-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, A0GHwh1FCEG2ZPU/zrM3oYfsUemTocPwkrNtqhtPOxkyKwwjdzF21CRLj2OKHsVM gC3RNL7qng+3XMkAFh3+bw== 0001009012-09-000030.txt : 20090811 0001009012-09-000030.hdr.sgml : 20090811 20090811172029 ACCESSION NUMBER: 0001009012-09-000030 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090811 DATE AS OF CHANGE: 20090811 EFFECTIVENESS DATE: 20090811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ZAZOVE ASSOCIATES LLC CENTRAL INDEX KEY: 0001009012 IRS NUMBER: 363984373 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05338 FILM NUMBER: 091004646 BUSINESS ADDRESS: STREET 1: 4801 WEST PETETSON SUITE 615 CITY: CHICAGO STATE: IL ZIP: 60646 BUSINESS PHONE: 3122838822 MAIL ADDRESS: STREET 1: 4801 WEST PETETSON SUITE 615 CITY: CHICAGO STATE: IL ZIP: 60646 13F-HR 1 qrtlyfiling13f063009.txt FORM 13F HOLDING REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2049 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2009 Check here is Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Zazove Associates, LLC Address: 1001 Tahoe Blvd. Incline Village, NV 89451 13F File Number: 28-5338 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Steven M. Kleiman Title: Chief Operating Officer Phone: (847) 239-7100 Signature, Place, and Date of Signing: Steven M. Kleiman Northbrook, Illinois August 11, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. Form 13 F Summary Page Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 164 Form 13F Information Table Value Total: $3,154,989 List of Other Included Managers: None VALUE SHARES OR SH/ Put/ INVSTMT OTHER Voting Authority NAME OF ISSUER TITLE OF CLASS CUSIP (1000s) PRN AMT PRN CALL DISCRTN Mgrs a) Sole b) Shared c) None Aspen Insurance Holding PFD PRP INC EQ G05384113 16,619 402,200 Sole 402,200 Babcock & Brown Air Ltd SPONSORED ADR 05614P101 627 80,600 Sole 80,600 Dune Energy Inc. COM NEW 265338202 84 600,592 Sole 600,592 Durect Corporation COM 266605104 9,574 4,022,489 Sole 4,022,48 Emmis Communications PFD CV SER A 291525202 506 337,485 Sole 337,485 Fifth Third Bancorp CNV PFD DEP1/250 316773209 63,042 700,472 Sole 700,472 Ford Trust PFD TR CV6.5% 345395206 23,218 1,053,910 Sole 1,053,910 Mesa Air Group, Inc. COM 590479101 407 4,073,248 Sole 4,073,248 Mirant *W EXP 01/03/201 60467R118 382 259,900 Sole 259,900 Mirant *W EXP 01/03/201 60467R126 124 65,200 Sole 65,200 New York Community Ban UNIT 99/99/9999 64944P307 170 5,188 Sole 5,188 Quadramed Corp COM NEW 74730W507 762 109,327 Sole 109,327 Raytheon Company *W EXP 06/16/2017 55111119 501 52,500 Sole 52,500 Simon Property PFD CONV I 6% 828806802 72,396 1,552,732 Sole 1,552,732 Six Flags, Inc PIERS 83001P505 366 1,926,004 Sole 1,926,004 Wells Fargo & Company PERP PFD CNV A 949746804 12,874 16,400 Sole 16,400 ASM International NOTE 4.250%12/0 00207DAG7 584 642,000 Sole Advanced Micro Devices NOTE 6.000% 5/0 007903AL1 7,301 15,290,000 Sole Advanced Micro Devices, NOTE 5.750% 8/1 007903AN7 2,490 4,000,000 Sole Alcoa Inc NOTE 5.250% 3/1 013817AT8 1,543 880,000 Sole Allegheny Technologies, NOTE 4.250% 6/0 01741RAD4 27,984 25,325,000 Sole