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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
1 AEGEAN MARINE PETE NETWORK I 2,340,000 34,272 1.62% PRN
2 AEGERION PHARMACEUTICALS INC 15,070,000 3,142 0.15% PRN
3 AIR LEASE CORP SR CV NT3.875 18 46,923,000 7,761 0.37% PRN
4 AKAMAI TECHNOLOGIES INC 15,000,000 51,525 2.43% PRN
5 ALASKA COMMUNICATIONS SYS GRP 6.25 05/01/2018 1,500,000 14,672 0.69% PRN
6 ALON USA ENERGY INC 35,909,000 4,664 0.22% PRN
7 ALTRA INDL MOTION CORP 6,275,000 15,681 0.74% PRN
8 ALZA Corp 61,456,000 7,015 0.33% PRN
9 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 1,000,000 114,340 5.40% PRN
10 AMYRIS INC 15,037,000 970 0.05% PRN
11 ANI PHARMACEUTICALS INC 200,000 7,684 0.36% PRN
12 ANTHEM INC 1,250,000 257 0.01% PRN
13 B2GOLD CORP 17,715,000 287 0.01% PRN
14 BGC PARTNERS INC 4,339,000 10,740 0.51% PRN
15 BLACKROCK DEBT STRAT FD INC COM 152,006 537 0.03%
16 BROOKDALE SR LIVING INC 200,000 9,758 0.46% PRN
17 Bank of America Corp Warrants Exp 01/16/19 238,568 830 0.04%
18 CAPITAL ONE FINANCIAL CORP WARRANTS 2009-14. 23,500 560 0.03%
19 CARRIAGE SVCS INC NOTE 2.750 3/1 25,174,000 16,508 0.78% PRN
20 CEMEX SAB DE CV NOTE 3.750 3/1 13,210,000 29,104 1.37% PRN
21 CHESAPEAKE ENERGY CORP 1,400,000 14,555 0.69% PRN
22 CITRIX SYS INC 50,066,000 25,413 1.20% PRN
23 COLONY CAP INC 41,755,000 37,787 1.78% PRN
24 COLONY CAP INC 5 04/15/2023 1,995,000 1,515 0.07% PRN
25 CORE LABORATORIES NV 23,560,000 20,117 0.95% PRN
26 COWEN GROUP INC NEW 34,362,000 34,247 1.62% PRN
27 CUMULUS MEDIA INC 5,436,616 1,685 0.08%
28 DEPOMED INC NOTE 2.500 9/0 1,000,000 1,418 0.07% PRN
29 DURECT CORP 125,841 154 0.01%
30 EASTMAN KODAK CO 13,144 45 0.00%
31 EASTMAN KODAK CO 13,144 53 0.00%
32 EATON VANCE LTD DURATION INC 171,671 2,307 0.11%
33 ELECTRONICS FOR IMAGING INC 36,277,000 37,946 1.79% PRN
34 EMMIS COMMUNICTNS CORP CL A 2,362,157 1,718 0.08%
35 ENERNOC 22,240,000 707 0.03% PRN
36 EURONET WORLDWIDE INC 1,500,000 8,396 0.40% PRN
37 EZCORP INC 4,875,000 18,259 0.86% PRN
38 FELCOR LODGING TR INC PFD CV A $1.95 37,500 942 0.04%
39 FXCM INC 5,375,000 1,791 0.08% PRN
40 GENERAL MTRS CO 1,132,476 11,857 0.56%
41 GLOBAL EAGLE ENTMT INC 4,980,000 3,319 0.16% PRN
42 GREENBRIER COS INC 28,494,000 1,476 0.07% PRN
43 GSV CAP CORP 1,595,000 3,169 0.15% PRN
44 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 2,140,000 1,530 0.07% PRN
45 ICONIX BRAND GROUP INC 112,096 758 0.04%
46 ICONIX BRAND GROUP INC 11,770,000 1,542 0.07% PRN
47 IGI LABORATORIES INC 11,747,000 31,677 1.50% PRN
48 INTEGRATED DEVICE TECHNOLOGY 6,020,000 6,984 0.33% PRN
49 INTEL CORP JR SB CONV DB 35 24,720,000 9,800 0.46% PRN
50 INTEL CORP JR SB CONV DB 39 50,657,000 3,920 0.19% PRN
Page 1 of 3
Restatement filing (0001009012-16-000027) filed in 2016.08.16
#
Name
Shares
Value ($)
