | thousands by filing date | principal |
| ISTAR INC | 45031UCB5 | NOTE 3.125% 9/1 | 1,950,000 | $2,952,000 | thousands by filing date | principal |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 217,221 | $2,880,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 2,000,000 | $2,721,000 | thousands by filing date | principal |
| LANDSEA HOMES CORP | 51509P103 | COM | 318,796 | $2,668,000 | thousands by filing date | |
| NEVRO CORP | 64157FAC7 | NOTE 2.750% 4/0 | 1,500,000 | $2,608,000 | thousands by filing date | principal |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 151,715 | $2,500,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577AB8 | NOTE 1.000% 5/1 | 2,545,000 | $2,434,000 | thousands by filing date | principal |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 289,990 | $2,387,000 | thousands by filing date | |
| SSR Mining Inc | 784730AB9 | Convertible bond | 2,000,000 | $2,380,000 | thousands by filing date | principal |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 225,000 | $2,338,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 295,073 | $2,234,000 | thousands by filing date | |
| NATIONAL VISION HLDGS INC | 63845RAB3 | NOTE 2.500% 5/1 | 1,250,000 | $2,207,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AD6 | BOND | 1,790,000 | $2,188,000 | thousands by filing date | principal |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N855 | SIMPLIFY INTERST | 52,380 | $2,169,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 291,105 | $1,965,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 1,853,000 | $1,918,000 | thousands by filing date | principal |
| PROOFPOINT INC | 743424AF0 | NOTE 0.250% 8/1 | 1,500,000 | $1,886,000 | thousands by filing date | principal |
| EOS ENERGY ENTERPRISES, INC | 29415C119 | *W EXP 11/17/202 | 253,067 | $1,816,000 | thousands by filing date | |
| HARMONIC INC | 413160AD4 | BOND | 1,500,000 | $1,788,000 | thousands by filing date | principal |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 34,230 | $1,764,000 | thousands by filing date | |
| EVENTBRITE INC | 29975EAB5 | NOTE 5.000%12/0 | 1,000,000 | $1,756,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AJ4 | NOTE 0.375% 3/1 | 1,710,000 | $1,698,000 | thousands by filing date | principal |
| INTEGRA LIFESCIENCES HLDGS C | 457985AM1 | NOTE 0.500% 8/1 | 1,500,000 | $1,654,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 1,500,000 | $1,607,000 | thousands by filing date | principal |
| UGI CORP NEW | 902681113 | UNIT 06/01/2024 | 15,000 | $1,596,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 1,500,000 | $1,593,000 | thousands by filing date | principal |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 1,319,000 | $1,577,000 | thousands by filing date | principal |
| PURECYCLE TECHNOLOGIES INC | 74623V111 | *W EXP 03/17/202 | 128,138 | $1,556,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 52,235 | $1,548,000 | thousands by filing date | |
| US ECOLOGY INC | 91734M111 | WTS | 217,965 | $1,508,000 | thousands by filing date | |
| NISOURCE INC | 65473P121 | CONV | 14,560 | $1,497,000 | thousands by filing date | principal |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 887,000 | $1,471,000 | thousands by filing date | principal |
| PAYSAFE LIMITED | G6964L115 | *W EXP 03/30/202 | 404,123 | $1,461,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 1,575,000 | $1,457,000 | thousands by filing date | principal |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 84,537 | $1,437,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISTN COR | 34431F112 | *W EXP 05/26/202 | 690,340 | $1,432,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 1,250,000 | $1,388,000 | thousands by filing date | principal |
| JOYY INC | 98426TAD8 | NOTE 0.750% 6/1 | 1,360,000 | $1,377,000 | thousands by filing date | principal |
| ALGONQUIN PWR UTILS CORP | 015857873 | CONV | 27,700 | $1,372,000 | thousands by filing date | principal |
| 0 | 31738L115 | 0 | 1,012,171 | $1,351,000 | thousands by filing date | |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 1,350,000 | $1,272,000 | thousands by filing date | principal |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 1,280,000 | $1,265,000 | thousands by filing date | principal |
