Dark
Light
System
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 (2016Q3)
Original 13F HR (0001009012-16-000028) filed in 2016.11.04
#
Name
Shares
Value ($)
%
Options
Notes
51 SOLAZYME INC 12,256,000 8,143 0.38% PRN
52 TRULIA INC 18,970,000 6,894 0.32% PRN
53 NXP SEMICONDUCTORS N V 8,340,000 6,492 0.30% PRN
54 SOLAZYME INC 15,510,000 5,755 0.27% PRN
55 AMYRIS INC 1,995,000 5,525 0.26% PRN
56 RADIO ONE INC CL D NON VTG 61,456,000 5,169 0.24% PRN
57 INTERDIGITAL INC 1,310,000 4,549 0.21% PRN
58 GLOBAL EAGLE ENTMT INC 6,020,000 3,946 0.18% PRN
59 EATON VANCE LTD DURATION INC 127,000 3,458 0.16%
60 IRIDIUM COMMUNICATIONS INC 1,977,509 3,169 0.15%
61 PRICELINE GRP INC SR CONV NT0.9 21 73,503,000 2,943 0.14% PRN
62 WEBMD HEALTH CORP 1,250,000 2,605 0.12% PRN
63 NUVEEN CR STRATEGIES INCOME FD COM SHS 1,500,000 2,576 0.12% PRN
64 SAFEGUARD SCIENTIFICS IN 7,870,000 2,507 0.12% PRN
65 EMMIS COMMUNICATIONS-CLASS A 12,576,332 2,477 0.11%
66 ANTHEM INC 5,715,000 2,192 0.10% PRN
67 SPIRIT RLTY CAP INC NEW 370,000 2,147 0.10% PRN
68 FXCM INC 11,747,000 2,086 0.10% PRN
69 COLONY CAP INC 5 04/15/2023 36,277,000 2,009 0.09% PRN
70 CUMULUS MEDIA INC 37,500 1,794 0.08%
71 KeyCorp NEW 7,069 1,599 0.07%
72 Bank of America Corp Warrants Exp 01/16/19 23,500 1,587 0.07%
73 PDL BIOPHARMA INC 33,638,000 1,539 0.07% PRN
74 GSV CAP CORP 11,770,000 1,463 0.07% PRN
75 SEACOR HOLDINGS INC 8,590,000 1,456 0.07% PRN
76 DEPOMED INC NOTE 2.500 9/0 5,375,000 1,429 0.07% PRN
77 AEGEAN MARINE PETE NETWORK I 25,448,000 1,185 0.05% PRN
78 QUANTUM CORP 19,530,000 1,040 0.05% PRN
79 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 1,400,000 1,000 0.05% PRN
80 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 50,657,000 969 0.04% PRN
81 Priceline Group Inc/The 33,427,000 948 0.04% PRN
82 FELCOR LODGING TR INC PFD CV A $1.95 818,636 940 0.04%
83 BROOKFIELD TOTAL RETURN FD I 13,144 850 0.04%
84 LIBERTY MEDIA CORP 1,805,000 794 0.04% PRN
85 EURONET WORLDWIDE INC 2,140,000 708 0.03% PRN
86 NUVEEN SHT DUR CR OPP FD 35,909,000 684 0.03% PRN
87 PERNIX THERAPEUTICS HOLDINGS INC 87,644,000 650 0.03% PRN
88 RTW HLDGS INC 2,650,000 611 0.03% PRN
89 COHEN STEERS CLOSED END OP 2,362,157 603 0.03%
90 DUFF PHELPS UTLITY AND INF 1,132,476 578 0.03%
91 CAPITAL ONE FINANCIAL CORP WARRANTS 2009-14. 13,144 576 0.03%
92 COHEN & STEERS INFRASTRUCTUR 171,671 576 0.03%
93 MODUSLINK GLOBAL SOLUTIONS I 5,450,000 566 0.03% PRN
94 PIONEER FLOATING RATE TR 6,275,000 564 0.03% PRN
95 BLACKSTONE GSO FLTING RTE FUND COM 125,841 562 0.03%
96 GABELLI GLOBL UTIL INCOME 26,758 555 0.03%
97 BLACKROCK DEBT STRAT FD INC COM 5,436,616 555 0.03%
98 INTEGRATED DEVICE TECHNOLOGY 47,271,000 487 0.02% PRN
99 Spirit Realty Capital Inc 56,466,000 420 0.02% PRN
