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Institutional Investment Manager
ZAZOVE ASSOCIATES LLC
ZAZOVE ASSOCIATES LLC (CIK: 0001009012) incorporated in Delaware, located at 1001 Tahoe Blvd., Incline Village, NV. Institutional holdings reported to the SEC.
Institutional Holdings (2016Q2)
Original 13F HR (0001009012-16-000026) filed in 2016.08.12
#
Name
Shares
Value ($)
%
Options
Notes
51 EURONET WORLDWIDE INC 1,500,000 8,396 0.40% PRN
52 AIR LEASE CORP SR CV NT3.875 18 46,923,000 7,761 0.37% PRN
53 ANI PHARMACEUTICALS INC 200,000 7,684 0.36% PRN
54 JANUS CAP GROUP INC NOTE 0.750 7/1 47,271,000 7,550 0.36% PRN
55 SUNEDISON INC 6,430,000 7,465 0.35% PRN
56 ALZA Corp 61,456,000 7,015 0.33% PRN
57 INTEGRATED DEVICE TECHNOLOGY 6,020,000 6,984 0.33% PRN
58 KeyCorp NEW 48,236 6,452 0.30%
59 RADIO ONE INC CL D NON VTG 1,977,509 6,308 0.30%
60 PRICELINE GRP INC SR CONV NT0.9 21 2,740,000 6,019 0.28% PRN
61 KEYW HLDG CORP 24,725,000 5,615 0.27% PRN
62 SPIRIT RLTY CAP INC NEW 1,940,000 5,378 0.25% PRN
63 Spirit Realty Capital Inc 370,000 5,234 0.25% PRN
64 PRICELINE GRP INC SR CONV NT 1 18 87,644,000 5,046 0.24% PRN
65 ALON USA ENERGY INC 35,909,000 4,664 0.22% PRN
66 SunEdison Inc 2,400,000 4,488 0.21% PRN
67 INTEL CORP JR SB CONV DB 39 50,657,000 3,920 0.19% PRN
68 IRIDIUM COMMUNICATIONS INC 11,230 3,695 0.17%
69 GLOBAL EAGLE ENTMT INC 4,980,000 3,319 0.16% PRN
70 GSV CAP CORP 1,595,000 3,169 0.15% PRN
71 AEGERION PHARMACEUTICALS INC 15,070,000 3,142 0.15% PRN
72 MONSTER WORLDWIDE 3.5% CB 10/15/2019-REGISTERED 5,350,000 3,122 0.15% PRN
73 SOLAZYME INC 8,590,000 2,796 0.13% PRN
74 Red Hat Inc 19,530,000 2,772 0.13% PRN
75 EATON VANCE LTD DURATION INC 171,671 2,307 0.11%
76 Macquarie Infrastructure Corp 49,038,000 2,152 0.10% PRN
77 TEVA PHARMACEUTICAL FIN LLC SR EXC DB0.25 26 94,943,000 1,940 0.09% PRN
78 FXCM INC 5,375,000 1,791 0.08% PRN
79 NUVEEN CR STRATEGIES INCOME FD COM SHS 214,018 1,729 0.08%
80 EMMIS COMMUNICTNS CORP CL A 2,362,157 1,718 0.08%
81 CUMULUS MEDIA INC 5,436,616 1,685 0.08%
82 SPECTRANETICS CORP 12,256,000 1,666 0.08% PRN
83 ICONIX BRAND GROUP INC 11,770,000 1,542 0.07% PRN
84 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 2,140,000 1,530 0.07% PRN
85 COLONY CAP INC 5 04/15/2023 1,995,000 1,515 0.07% PRN
86 GREENBRIER COS INC 28,494,000 1,476 0.07% PRN
87 DEPOMED INC NOTE 2.500 9/0 1,000,000 1,418 0.07% PRN
88 STILLWATER MNG CO 56,466,000 1,104 0.05% PRN
89 AMYRIS INC 15,037,000 970 0.05% PRN
90 FELCOR LODGING TR INC PFD CV A $1.95 37,500 942 0.04%
91 JPMorgan Chase & Co. Warrants Exp 10/28/18 46,000 932 0.04%
92 Bank of America Corp Warrants Exp 01/16/19 238,568 830 0.04%
93 ICONIX BRAND GROUP INC 112,096 758 0.04%
94 MICROCHIP TECHNOLOGY INC SR SB CONV NT 25 30,972,000 740 0.03% PRN
95 ENERNOC 22,240,000 707 0.03% PRN
96 CAPITAL ONE FINANCIAL CORP WARRANTS 2009-14. 23,500 560 0.03%
97 SEACOR HOLDINGS INC 2,145,000 549 0.03% PRN
98 BLACKROCK DEBT STRAT FD INC COM 152,006 537 0.03%
