13F-HR filed by ZAZOVE ASSOCIATES LLC
ZAZOVE ASSOCIATES LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-10-31, with 149 holding rows worth $964,166,000.
- Accession
- 0001420506-23-001878
- Filer
- CIK 1009012
- Filed
- 2023-10-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 149 entries on the cover page, a total value of $964,166,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $964,166,000 with VALUE read as dollars as filed, 13F file number 028-05338. 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 |
|---|---|---|---|---|---|---|
| SSR Mining Inc | 784730AB9 | Convertible bond | 73,705,000 | $77,336,000 | dollars as filed | principal |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 62,275,000 | $62,497,000 | dollars as filed | principal |
| PARSONS CORP DEL | 70202LAB8 | BOND | 40,217,000 | $51,252,000 | dollars as filed | principal |
| JAZZ INVESTMENTS I LTD | 472145AF8 | NOTE 2.000% 6/1 | 48,600,000 | $49,675,000 | dollars as filed | principal |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 39,266,000 | $41,681,000 | dollars as filed | principal |
| SOLAREDGE TECHNOLOGIES INC | 83417MAD6 | NOTE 9/1 | 35,239,000 | $32,200,000 | dollars as filed | principal |
| MGP INGREDIENTS INC NEW | 55303JAB2 | NOTE 1.875%11/1 | 26,457,000 | $31,987,000 | dollars as filed | principal |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 29,743,000 | $30,233,000 | dollars as filed | principal |
| MIDDLEBY CORP | 596278AB7 | NOTE 1.000% 9/0 | 25,870,000 | $28,987,000 | dollars as filed | principal |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 21,695,000 | $25,054,000 | dollars as filed | principal |
| KAMAN CORP | 483548AF0 | BOND | 24,489,000 | $23,815,000 | dollars as filed | principal |
| TYLER TEX INDPT SCH DIST | 902252AB1 | NOTE 0.250% 3/1 | 22,764,000 | $22,123,000 | dollars as filed | principal |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 22,822,000 | $21,545,000 | dollars as filed | principal |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 21,124,000 | $20,714,000 | dollars as filed | principal |
| JBT MAREL CORPORATION | 477839AB0 | NOTE 0.250% 5/1 | 22,716,000 | $20,539,000 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 18,870,000 | $19,692,000 | dollars as filed | principal |
| ALNYLAM PHARMACEUTICALS INC | 02043QAB3 | NOTE 1.000% 9/1 | 20,890,000 | $19,416,000 | dollars as filed | principal |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 446,221 | $19,183,000 | dollars as filed | |
| BRAEMAR HOTELS & RESORTS INC | 10482BAB7 | NOTE 4.500% 6/0 | 22,330,000 | $19,054,000 | dollars as filed | principal |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 22,010,000 | $18,345,000 | dollars as filed | principal |
| Ascendis Pharma A/S | 04351PAD3 | Convertible bond | 18,660,000 | $17,159,000 | dollars as filed | principal |
| PETIQ INC | 71639TAB2 | NOTE 4.000% 6/0 | 16,320,000 | $15,924,000 | dollars as filed | principal |
| BILL HOLDINGS INC | 090043AB6 | NOTE 12/0 | 15,650,000 | $15,739,000 | dollars as filed | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 13,494,000 | $14,776,000 | dollars as filed | principal |
| IMAX CORP | 45245EAJ8 | NOTE 0.500% 4/0 | 15,637,000 | $14,649,000 | dollars as filed | principal |
| VAREX IMAGING CORP | 92214XAB2 | NOTE 4.000% 6/0 | 12,835,000 | $14,618,000 | dollars as filed | principal |
| CONMED CORP | 207410AH4 | NOTE 2.250% 6/1 | 13,135,000 | $12,536,000 | dollars as filed | principal |
| STRIDE INC | 86333MAA6 | NOTE 1.125% 9/0 | 11,822,000 | $12,501,000 | dollars as filed | principal |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 2,454,165 | $12,344,000 | dollars as filed | |
| HALOZYME THERAPEUTICS INC | 40637HAD1 | NOTE 0.250% 3/0 | 9,108,000 | $7,715,000 | dollars as filed | principal |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 1,458,428 | $7,423,000 | dollars as filed | |