100 DURECT CORP 112,096 354 0.02%
Page 2 of 3
Restatement filing (0001009012-16-000029) filed in 2016.11.04
#
Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & CO NEW 7,069 9,252 0.43% PRN
2 IRIDIUM COMMUNICATIONS INC 10,580 3,169 0.15%
3 EASTMAN KODAK CO 11,700 43 0.00%
4 EASTMAN KODAK CO 11,700 31 0.00%
5 KeyCorp NEW 11,713 1,599 0.07%
6 AMERICAN INTL GROUP INC 12,220 259 0.01%
7 APOLLO SR FLOATING RATE FD INC COM 14,507 246 0.01%
8 EATON VANCE SHORT COM 18,602 255 0.01%
9 CAPITAL ONE FINANCIAL CORP WARRANTS 2009-14. 18,940 576 0.03%
10 GDL FUND 22,652 225 0.01%
11 COHEN & STEERS INFRASTRUCTUR 26,758 576 0.03%
12 NUVEEN FLOATING RATE INCOME 26,758 295 0.01% PRN
13 NUVEEN FLTNG RTE INCM OPP FD 29,447 326 0.02% PRN
14 GABELLI GLOBL UTIL INCOME 30,347 555 0.03%
15 BLACKSTONE GSO FLTING RTE FUND COM 33,375 562 0.03%
16 DUFF PHELPS UTLITY AND INF 33,833 578 0.03%
17 NUVEEN SR INCOME FD 33,844 221 0.01% PRN
18 FELCOR LODGING TR INC PFD CV A $1.95 37,500 940 0.04%
19 BROOKFIELD TOTAL RETURN FD I 37,929 850 0.04%
20 NUVEEN SHT DUR CR OPP FD 40,640 684 0.03% PRN
21 PIONEER FLOATING RATE TR 47,798 564 0.03% PRN
22 COHEN STEERS CLOSED END OP 49,031 603 0.03%
23 BLACKROCK DEBT STRAT FD INC COM 152,006 555 0.03%
24 EATON VANCE LTD DURATION INC 252,198 3,458 0.16%
25 DURECT CORP 255,000 354 0.02%
26 NUVEEN CR STRATEGIES INCOME FD COM SHS 303,805 2,576 0.12% PRN
27 Bank of America Corp Warrants Exp 01/16/19 343,568 1,587 0.07%
28 Spirit Realty Capital Inc 370,000 420 0.02% PRN
29 INTEGRATED DEVICE TECHNOLOGY 480,000 487 0.02% PRN
30 EURONET WORLDWIDE INC 560,000 708 0.03% PRN
31 RTW HLDGS INC 600,000 611 0.03% PRN
32 EMMIS COMMUNICATIONS-CLASS A 611,585 2,477 0.11%
33 MODUSLINK GLOBAL SOLUTIONS I 700,000 566 0.03% PRN
34 Priceline Group Inc/The 740,000 948 0.04% PRN
35 NEW YORK CMNTY CAP TR V BIFURCATED OPT NT UNIT SECS BONUSES 790,431 39,561 1.83% PRN
36 DEPOMED INC NOTE 2.500 9/0 1,000,000 1,429 0.07% PRN
37 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 1,000,000 1,000 0.05% PRN
38 QUANTUM CORP 1,100,000 1,040 0.05% PRN
39 GENERAL MTRS CO 1,132,476 15,809 0.73%
40 AEGEAN MARINE PETE NETWORK I 1,185,000 1,185 0.05% PRN
41 ANTHEM INC 1,250,000 2,192 0.10% PRN
42 Welltower Inc 1,256,338 83,835 3.87% PRN
43 LIBERTY MEDIA CORP 1,310,000 794 0.04% PRN
44 PDL BIOPHARMA INC 1,580,000 1,539 0.07% PRN
45 GSV CAP CORP 1,595,000 1,463 0.07% PRN
46 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 1,670,000 969 0.04% PRN
47 RADIO ONE INC CL D NON VTG 1,706,031 5,169 0.24% PRN
48 SEACOR HOLDINGS INC 1,785,000 1,456 0.07% PRN
49 SPIRIT RLTY CAP INC NEW 1,940,000 2,147 0.10% PRN
50 PERNIX THERAPEUTICS HOLDINGS INC 2,000,000 650 0.03% PRN
Page 1 of 3