Allergan, Inc NOTE 018490AL6 32,496 31,996,000 Sole Alliant Techsystems NOTE 2.750% 9/1 018804AN4 959 931,000 Sole Johnson & Johnson SDCV 7/2 02261WAB5 125,241 144,837,000 Sole American Equity Inv NOTE 5.250%12/0 025676AE7 13,019 17,895,000 Sole American Medical SysHld NOTE 3.250% 7/0 02744MAA6 2,246 2,312,000 Sole AmeriCredit Corp NOTE 2.125% 9/1 03060RAR2 1,337 2,000,000 Sole Amgen Inc NOTE 0.125% 2/0 031162AN0 190 200,000 Sole Amgen Inc NOTE 0.375% 2/0 031162AQ3 34,363 38,010,000 Sole Amylin Pharmaceuticals, NOTE 3.000% 6/1 032346AF5 4,413 6,750,000 Sole Thermo Fisher Scientifi DBCV 12/1 03760AAK7 85,902 61,945,000 Sole Arcelormittal NOTE 5.000% 5/1 03938LAK0 95,412 75,950,000 Sole Archer-Daniels-Midland NOTE 0.875% 2/1 039483AW2 93,606 101,470,000 Sole Aspect Medical Systems NOTE 2.500% 6/1 045235AB4 8,843 13,100,000 Sole Beazer Homes USA NOTE 4.625% 6/1 07556QAL9 3,054 5,090,000 Sole Beckman Coulter, Inc NOTE 2.500%12/1 075811AD1 65,254 65,880,000 Sole Best Buy Co. SDCV 2.250% 1/1 086516AF8 97,647 100,248,000 Sole BlackRock, Inc DBCV 2.625% 2/1 09247XAB7 1,770 1,000,000 Sole Borgwarner Inc NOTE 3.500% 4/1 099724AF3 8,155 6,390,000 Sole Borland Software Corp NOTE 2.750% 2/1 099849AB7 26,235 26,977,000 Sole Cadence Design Systems NOTE 1.375%12/1 127387AD0 410 490,000 Sole CapitalSource Inc DBCV 4.000% 7/1 14055XAE2 5,619 7,250,000 Sole CapitalSource Inc NOTE 7.250% 7/1 14055XAG7 40,421 54,995,000 Sole Carnival Corporation DBCV 2.000% 4/1 143658AN2 131,189 136,477,000 Sole Cell Therapeutic, Inc NOTE 4.000% 7/0 150934AF4 18,894 24,223,000 Sole Central European Dist NOTE 3.000% 3/1 153435AA0 7,271 10,615,000 Sole Cephalon Inc NOTE 2.500% 5/0 156708AR0 45,398 45,670,000 Sole Charles River Labs NOTE 2.250% 6/1 159864AB3 893 973,000 Sole Charter Communications NOTE 6.500%10/0 16117MAF4 978 4,200,000 Sole Chemed Corporation NOTE 1.875% 5/1 16359RAC7 11,200 14,920,000 Sole Chesapeake Energy Corp NOTE 2.500% 5/1 165167CA3 16,262 22,885,000 Sole Chesapeake Energy Corp NOTE 2.250%12/1 165167CB1 16,513 26,960,000 Sole China Medical Tech NOTE 4.000% 8/1 169483AC8 959 1,514,000 Sole Coeur D' Alene Mines NOTE 3.250% 3/1 192108AR9 9,923 13,500,000 Sole CA Inc NOTE 1.625%12/1 204912AQ2 84,967 82,895,000 Sole Conexant Systems NOTE 4.000% 3/0 207142AH3 5,579 12,975,000 Sole Continental Airlines NOTE 5.000% 6/1 210795PJ3 15,660 16,900,000 Sole D.R. Horton, Inc. NOTE 2.000% 5/1 23331ABB4 8,448 8,800,000 Sole Danaher Corporation NOTE 1/2 235851AF9 56,977 62,270,000 Sole Dixie Group, Inc SDCV 7.000% 5/1 255519AA8 164 191,000 Sole Dominion Resources Inc NOTE 2.125%12/1 25746UAT6 101,436 93,180,000 Sole EMC Corp NOTE 1.750%12/0 268648AK8 100,200 96,170,000 Sole EMC Corp NOTE 1.750%12/0 268648AM4 6,073 5,941,000 Sole Empire Resorts, Inc NOTE 8.000% 7/3 292052AB3 2,025 4,500,000 Sole Endeavor Intl Corp NOTE 6.000% 1/1 29257MAB6 19,031 25,703,000 Sole Energy Conversion Dev NOTE 3.000% 6/1 292659AA7 11,681 18,500,000 Sole EnPro Industries, Inc DBCV 3.937%10/1 29355XAB3 26,252 34,401,000 Sole Epicor Software Corp NOTE 2.375% 5/1 29426LAA6 2,665 4,000,000 Sole Exterran Holdings Inc NOTE 4.250% 6/1 30225XAA1 