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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 HENDERSON GROUP PLC 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 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 TERRAVIA HLDGS 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 NorthStar Inc 1,995,000 1,515 0.07% PRN
86 GREENBRIER COS INC 28,494,000 1,476 0.07% PRN
87 DEPOMED INC 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 $1.95 37,500 942 0.04%
91 JPMORGAN CHASE & COMPANY WARRANT EXP 102818 46,000 932 0.04%
92 BANK AMER CORPORATION WARRANT EXP 011619 238,568 830 0.04%
93 ICONIX BRAND GROUP INC 112,096 758 0.04%
94 MICROCHIP TECHNOLOGY INC SR SB CONV NT 25 30,972,000 740 0.03% PRN
95 ENERNOC 22,240,000 707 0.03% PRN
96 CAPITAL ONE FINANCIAL CORP WARRANTS 2009-14. 23,500 560 0.03%
97 SEACOR HOLDINGS INC 2,145,000 549 0.03% PRN
98 BLACKROCK DEBT STRAT FD INC COM NEW 152,006 537 0.03%
99 NATIONAL HEALTH INVS INC 17,167,000 530 0.03% PRN
100 PERNIX THERAPEUTICS HOLDINGS INC 2,000,000 483 0.02% PRN
Page 2 of 3
Restatement filing (0001009012-16-000027) filed in 2016.08.16
#
Name
Shares
Value ($)
%
Options
Notes
1 XILINX INC SR NT CV2.625 17 25,448,000 40,877 1.90% PRN
2 Workday Inc 12,785,000 14,911 0.69% PRN
3 Welltower Inc 1,467,085 99,043 4.60%
4 WORKDAY INC 5,715,000 6,369 0.30% PRN
5 WELLS FARGO CO NEW 7,069 9,084 0.42%
6 WEATERFORD BERMUDA 20,270,000 22,120 1.03% PRN
7 TRULIA INC 18,970,000 29,783 1.38% PRN
8 TPG Specialty Lending Inc 29,676,000 30,288 1.41% PRN
9 TEVA PHARMACEUTICAL FIN LLC SR EXC DB0.25 26 94,943,000 119,448 5.55% PRN
10 TERRAVIA HLDGS INC 15,510,000 8,126 0.38% PRN
11 TERRAVIA HLDGS INC 8,590,000 5,111 0.24% PRN
12 SunEdison Inc 2,400,000 120 0.01% PRN
13 Spirit Realty Capital Inc 370,000 415 0.02% PRN
14 SUNEDISON INC 6,430,000 322 0.01% PRN
15 STILLWATER MNG CO 56,466,000 64,515 3.00% PRN
16 SPIRIT RLTY CAP INC NEW 1,940,000 2,081 0.10% PRN
17 SPECTRANETICS CORP 12,256,000 10,946 0.51% PRN
18 SERVICESOURCE INTL INC 1,380,000 1,203 0.06% PRN
19 SEQUENOM INC 7,870,000 4,643 0.22% PRN
20 SEACOR HOLDINGS INC 2,145,000 1,729 0.08% PRN
21 SEACOR HOLDINGS INC 5,580,000 5,441 0.25% PRN
22 SALESFORCE COM INC SR CV NT 0.25 18 27,405,000 35,455 1.65% PRN
23 SAFEGUARD SCIENTIFICS IN 2,650,000 2,706 0.13% PRN
24 Royal Gold Inc 18,830,000 20,099 0.93% PRN
25 Red Hat Inc 19,530,000 23,716 1.10% PRN
26 RTW HLDGS INC 600,000 591 0.03% PRN
27 RTI INTL METALS INC SR CV NT1.625 19 73,503,000 78,376 3.64% PRN
28 RPM INTL INC SR GLBL CV NT 20 33,427,000 38,963 1.81% PRN
29 RESOURCE CAP CORP 10,815,000 10,626 0.49% PRN
30 RADIO ONE INC CL D NON VTG 1,977,509 6,308 0.29%
31 PROSPECT CAPITAL CORPORATION 101,404,000 96,207 4.47% PRN
32 PRICELINE GRP INC SR CONV NT0.9 21 2,740,000 2,786 0.13% PRN
33 PRICELINE GRP INC SR CONV NT 1 18 87,644,000 121,992 5.67% PRN
34 PORTFOLIO RECOVERY ASSOCS IN NOTE 3.000 8/0 33,638,000 26,027 1.21% PRN
35 PERNIX THERAPEUTICS HOLDINGS INC 2,000,000 450 0.02% PRN
36 PDL BIOPHARMA INC NOTE 4.000 2/0 8,340,000 7,913 0.37% PRN
37 NXP SEMICONDUCTORS N V 5,450,000 5,934 0.28% PRN
38 NUVEEN FLTNG RTE INCM OPP FD 29,447 302 0.01%
39 NUVEEN FLOATING RATE INCOME 26,758 277 0.01%
40 NUVEEN CR STRATEGIES INCOME FD COM SHS 214,018 1,729 0.08%
41 NEW YORK CMNTY CAP TR V BIFURCATED OPT NT UNIT SECS BONUSES 818,636 41,014 1.91%
42 NATIONAL HEALTH INVS INC 17,167,000 19,034 0.88% PRN
43 Macquarie Infrastructure Corp 49,038,000 56,151 2.61% PRN
44 MONSTER WORLDWIDE 3.5% CB 10/15/2019-REGISTERED 5,350,000 4,668 0.22% PRN
45 MOLINA HEALTHCARE INC 21,080,000 23,043 1.07% PRN
46 MODUSLINK GLOBAL SOLUTIONS I 700,000 492 0.02% PRN
47 MICRON TECHNOLOGY INC SR SB GLBL CV 43 1,805,000 1,376 0.06% PRN
48 MICROCHIP TECHNOLOGY INC SR SB CONV NT 25 30,972,000 34,497 1.60% PRN
49 MERCADOLIBRE INC 2,590,000 3,276 0.15% PRN
50 LIBERTY MEDIA CORP DELAWARE 100,978,000 100,660 4.68% PRN
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