| INTERDIGITAL INC | 45867GAD3 | NOTE 3.500% 6/0 | 5,820,000 | $6,876,000 | dollars as filed | principal |
| INNOVATE CORP | 404139AG2 | NOTE 7.500% 8/0 | 12,363,000 | $6,413,000 | dollars as filed | principal |
| GRANITE RIDGE RESOURCES INC | 387432107 | COM | 1,044,274 | $6,370,000 | dollars as filed | |
| CVR PARTNERS LP | 126633205 | COM | 76,700 | $6,336,000 | dollars as filed | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 2,101,511 | $5,821,000 | dollars as filed | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 5,007 | $5,567,000 | dollars as filed | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 3,487,637 | $5,510,000 | dollars as filed | |
| WESTROCK COFFEE CO | 96145W111 | *W EXP 08/29/202 | 2,918,653 | $5,341,000 | dollars as filed | |
| Net Power Inc W Exp 06/08/202 | 64107A113 | SPAC Combination | 1,165,244 | $5,028,000 | dollars as filed | |
| Vanguard Ultra-Short Bond ETF | 92203C303 | SHS | 100,000 | $4,919,000 | dollars as filed | |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 2,000,000 | $4,714,000 | dollars as filed | principal |
| GUARDANT HEALTH INC | 40131MAB5 | NOTE 11/1 | 6,625,000 | $4,571,000 | dollars as filed | principal |
| CNX RES CORP | 12653CAG3 | NOTE 2.250% 5/0 | 2,500,000 | $4,539,000 | dollars as filed | principal |
| CUTERA INC | 232109AD0 | NOTE 2.250% 6/0 | 7,140,000 | $4,281,000 | dollars as filed | principal |
| DATADOG INC | 23804LAB9 | NOTE 0.125% 6/1 | 3,420,000 | $4,031,000 | dollars as filed | principal |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 468,507 | $3,940,000 | dollars as filed | |
| GARRETT MOTION INC | 366505105 | COM | 492,443 | $3,880,000 | dollars as filed | |
| SUMMIT HOTEL PPTYS | 866082AA8 | NOTE 1.500% 2/1 | 4,390,000 | $3,701,000 | dollars as filed | principal |
| INSULET CORP | 45784PAK7 | NOTE 0.375% 9/0 | 3,500,000 | $3,434,000 | dollars as filed | principal |
| PEABODY ENGR CORP | 704551AD2 | NOTE 3.250% 3/0 | 2,000,000 | $3,027,000 | dollars as filed | principal |
| ZILLOW GROUP INC | 98954MAG6 | NOTE 1.375% 9/0 | 2,500,000 | $2,980,000 | dollars as filed | principal |
| AIRBNB INC CLASS A | 009066AB7 | CLASS A | 3,360,000 | $2,965,000 | dollars as filed | principal |
| URBAN ONE INC | 91705J105 | CL A | 585,978 | $2,942,000 | dollars as filed | |
| CONMED CORP | 207410AF8 | BOND | 2,500,000 | $2,885,000 | dollars as filed | principal |
| ENPHASE ENERGY INC | 29355AAK3 | NOTE 3/0 | 3,450,000 | $2,862,000 | dollars as filed | principal |
| GDL FD | 361570104 | COM SH BEN IT | 355,151 | $2,752,000 | dollars as filed | |
| HERTZ GLOBAL HLDGS INC | 42806J148 | *W EXP 06/30/205 | 421,323 | $2,593,000 | dollars as filed | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAK3 | NOTE 6.750% 2/1 | 1,500,000 | $2,593,000 | dollars as filed | principal |
| ETSY INC | 29786AAJ5 | NOTE 0.125%10/0 | 2,500,000 | $2,545,000 | dollars as filed | principal |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 357,252 | $2,544,000 | dollars as filed | |
| PAGERDUTY INC | 69553PAB6 | BOND | 2,500,000 | $2,387,000 | dollars as filed | principal |
| AMERICAN AIRLINES GROUP INC | 02376RAF9 | NOTE 6.500% 7/0 | 2,000,000 | $2,137,000 | dollars as filed | principal |
| SKINHEALTH SYSTEMS INC | 88331L108 | COM CL A | 342,404 | $2,061,000 | dollars as filed | |
| POST HLDGS INC | 737446AT1 | NOTE 2.500% 8/1 | 2,000,000 | $1,989,000 | dollars as filed | principal |
| TH INTERNATIONAL LIMITED | G8656L106 | ORDINARY SHARES | 1,091,079 | $1,975,000 | dollars as filed | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 81,715 | $1,950,000 | dollars as filed | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 2,000,000 | $1,922,000 | dollars as filed | principal |
| SPLUNK INC | 848637AF1 | NOTE 1.125% 6/1 | 2,000,000 | $1,887,000 | dollars as filed | principal |
