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 TEVA PHARMACEUTICAL FIN LLC SR EXC DB0.25 26 29,676,000 114,365 5.28% PRN
3 LIBERTY MEDIA CORP DELAWARE 700,000 108,738 5.02% PRN
4 CITRIX SYS INC 1,000,000 94,502 4.36% PRN
5 INTEL CORP JR SB CONV DB 39 40,705,000 84,230 3.89% PRN
6 Welltower Inc 15,037,000 83,835 3.87% PRN
7 ALZA Corp 13,210,000 80,686 3.73% PRN
8 PROSPECT CAPITAL CORPORATION 600,000 80,059 3.70% PRN
9 RTI INTL METALS INC SR CV NT1.625 19 18,830,000 74,784 3.45% PRN
10 JANUS CAP GROUP INC NOTE 0.750 7/1 100,978,000 63,892 2.95% PRN
11 STILLWATER MNG CO 2,400,000 63,281 2.92% PRN
12 AIR LEASE CORP SR CV NT3.875 18 4,339,000 61,088 2.82% PRN
13 Macquarie Infrastructure Corp 21,080,000 56,703 2.62% PRN
14 LAM RESEARCH CORP SR NT CV 1.25 18 30,972,000 50,301 2.32% PRN
15 TRINITY INDS INC 94,943,000 46,956 2.17% PRN
16 Red Hat Inc 27,405,000 43,799 2.02% PRN
17 RPM INTL INC SR GLBL CV NT 20 10,815,000 40,412 1.87% PRN
18 NEW YORK CMNTY CAP TR V BIFURCATED OPT NT UNIT SECS BONUSES 200,000 39,561 1.83% PRN
19 ELECTRONICS FOR IMAGING INC 4,980,000 39,152 1.81% PRN
20 XILINX INC SR NT CV2.625 17 12,785,000 38,980 1.80% PRN
21 ALON USA ENERGY INC 17,715,000 38,622 1.78% PRN
22 COLONY CAP INC 22,240,000 38,463 1.78% PRN
23 SALESFORCE COM INC SR CV NT 0.25 18 1,380,000 37,267 1.72% PRN
24 MICROCHIP TECHNOLOGY INC SR SB CONV NT 25 5,350,000 36,111 1.67% PRN
25 INTEL CORP JR SB CONV DB 35 24,725,000 34,397 1.59% PRN
26 DYCOM INDS INC 1,595,000 32,390 1.50% PRN
27 COWEN GROUP INC NEW 4,875,000 32,013 1.48% PRN
28 GREENBRIER COS INC 24,720,000 30,189 1.39% PRN
29 TPG Specialty Lending Inc 6,430,000 29,749 1.37% PRN
30 LABORATORY CORP AMER HLDGS NOTE 9/1 2,590,000 29,372 1.36% PRN
31 CARRIAGE SVCS INC NOTE 2.750 3/1 23,560,000 28,522 1.32% PRN
32 PORTFOLIO RECOVERY ASSOCS IN 2,740,000 27,835 1.29% PRN
33 MOLINA HEALTHCARE INC 17,167,000 24,115 1.11% PRN
34 WEATHERFORD INTL LTD 20,270,000 22,083 1.02% PRN
35 CORE LABORATORIES NV 1,500,000 22,070 1.02% PRN
36 KEYW HLDG CORP 49,038,000 21,260 0.98% PRN
37 Royal Gold Inc 5,580,000 20,894 0.97% PRN
38 NATIONAL HEALTH INVS INC 2,000,000 19,696 0.91% PRN
39 B2GOLD CORP 41,755,000 16,271 0.75% PRN
40 GENERAL MTRS CO 214,018 15,809 0.73%
41 ENERNOC 28,494,000 14,710 0.68% PRN
42 CEMEX SAB DE CV NOTE 3.750 3/1 34,362,000 12,545 0.58% PRN
43 AKAMAI TECHNOLOGIES INC 200,000 11,424 0.53% PRN
44 SPECTRANETICS CORP 1,940,000 11,168 0.52% PRN
45 IGI LABORATORIES INC 5,195,000 10,636 0.49% PRN
46 AMTRUST FINL SVCS INC 50,066,000 10,036 0.46% PRN
47 RESOURCE CAP CORP 2,145,000 9,598 0.44% PRN
48 WELLS FARGO & CO NEW 1,000,000 9,252 0.43% PRN
49 ALTRA INDL MOTION CORP 25,174,000 8,930 0.41% PRN
50 ICONIX BRAND GROUP INC 6,045,000 8,743 0.40% PRN
Page 1 of 3