| CHURCHILL CAPITAL CORP IV | 171439110 | W EXP 08/04/202 | 77,500 | $1,233,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 1,225,000 | $1,216,000 | thousands by filing date | principal |
| TRIP COM GROUP LTD | G9066FAA9 | DEBT 1.500% 7/0 | 850,000 | $1,213,000 | thousands by filing date | principal |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 1,150,000 | $1,176,000 | thousands by filing date | principal |
| OMEROS CORP | 682143AG7 | NOTE 5.250% 2/1 | 1,000,000 | $1,117,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 1,000,000 | $1,021,000 | thousands by filing date | principal |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 1,046,000 | $1,008,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 1,000,000 | $973,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 1,266,000 | $962,000 | thousands by filing date | principal |
| BOOKING HOLDINGS INC | 09857LAN8 | NOTE 0.750% 5/0 | 678,000 | $958,000 | thousands by filing date | principal |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 156,650 | $934,000 | thousands by filing date | |
| NABORS INDS INC | 62957HAB1 | BOND | 1,250,000 | $931,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,000,000 | $906,000 | thousands by filing date | principal |
| LANDSEA HOMES CORP | 51509P111 | *W EXP 01/08/202 | 2,916,304 | $868,000 | thousands by filing date | |
| AUSTERLITZ ACQUISITION | G0633D125 | *W EXP 02/19/202 | 486,936 | $852,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | 53069QAB5 | BOND | 800,000 | $808,000 | thousands by filing date | principal |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 777,000 | $773,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 750,000 | $748,000 | thousands by filing date | principal |
| Curiositystream Inc W Exp 10/14/202 | 23130Q115 | SPAC Combination | 147,357 | $673,000 | thousands by filing date | |
| MFA FINL INC | 55272XAA0 | BOND | 518,000 | $526,000 | thousands by filing date | principal |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 38,276 | $507,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 500,000 | $494,000 | thousands by filing date | principal |
| CANO HEALTH INC | 13781Y111 | WARR | 129,450 | $487,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 46,255 | $451,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 14,710 | $355,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 330,000 | $347,000 | thousands by filing date | principal |
| Uber Technologies | 90353T100 | COM | 6,804 | $341,000 | thousands by filing date | principal |
| CONMED CORP | 207410AF8 | BOND | 200,000 | $323,000 | thousands by filing date | principal |
| BUTTERFLY NETWORK INC | 124155110 | *W EXP 02/12/202 | 50,211 | $245,000 | thousands by filing date | |
| SOFI TECHNOLOGIES INC | 83406F110 | *W EXP 05/28/202 | 27,970 | $240,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 20,500 | $238,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 8,470 | $236,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 14,507 | $229,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 3,392 | $189,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 27,689 | $188,000 | thousands by filing date | |
| WEATHERFORD INTL PLC ORD SHS | G48833118 | Stock | 9,512 | $173,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 92,399 | $92,000 | thousands by filing date | principal |
| MUDRICK CAPITAL ACQU CORP II | 62477L115 | *W EXP 09/10/202 | 21,800 | $92,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 6,511 | $78,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 628,209 | $73,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 4,000 | $53,000 | thousands by filing date | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 50,000 | $52,000 | thousands by filing date | principal |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 3,007 | $45,000 | thousands by filing date | |
| Pershing Square T 25 WTS Warrants Exp 07/24/25 | 71531R117 | WT | 6,600 | $41,000 | thousands by filing date | |
| THE LION ELECTRIC COMPANY | 536221112 | *W EXP 05/06/202 | 3,405 | $23,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 1,000 | $10,000 | thousands by filing date | |
| SKILLSOFT CORP | 83066P119 | *W EXP 06/11/202 | 1,500 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001009012-21-000008 | this filing | 2021-07-22 | acceptance time not in the bulk data set |