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
1 PRICELINE GRP INC SR CONV NT 1 18 101,404,000 131,312 6.06% PRN
2 JANUS CAP GROUP INC NOTE 0.750 7/1 100,978,000 63,892 2.95% PRN
3 TRINITY INDS INC 94,943,000 46,956 2.17% PRN
4 PERNIX THERAPEUTICS HOLDINGS INC 87,644,000 650 0.03% PRN
5 PRICELINE GRP INC SR CONV NT0.9 21 73,503,000 2,943 0.14% PRN
6 RADIO ONE INC CL D NON VTG 61,456,000 5,169 0.24% PRN
7 Spirit Realty Capital Inc 56,466,000 420 0.02% PRN
8 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 50,657,000 969 0.04% PRN
9 AMTRUST FINL SVCS INC 50,066,000 10,036 0.46% PRN
10 KEYW HLDG CORP 49,038,000 21,260 0.98% PRN
11 INTEGRATED DEVICE TECHNOLOGY 47,271,000 487 0.02% PRN
12 NUVEEN FLTNG RTE INCM OPP FD 46,923,000 326 0.02% PRN
13 B2GOLD CORP 41,755,000 16,271 0.75% PRN
14 INTEL CORP JR SB CONV DB 39 40,705,000 84,230 3.89% PRN
15 COLONY CAP INC 5 04/15/2023 36,277,000 2,009 0.09% PRN
16 NUVEEN SHT DUR CR OPP FD 35,909,000 684 0.03% PRN
17 CEMEX SAB DE CV NOTE 3.750 3/1 34,362,000 12,545 0.58% PRN
18 PDL BIOPHARMA INC 33,638,000 1,539 0.07% PRN
19 Priceline Group Inc/The 33,427,000 948 0.04% PRN
20 LAM RESEARCH CORP SR NT CV 1.25 18 30,972,000 50,301 2.32% PRN
21 TEVA PHARMACEUTICAL FIN LLC SR EXC DB0.25 26 29,676,000 114,365 5.28% PRN
22 ENERNOC 28,494,000 14,710 0.68% PRN
23 Red Hat Inc 27,405,000 43,799 2.02% PRN
24 AEGEAN MARINE PETE NETWORK I 25,448,000 1,185 0.05% PRN
25 ALTRA INDL MOTION CORP 25,174,000 8,930 0.41% PRN
26 INTEL CORP JR SB CONV DB 35 24,725,000 34,397 1.59% PRN
27 GREENBRIER COS INC 24,720,000 30,189 1.39% PRN
28 CARRIAGE SVCS INC NOTE 2.750 3/1 23,560,000 28,522 1.32% PRN
29 COLONY CAP INC 22,240,000 38,463 1.78% PRN
30 Macquarie Infrastructure Corp 21,080,000 56,703 2.62% PRN
31 WEATHERFORD INTL LTD 20,270,000 22,083 1.02% PRN
32 QUANTUM CORP 19,530,000 1,040 0.05% PRN
33 TRULIA INC 18,970,000 6,894 0.32% PRN
34 RTI INTL METALS INC SR CV NT1.625 19 18,830,000 74,784 3.45% PRN
35 ALON USA ENERGY INC 17,715,000 38,622 1.78% PRN
36 MOLINA HEALTHCARE INC 17,167,000 24,115 1.11% PRN
37 SOLAZYME INC 15,510,000 5,755 0.27% PRN
38 NUVEEN SR INCOME FD 15,070,000 221 0.01% PRN
39 Welltower Inc 15,037,000 83,835 3.87% PRN
40 NUVEEN FLOATING RATE INCOME 15,000,000 295 0.01% PRN
41 ALZA Corp 13,210,000 80,686 3.73% PRN
42 XILINX INC SR NT CV2.625 17 12,785,000 38,980 1.80% PRN
43 EMMIS COMMUNICATIONS-CLASS A 12,576,332 2,477 0.11%
44 SOLAZYME INC 12,256,000 8,143 0.38% PRN
45 GSV CAP CORP 11,770,000 1,463 0.07% PRN
46 FXCM INC 11,747,000 2,086 0.10% PRN
47 RPM INTL INC SR GLBL CV NT 20 10,815,000 40,412 1.87% PRN
48 SEACOR HOLDINGS INC 8,590,000 1,456 0.07% PRN
49 NXP SEMICONDUCTORS N V 8,340,000 6,492 0.30% PRN
50 SAFEGUARD SCIENTIFICS IN 7,870,000 2,507 0.12% PRN
Page 1 of 3
Restatement filing (0001009012-16-000029) filed in 2016.11.04