39,760 42,470,000 Sole FEI Company NOTE 2.875% 6/0 30241LAF6 1,549 1,589,000 Sole FiberTower Corp NOTE 9.000%11/1 31567RAC4 20,917 49,215,750 Sole Thermo Fisher Scient NOTE 3.250% 3/0 338032AX3 9,116 7,461,000 Sole General Motors DEB SR CV C 33 370442717 56 19,500 Sole General Motors DEB SR CONV B 370442733 2,771 962,000 Sole Global Crossing Ltd NOTE 5.000% 5/1 37932JAA1 32,468 32,468 Sole The Great Atlantic Tea NOTE 6.750%12/1 390064AK9 10,850 17,500,000 Sole HCC Insurance Holdings NOTE 1.300% 4/0 404132AB8 21,674 19,670,000 Sole Hasbro 2.750%12/0 418056AN7 12,864 10,590,000 Sole Headwaters NOTE 2.875% 6/0 42210PAB8 305 550,000 Sole Headwaters Incorporated NOTE 2.500% 2/0 42210PAD4 5,852 13,300,000 Sole Hertz Global Holdings NOTE 5.250% 6/0 42805TAA3 19,289 16,902,000 Sole Ingersoll-Rand Company NOTE 4.500% 4/1 45687AAD4 22,037 16,495,000 Sole Intel Corp SDCV 2.950%12/1 458140AD2 57,575 68,035,000 Sole Interpublic Group NOTE 4.750% 3/1 460690BE9 19,728 22,510,000 Sole Invacare Corp DBCV 4.125% 2/0 461203AD3 1,731 2,048,000 Sole Life Technologies NOTE 2.000% 8/0 46185RAJ9 14,845 11,790,000 Sole Jazz Technologies Inc NOTE 8.000%12/3 47214EAA0 14,624 40,066,000 Sole JetBlue Airways Corp DBCV 3.750% 3/1 477143AC5 2,880 3,000,000 Sole JetBlue Airways Corp DBCV 6.750%10/1 477143AF8 1,737 1,650,000 Sole Johnson Controls, Inc NOTE 6.500% 9/3 478366AS6 2,045 1,015,000 Sole KKR Financial Hldgs LLC NOTE 7.000% 7/1 48248AAB4 8,301 16,520,000 Sole L-1 Identity Solutions NOTE 3.750% 5/1 50212AAB2 4,356 5,445,000 Sole L-3 Communications Hldg DEBT 3.000% 8/0 502413AW7 27,758 28,771,000 Sole Lamar Advertising NOTE 2.875%12/3 512815AH4 2,444 2,500,000 Sole Level 3 Comm NOTE 10.000% 5/0 52729NBE9 1,155 1,200,000 Sole Level 3 Comm NOTE 5.250%12/1 52729NBF6 21,866 26,985,000 Sole Level 3 Comm NOTE 3.500% 6/1 52729NBK5 24,586 34,652,000 Sole Liberty Media DEB 3.500% 1/1 530715AN1 53,718 145,184,000 Sole Liberty Media DEB 3.250% 3/1 530715AR2 51,951 130,366,000 Sole Liberty Media DEB 3.125% 3/3 530718AF2 97,437 114,970,000 Sole LifePoint Hospitals NOTE 3.500% 5/1 53219LAH2 2,238 2,779,000 Sole Lifetime Brands, Inc NOTE 4.750% 7/1 53222QAB9 12,284 20,820,000 Sole Linear Technology Corp NOTE 3.000% 5/0 535678AC0 183 220,000 Sole Lions Gate Entert Corp NOTE 3.625% 3/1 535919AG9 1,362 1,769,000 Sole Live Nation Inc NOTE 2.875% 7/1 538034AB5 10,928 21,139,000 Sole McMoRan Exploration NOTE 5.250%10/0 582411AE4 14,909 17,039,000 Sole Medtronic, Inc NOTE 1.500% 4/1 585055AL0 3,080 3,175,000 Sole Medtronic, Inc NOTE 1.625% 4/1 585055AM8 93,100 100,785,000 Sole Merix Corp NOTE 4.000% 5/1 590049AB8 1,297 3,203,000 Sole Micron Technology, Inc NOTE 1.875% 6/0 595112AH6 20,462 34,800,000 Sole Millipore Corp NOTE 3.750% 6/0 601073AD1 1,456 1,467,000 Sole Molson Coors Brewing Co NOTE 2.500% 7/3 60871RAA8 37,141 34,671,000 Sole Mylan, Inc NOTE 1.250% 3/1 628530AG2 39,919 45,640,000 Sole Nabors Industries, Ltd NOTE 0.940% 5/1 629568AP1 655 700,000 Sole Nasdaq Stock Market Inc NOTE 2.500% 8/1 631103AA6 36,256 43,880,000 Sole Nash Finch Company FRNT 1.631% 3/1 631158AD4 875 2,298,000 Sole PNC Financial Serv Grp