| TRUMP MEDIA & TECHNOLOGY GRO | 25400Q113 | *W EXP 03/25/202 | 377,756 | $1,866,000 | dollars as filed | |
| BLOCK INC | 852234AF0 | NOTE 0.125% 3/0 | 2,000,000 | $1,859,000 | dollars as filed | principal |
| OSISKO DEVELOPMENT CORP | 68828E809 | COM NEW | 625,200 | $1,838,000 | dollars as filed | |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N855 | SIMPLIFY INTERST | 18,350 | $1,753,000 | dollars as filed | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 370,000 | $1,724,000 | dollars as filed | |
| INDIE SEMICONDUCTOR INC | 45569U119 | *W EXP 06/10/202 | 943,216 | $1,684,000 | dollars as filed | |
| SEA LTD | 81141RAF7 | NOTE 2.375%12/0 | 1,700,000 | $1,627,000 | dollars as filed | principal |
| SUNOPTA INC | 8676EP108 | COM | 482,023 | $1,624,000 | dollars as filed | |
| MIRION TECHNOLOGIES INC | 60471A119 | *W EXP 10/20/202 | 1,207,064 | $1,611,000 | dollars as filed | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 291,105 | $1,473,000 | dollars as filed | |
| INTEGRA LIFESCIENCES HLDGS C | 457985AM1 | NOTE 0.500% 8/1 | 1,500,000 | $1,369,000 | dollars as filed | principal |
| ALTAIR ENGR INC | 021369AC7 | BOND | 1,250,000 | $1,327,000 | dollars as filed | principal |
| SMART GLOBAL HLDGS INC | 83205YAB0 | BOND | 1,000,000 | $1,324,000 | dollars as filed | principal |
| RUM GROUP INC | 78137L113 | *W EXP 09/16/202 | 1,065,815 | $1,263,000 | dollars as filed | |
| CHEFS WHSE INC | 163086AB7 | BOND | 1,313,000 | $1,237,000 | dollars as filed | principal |
| LIBERTY MEDIA CORP DEL | 531229AQ5 | NOTE 2.250% 8/1 | 1,170,000 | $1,145,000 | dollars as filed | principal |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 1,288,000 | $1,062,000 | dollars as filed | principal |
| Shift4 Payments Inc | 82452JAB5 | Convertible bond | 940,000 | $930,000 | dollars as filed | principal |
| BROOKDALE SR LIVING INC | 112463AC8 | NOTE 2.000%10/1 | 1,000,000 | $790,000 | dollars as filed | principal |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 687 | $766,000 | dollars as filed | |
| ETSY INC | 29786AAN6 | NOTE 0.250% 6/1 | 1,000,000 | $759,000 | dollars as filed | principal |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 800,000 | $739,000 | dollars as filed | principal |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 20,148 | $730,000 | dollars as filed | |
| PURECYCLE TECHNOLOGIES INC | 74623V111 | *W EXP 03/17/202 | 333,822 | $606,000 | dollars as filed | |
| NATIONAL CINEMEDIA INC | 635309206 | COMMON STOCK | 126,205 | $567,000 | dollars as filed | |
| RINGCENTRAL INC | 76680RAH0 | NOTE 3/1 | 588,000 | $496,000 | dollars as filed | principal |
| BRC INC A | 05601U105 | COMMON STOCK | 137,123 | $492,000 | dollars as filed | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 500,000 | $492,000 | dollars as filed | principal |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 38,276 | $483,000 | dollars as filed | |
| LANDSEA HOMES CORP | 51509P111 | *W EXP 01/08/202 | 2,228,592 | $407,000 | dollars as filed | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 14,710 | $403,000 | dollars as filed | |
| Psq Holdings Inc W Exp 07/19/202 | 693691115 | SPAC Combination | 270,640 | $372,000 | dollars as filed | |
| ARKO CORP | 041242116 | *W EXP 12/22/202 | 347,284 | $370,000 | dollars as filed | |
| FREYR BATTERY INC | L4135L118 | *W EXP 09/01/202 | 346,411 | $352,000 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 323,000 | $311,000 | dollars as filed | principal |
| PENNYMAC CORP | 70932AAF0 | NOTE 5.500% 3/1 | 319,000 | $287,000 | dollars as filed | principal |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 11,046 | $265,000 | dollars as filed | |
| CANO HEALTH INC | 13781Y111 | WARR | 5,234,094 | $263,000 | dollars as filed | |
| SPOTIFY USA INC | 84921RAB6 | NOTE 3/1 | 300,000 | $255,000 | dollars as filed | principal |
| OKTA INC | 679295AF2 | NOTE 0.375% 6/1 | 290,000 | $254,000 | dollars as filed | principal |