Restatement filing (0001009012-16-000029) filed in 2016.11.04
#
Name
Shares
Value ($)
%
Options
Notes
1 GENERAL MTRS CO 1,132,476 15,809 0.73%
2 EATON VANCE LTD DURATION INC 252,198 3,458 0.16%
3 IRIDIUM COMMUNICATIONS INC 10,580 3,169 0.15%
4 EMMIS COMMUNICATIONS-CLASS A 611,585 2,477 0.11%
5 CUMULUS MEDIA INC 5,436,616 1,794 0.08%
6 KeyCorp NEW 11,713 1,599 0.07%
7 Bank of America Corp Warrants Exp 01/16/19 343,568 1,587 0.07%
8 FELCOR LODGING TR INC PFD CV A $1.95 37,500 940 0.04%
9 BROOKFIELD TOTAL RETURN FD I 37,929 850 0.04%
10 COHEN STEERS CLOSED END OP 49,031 603 0.03%
11 DUFF PHELPS UTLITY AND INF 33,833 578 0.03%
12 COHEN & STEERS INFRASTRUCTUR 26,758 576 0.03%
13 CAPITAL ONE FINANCIAL CORP WARRANTS 2009-14. 18,940 576 0.03%
14 BLACKSTONE GSO FLTING RTE FUND COM 33,375 562 0.03%
15 BLACKROCK DEBT STRAT FD INC COM 152,006 555 0.03%
16 GABELLI GLOBL UTIL INCOME 30,347 555 0.03%
17 DURECT CORP 255,000 354 0.02%
18 AMERICAN INTL GROUP INC 12,220 259 0.01%
19 EATON VANCE SHORT COM 18,602 255 0.01%
20 APOLLO SR FLOATING RATE FD INC COM 14,507 246 0.01%
21 GDL FUND 22,652 225 0.01%
22 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 12,576,332 189 0.01%
23 EASTMAN KODAK CO 11,700 43 0.00%
24 EASTMAN KODAK CO 11,700 31 0.00%
25 PRICELINE GRP INC SR CONV NT 1 18 82,954,000 131,312 6.06% PRN
26 TEVA PHARMACEUTICAL FIN LLC SR EXC DB0.25 26 95,823,000 114,365 5.28% PRN
27 LIBERTY MEDIA CORP DELAWARE 103,683,000 108,738 5.02% PRN
28 CITRIX SYS INC 83,416,000 94,502 4.36% PRN
29 INTEL CORP JR SB CONV DB 39 46,012,000 84,230 3.89% PRN
30 Welltower Inc 1,256,338 83,835 3.87% PRN
31 ALZA Corp 49,613,000 80,686 3.73% PRN
32 PROSPECT CAPITAL CORPORATION 80,864,000 80,059 3.70% PRN
33 RTI INTL METALS INC SR CV NT1.625 19 69,973,000 74,784 3.45% PRN
34 JANUS CAP GROUP INC NOTE 0.750 7/1 46,701,000 63,892 2.95% PRN
35 STILLWATER MNG CO 52,461,000 63,281 2.92% PRN
36 AIR LEASE CORP SR CV NT3.875 18 49,213,000 61,088 2.82% PRN
37 Macquarie Infrastructure Corp 48,153,000 56,703 2.62% PRN
38 LAM RESEARCH CORP SR NT CV 1.25 18 31,510,000 50,301 2.32% PRN
39 TRINITY INDS INC 39,130,000 46,956 2.17% PRN
40 Red Hat Inc 34,500,000 43,799 2.02% PRN
41 RPM INTL INC SR GLBL CV NT 20 33,640,000 40,412 1.87% PRN
42 NEW YORK CMNTY CAP TR V BIFURCATED OPT NT UNIT SECS BONUSES 790,431 39,561 1.83% PRN
43 ELECTRONICS FOR IMAGING INC 35,272,000 39,152 1.81% PRN
44 XILINX INC SR NT CV2.625 17 20,720,000 38,980 1.80% PRN
45 ALON USA ENERGY INC 40,309,000 38,622 1.78% PRN
46 COLONY CAP INC 39,525,000 38,463 1.78% PRN
47 SALESFORCE COM INC SR CV NT 0.25 18 31,095,000 37,267 1.72% PRN
48 MICROCHIP TECHNOLOGY INC SR SB CONV NT 25 28,212,000 36,111 1.67% PRN
49 INTEL CORP JR SB CONV DB 35 24,890,000 34,397 1.59% PRN
50 DYCOM INDS INC 29,580,000 32,390 1.50% PRN
Page 1 of 3