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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 (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
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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
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