| BLOCK INC | 852234AJ2 | NOTE 5/0 | 300,000 | $251,000 | dollars as filed | principal |
| CRACKER BARREL OLD CTRY STOR | 22410JAB2 | cv | 300,000 | $248,000 | dollars as filed | principal |
| LANVIN GROUP HOLDINGS LIMITE | G5380J118 | W EXP 01/14/202 | 1,334,846 | $247,000 | dollars as filed | |
| LYFT INC | 55087PAB0 | NOTE 1.500% 5/1 | 250,000 | $230,000 | dollars as filed | principal |
| EXPEDIA GROUP INC | 30212PBE4 | NOTE 2/1 | 250,000 | $218,000 | dollars as filed | principal |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 15,000 | $210,000 | dollars as filed | |
| CHEGG INC | 163092AF6 | NOTE 9/0 | 257,000 | $202,000 | dollars as filed | principal |
| DOCUSIGN INC | 256163AD8 | NOTE 1/1 | 200,000 | $196,000 | dollars as filed | principal |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 14,507 | $195,000 | dollars as filed | |
| MFA FINL INC | 55272XAA0 | BOND | 190,000 | $189,000 | dollars as filed | principal |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 1,439,964 | $186,000 | dollars as filed | |
| SEA LTD | 81141RAG5 | NOTE 0.250% 9/1 | 220,000 | $176,000 | dollars as filed | principal |
| SEA LTD | 81141RAD2 | NOTE 1.000%12/0 | 150,000 | $167,000 | dollars as filed | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AU3 | NOTE 2.000% 2/1 | 150,000 | $153,000 | dollars as filed | principal |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 137,837 | $128,000 | dollars as filed | principal |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 120,000 | $116,000 | dollars as filed | principal |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 386,510 | $110,000 | dollars as filed | |
| WEATHERFORD INTL PLC ORD SHS | G48833118 | Stock | 1,102 | $100,000 | dollars as filed | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 89,000 | $89,000 | dollars as filed | principal |
| NABORS INDS INC | 62957HAB1 | BOND | 91,000 | $89,000 | dollars as filed | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 266,000 | $66,000 | dollars as filed | principal |
| HAEMONETICS CORP MASS | 405024AB6 | NOTE 3/0 | 70,000 | $61,000 | dollars as filed | principal |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 61,000 | $61,000 | dollars as filed | principal |
| BUTTERFLY NETWORK INC | 124155102 | COM CL A | 50,000 | $59,000 | dollars as filed | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 6,511 | $59,000 | dollars as filed | |
| 0 | 31738L115 | 0 | 502,865 | $45,000 | dollars as filed | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 916 | $42,000 | dollars as filed | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 4,387 | $36,000 | dollars as filed | |
| PAYSAFE LIMITED | G6964L115 | *W EXP 03/30/202 | 546,914 | $22,000 | dollars as filed | |
| ROBO.AI INC. | G6693P114 | *W EXP 11/11/202 | 64,571 | $16,000 | dollars as filed | |
| POLESTAR AUTOMOTIVE HLDG UK | 731105102 | ADS C-1 | 24,495 | $10,000 | dollars as filed | |
| Roadzen Inc W Exp 11/30/202 | G7606H116 | SPAC Combination | 150,602 | $6,000 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 25,000 | $6,000 | dollars as filed | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 399 | $5,000 | dollars as filed | |
| SUNPOWER INC | 20460L112 | *W EXP 07/31/202 | 25,171 | $5,000 | dollars as filed | |
| CURIOSITYSTREAM INC | 23130Q107 | COMMON STOCK | 6,310 | $4,000 | dollars as filed | |
| Jasper Therapeutics Inc W Exp 09/24/202 | 471871111 | SPAC Combination | 65,456 | $4,000 | dollars as filed | |
| GREAT AJAX CORP | 38983D409 | PREF CONV | 85 | $2,000 | dollars as filed | |
| GETTY IMAGES HOLDINGS INC | 374275105 | CL A COM | 175 | $1,000 | dollars as filed | |
| POWER & DIGITAL INFRASTRUCTU | 73919C118 | *W EXP 12/09/202 | 9,100 | $1,000 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-23-001878 | this filing | 2023-10-31 | acceptance time not in the bulk data set |