99 NATIONAL HEALTH INVS INC 17,167,000 530 0.03% PRN
100 PERNIX THERAPEUTICS HOLDINGS INC 2,000,000 483 0.02% PRN
Page 2 of 3
Restatement filing (0001009012-16-000027) filed in 2016.08.16
#
Name
Shares
Value ($)
%
Options
Notes
1 EASTMAN KODAK CO 13,144 45 0.00%
2 EASTMAN KODAK CO 13,144 53 0.00%
3 SunEdison Inc 2,400,000 120 0.01% PRN
4 DURECT CORP 125,841 154 0.01%
5 BROOKDALE SR LIVING INC 200,000 198 0.01% PRN
6 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 12,576,332 205 0.01%
7 ANI PHARMACEUTICALS INC 200,000 217 0.01% PRN
8 NUVEEN FLOATING RATE INCOME 26,758 277 0.01%
9 NUVEEN FLTNG RTE INCM OPP FD 29,447 302 0.01%
10 SUNEDISON INC 6,430,000 322 0.01% PRN
11 Spirit Realty Capital Inc 370,000 415 0.02% PRN
12 PERNIX THERAPEUTICS HOLDINGS INC 2,000,000 450 0.02% PRN
13 MODUSLINK GLOBAL SOLUTIONS I 700,000 492 0.02% PRN
14 BLACKROCK DEBT STRAT FD INC COM 152,006 537 0.02%
15 CAPITAL ONE FINANCIAL CORP WARRANTS 2009-14. 23,500 560 0.03%
16 RTW HLDGS INC 600,000 591 0.03% PRN
17 LIBERTY MEDIA CORP 1,310,000 747 0.03% PRN
18 ICONIX BRAND GROUP INC 112,096 758 0.04%
19 Bank of America Corp Warrants Exp 01/16/19 238,568 830 0.04%
20 JPMorgan Chase & Co. Warrants Exp 10/28/18 46,000 932 0.04%
21 FELCOR LODGING TR INC PFD CV A $1.95 37,500 942 0.04%
22 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 1,000,000 989 0.05% PRN
23 CHESAPEAKE ENERGY CORP 1,400,000 1,124 0.05% PRN
24 SERVICESOURCE INTL INC 1,380,000 1,203 0.06% PRN
25 DEPOMED INC NOTE 2.500 9/0 1,000,000 1,211 0.06% PRN
26 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 2,140,000 1,236 0.06% PRN
27 MICRON TECHNOLOGY INC SR SB CV NT 3 43 1,805,000 1,376 0.06% PRN
28 ALASKA COMMUNICATIONS SYS GRP 6.25 05/01/2018 1,500,000 1,453 0.07% PRN
29 GSV CAP CORP 1,595,000 1,468 0.07% PRN
30 CUMULUS MEDIA INC 5,436,616 1,685 0.08%
31 EMMIS COMMUNICTNS CORP CL A 2,362,157 1,718 0.08%
32 EURONET WORLDWIDE INC 1,500,000 1,725 0.08% PRN
33 SEACOR HOLDINGS INC 2,145,000 1,729 0.08% PRN
34 NUVEEN CR STRATEGIES INCOME FD COM SHS 214,018 1,729 0.08%
35 AEGEAN MARINE PETE NETWORK I 2,340,000 1,881 0.09% PRN
36 COLONY CAP INC 5 04/15/2023 1,995,000 1,920 0.09% PRN
37 FXCM INC 5,375,000 1,922 0.09% PRN
38 SPIRIT RLTY CAP INC NEW 1,940,000 2,081 0.10% PRN
39 ANTHEM INC 1,250,000 2,292 0.11% PRN
40 EATON VANCE LTD DURATION INC 171,671 2,307 0.11%
41 SAFEGUARD SCIENTIFICS IN 2,650,000 2,706 0.13% PRN
42 PRICELINE GRP INC SR CONV NT0.9 21 2,740,000 2,786 0.13% PRN
43 MERCADOLIBRE INC 2,590,000 3,276 0.15% PRN
44 GLOBAL EAGLE ENTMT INC 4,980,000 3,636 0.17% PRN
45 IRIDIUM COMMUNICATIONS INC 11,230 3,695 0.17%
46 EZCORP INC 4,875,000 4,089 0.19% PRN
47 ISIS PHARMACEUTICALS INC DEL SR CONV NT 1 21 6,045,000 4,281 0.20% PRN
48 BGC PARTNERS INC 4,339,000 4,337 0.20% PRN
49 SEQUENOM INC 7,870,000 4,643 0.22% PRN
50 MONSTER WORLDWIDE 3.5% CB 10/15/2019-REGISTERED 5,350,000 4,668 0.22% PRN
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