%
Options
Notes
1 PRICELINE GRP INC SR CONV NT 1 18 87,644,000 121,992 5.67% PRN
2 TEVA PHARMACEUTICAL FIN LLC SR EXC DB0.25 26 94,943,000 119,448 5.55% PRN
3 ALZA Corp 61,456,000 102,670 4.77% PRN
4 LIBERTY MEDIA CORP DELAWARE 100,978,000 100,660 4.68% PRN
5 Welltower Inc 1,467,085 99,043 4.60%
6 PROSPECT CAPITAL CORPORATION 101,404,000 96,207 4.47% PRN
7 INTEL CORP JR SB CONV DB 39 50,657,000 82,541 3.83% PRN
8 RTI INTL METALS INC SR CV NT1.625 19 73,503,000 78,376 3.64% PRN
9 LABORATORY CORP AMER HLDGS NOTE 9/1 40,705,000 70,981 3.30% PRN
10 JANUS CAP GROUP INC NOTE 0.750 7/1 47,271,000 65,087 3.02% PRN
11 STILLWATER MNG CO 56,466,000 64,515 3.00% PRN
12 AIR LEASE CORP SR CV NT3.875 18 46,923,000 57,518 2.67% PRN
13 Macquarie Infrastructure Corp 49,038,000 56,151 2.61% PRN
14 CITRIX SYS INC 50,066,000 55,854 2.59% PRN
15 NEW YORK CMNTY CAP TR V BIFURCATED OPT NT UNIT SECS BONUSES 818,636 41,014 1.91%
16 XILINX INC SR NT CV2.625 17 25,448,000 40,877 1.90% PRN
17 COLONY CAP INC 41,755,000 39,589 1.84% PRN
18 RPM INTL INC SR GLBL CV NT 20 33,427,000 38,963 1.81% PRN
19 ELECTRONICS FOR IMAGING INC 36,277,000 38,896 1.81% PRN
20 SALESFORCE COM INC SR CV NT 0.25 18 27,405,000 35,455 1.65% PRN
21 MICROCHIP TECHNOLOGY INC SR SB CONV NT 25 30,972,000 34,497 1.60% PRN
22 INTEL CORP JR SB CONV DB 35 24,720,000 31,965 1.48% PRN
23 ALON USA ENERGY INC 35,909,000 31,230 1.45% PRN
24 COWEN GROUP INC NEW 34,362,000 30,990 1.44% PRN
25 GREENBRIER COS INC 28,494,000 30,346 1.41% PRN
26 TPG Specialty Lending Inc 29,676,000 30,288 1.41% PRN
27 TRULIA INC 18,970,000 29,783 1.38% PRN
28 CARRIAGE SVCS INC NOTE 2.750 3/1 25,174,000 29,753 1.38% PRN
29 PORTFOLIO RECOVERY ASSOCS IN 33,638,000 26,027 1.21% PRN
30 Red Hat Inc 19,530,000 23,716 1.10% PRN
31 CORE LABORATORIES NV 23,560,000 23,648 1.10% PRN
32 KEYW HLDG CORP 24,725,000 23,118 1.07% PRN
33 MOLINA HEALTHCARE INC 21,080,000 23,043 1.07% PRN
34 WEATHERFORD INTL LTD 20,270,000 22,120 1.03% PRN
35 Royal Gold Inc 18,830,000 20,099 0.93% PRN
36 NATIONAL HEALTH INVS INC 17,167,000 19,034 0.88% PRN
37 B2GOLD CORP 17,715,000 17,541 0.81% PRN
38 ENERNOC 22,240,000 16,068 0.75% PRN
39 JOHNSON & JOHNSON 127,000 15,405 0.72%
40 Workday Inc 12,785,000 14,911 0.69% PRN
41 AKAMAI TECHNOLOGIES INC 15,000,000 14,813 0.69% PRN
42 CEMEX SAB DE CV NOTE 3.750 3/1 13,210,000 13,631 0.63% PRN
43 GENERAL MTRS CO 1,132,476 11,857 0.55%
44 SPECTRANETICS CORP 12,256,000 10,946 0.51% PRN
45 RESOURCE CAP CORP 10,815,000 10,626 0.49% PRN
46 IGI LABORATORIES INC 11,747,000 10,616 0.49% PRN
47 ICONIX BRAND GROUP INC 11,770,000 9,593 0.45% PRN
48 WELLS FARGO & CO NEW 7,069 9,084 0.42%
49 AEGERION PHARMACEUTICALS INC 15,070,000 8,505 0.40% PRN
50 SOLAZYME INC 15,510,000 8,126 0.38% PRN
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