#
Name
Shares
Value ($)
%
Options
Notes
1 PRICELINE GRP INC SR CONV NT 1 18 82,954,000 131,312 6.06% PRN
2 TEVA PHARMACEUTICAL FIN LLC SR EXC DB0.25 26 95,823,000 114,365 5.28% PRN
3 LIBERTY MEDIA CORP DELAWARE 103,683,000 108,738 5.02% PRN
4 CITRIX SYS INC 83,416,000 94,502 4.36% PRN
5 INTEL CORP JR SB CONV DB 39 46,012,000 84,230 3.89% PRN
6 Welltower Inc 1,256,338 83,835 3.87% PRN
7 ALZA Corp 49,613,000 80,686 3.73% PRN
8 PROSPECT CAPITAL CORPORATION 80,864,000 80,059 3.70% PRN
9 RTI INTL METALS INC SR CV NT1.625 19 69,973,000 74,784 3.45% PRN
10 JANUS CAP GROUP INC NOTE 0.750 7/1 46,701,000 63,892 2.95% PRN
11 STILLWATER MNG CO 52,461,000 63,281 2.92% PRN
12 AIR LEASE CORP SR CV NT3.875 18 49,213,000 61,088 2.82% PRN
13 Macquarie Infrastructure Corp 48,153,000 56,703 2.62% PRN
14 LAM RESEARCH CORP SR NT CV 1.25 18 31,510,000 50,301 2.32% PRN
15 TRINITY INDS INC 39,130,000 46,956 2.17% PRN
16 Red Hat Inc 34,500,000 43,799 2.02% PRN
17 RPM INTL INC SR GLBL CV NT 20 33,640,000 40,412 1.87% PRN
18 NEW YORK CMNTY CAP TR V BIFURCATED OPT NT UNIT SECS BONUSES 790,431 39,561 1.83% PRN
19 ELECTRONICS FOR IMAGING INC 35,272,000 39,152 1.81% PRN
20 XILINX INC SR NT CV2.625 17 20,720,000 38,980 1.80% PRN
21 ALON USA ENERGY INC 40,309,000 38,622 1.78% PRN
22 COLONY CAP INC 39,525,000 38,463 1.78% PRN
23 SALESFORCE COM INC SR CV NT 0.25 18 31,095,000 37,267 1.72% PRN
24 MICROCHIP TECHNOLOGY INC SR SB CONV NT 25 28,212,000 36,111 1.67% PRN
25 INTEL CORP JR SB CONV DB 35 24,890,000 34,397 1.59% PRN
26 DYCOM INDS INC 29,580,000 32,390 1.50% PRN
27 COWEN GROUP INC NEW 32,792,000 32,013 1.48% PRN
28 GREENBRIER COS INC 26,569,000 30,189 1.39% PRN
29 TPG Specialty Lending Inc 28,760,000 29,749 1.37% PRN
30 LABORATORY CORP AMER HLDGS NOTE 9/1 15,963,000 29,372 1.36% PRN
31 CARRIAGE SVCS INC NOTE 2.750 3/1 24,274,000 28,522 1.32% PRN
32 PORTFOLIO RECOVERY ASSOCS IN 30,748,000 27,835 1.29% PRN
33 MOLINA HEALTHCARE INC 20,275,000 24,115 1.11% PRN
34 WEATHERFORD INTL LTD 19,640,000 22,083 1.02% PRN
35 CORE LABORATORIES NV 21,730,000 22,070 1.02% PRN
36 KEYW HLDG CORP 21,805,000 21,260 0.98% PRN
37 Royal Gold Inc 18,583,000 20,894 0.97% PRN
38 NATIONAL HEALTH INVS INC 17,167,000 19,696 0.91% PRN
39 B2GOLD CORP 15,855,000 16,271 0.75% PRN
40 GENERAL MTRS CO 1,132,476 15,809 0.73%
41 ENERNOC 19,980,000 14,710 0.68% PRN
42 CEMEX SAB DE CV NOTE 3.750 3/1 11,170,000 12,545 0.58% PRN
43 AKAMAI TECHNOLOGIES INC 11,650,000 11,424 0.53% PRN
44 SPECTRANETICS CORP 10,511,000 11,168 0.52% PRN
45 IGI LABORATORIES INC 11,036,000 10,636 0.49% PRN
46 AMTRUST FINL SVCS INC 11,560,000 10,036 0.46% PRN
47 RESOURCE CAP CORP 9,550,000 9,598 0.44% PRN
48 WELLS FARGO & CO NEW 7,069 9,252 0.43% PRN
49 ALTRA INDL MOTION CORP 7,465,000 8,930 0.41% PRN
50 ICONIX BRAND GROUP INC 10,115,000 8,743 0.40% PRN
Page 1 of 3