NOTE 4.000% 2/0 635405AW3 41,562 42,480,000 Sole Newell Rubbermaid Inc NOTE 5.500% 3/1 651229AH9 24,935 17,617,000 Sole Newmont Mining Corp NOTE 1.250% 7/1 651639AJ5 757 715,000 Sole Newmont Mining Corp NOTE 3.000% 2/1 651639AK2 24,977 22,103,000 Sole Old Republic Intl Corp NOTE 8.000% 5/1 680223AF1 26,612 26,072,000 Sole Omnicare, Inc DBCV 3.250%12/1 681904AL2 533 769,000 Sole Omnicom Group NOTE 7/0 681919AT3 62,054 64,385,000 Sole Omnicom Group NOTE 7/3 681919AV8 210 210,000 Sole ON Semiconductor Corp NOTE 2.625%12/1 682189AG0 1,579 1,757,000 Sole Pier 1 Imports, Inc NOTE 6.375% 2/1 720279AH1 31,448 48,382,000 Sole Pixelworks SDCV 1.750% 5/1 72581MAB3 5,578 6,720,000 Sole ProLogis NOTE 2.250% 4/0 743410AQ5 19,455 24,304,000 Sole ProLogis NOTE 2.625% 5/1 743410AS1 12,297 16,730,000 Sole RadiSys Corporation NOTE 2.750% 2/1 750459AE9 1,674 1,924,000 Sole Rite Aid Corp NOTE 8.500% 5/1 767754BU7 8,759 10,569,000 Sole Safeguard Scientifics DBCV 2.625% 3/1 786449AG3 15,938 19,922,000 Sole SAVVIS, Inc NOTE 3.000% 5/1 805423AA8 7,309 9,650,000 Sole Schlumberger Ltd. DBCV 2.125% 6/0 806857AD0 2,069 1,400,000 Sole School Specialty Inc NOTE 3.750% 8/0 807863AE5 10,361 11,008,000 Sole School Specialty, Inc SDCV 3.750%11/3 807863AL9 2,469 3,000,000 Sole Seacor Holding DBCV 2.875%12/1 811904AJ0 7,382 6,790,000 Sole Sirius XM Radio Inc NOTE 3.250%10/1 82966UAD5 20,592 30,506,000 Sole Spartan Stores, Inc NOTE 3.375% 5/1 846822AE4 1,356 2,055,000 Sole Steel Dynamics, Inc NOTE 5.125% 6/1 858119AP5 2,629 2,400,000 Sole Stewart Enterprises NOTE 3.375% 7/1 860370AK1 4,293 5,733,000 Sole Symantec Corporation NOTE 0.750% 6/1 871503AD0 344 340,000 Sole TTM Technologies, Inc NOTE 3.250% 5/1 87305RAC3 1,093 1,500,000 Sole Teradyne, Inc NOTE 4.500% 3/1 880770AE2 1,443 1,000,000 Sole Terex Corp NOTE 4.000% 6/0 880779AV5 976 1,000,000 Sole Teva Pharm DBCV 0.500% 2/0 88164RAA5 733 555,000 Sole Teva Pharm NOTE 1.750% 2/0 88165FAA0 1,791 1,585,000 Sole Textron Inc NOTE 4.500% 5/0 883203BN0 17,097 16,962,000 Sole 3M Co NOTE 11/2 88579YAB7 103,256 123,661,000 Sole Time Warner Telecom Inc DBCV 2.375% 4/0 887319AC5 1,623 1,947,000 Sole Transocean Inc NOTE 1.625%12/1 893830AU3 2,884 3,000,000 Sole Transocean Inc NOTE 1.500%12/1 893830AV1 3,216 3,505,000 Sole Transocean Inc NOTE 1.500%12/1 893830AW9 8,504 9,555,000 Sole US Airways Group, Inc NOTE 7.000% 9/3 90341WAB4 23,146 27,555,000 Sole US Airways Group, Inc NOTE 7.250% 5/1 911905AC1 10,872 15,100,000 Sole United States Steel NOTE 4.000% 5/1 912909AE8 2,118 1,614,000 Sole VeriFone Holdings, Inc NOTE 1.375% 6/1 92342YAB5 11,680 16,000,000 Sole Watson Pharmaceuticals DBCV 1.750% 3/1 942683AC7 4,981 5,050,000 Sole Wesco International NOTE 1.750%11/1 95082PAG0 9,692 11,590,000 Sole Western Refining, Inc NOTE 5.750% 6/1 959319AC8 9,050 10,000,000 Sole Wyndham Worldwide Corp NOTE 3.500% 5/0 98310WAC2 2,224 2,000,000 Sole Xilinx, Inc DBCV 3.125% 3/1 983919AD3 149 200,000 Sole YRC Worldwide NOTE 5.000% 8/0 985577AA3 14947.868 56,836,000 Sole YRC Worldwide NOTE 5.000% 8/0 985577AB1 13,168 62,320,000 Sole 3,154,989
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