-----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, N0f5MxqqzAI3oz2JVyRxOIRpciiJwZacaJHc22g/zF5htEfP1mkZ/B1plYdHn3GF 1DBq+1il54T9l4WPyQT8Ng== 0001009012-10-000011.txt : 20100803 0001009012-10-000011.hdr.sgml : 20100803 20100803150042 ACCESSION NUMBER: 0001009012-10-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100803 DATE AS OF CHANGE: 20100803 EFFECTIVENESS DATE: 20100803 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: 10987271 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 qrtlyfiling13f063010.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, 2010 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 3, 2010 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: 162 Form 13F Information Table Value Total: $3,765,487 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 Holds PFD PRP INC EQ G05384113 19,575 381,490 Sole 381,490 Zions Bancorporation *W EXP 05/22/202 989701115 700 100,000 Sole 100,000 Wells Fargo & Company PERP PFD CNV A 949746804 15,268 16,400 Sole 16,400 Wells Fargo & Company *W EXP 10/28/201 949746119 772 100,000 Sole 100,000 Raytheon Company *W EXP 06/16/201 755111119 631 52,500 Sole 52,500 Morgan Stanley-Mirant *W EXP 01/03/201 61757J386 129 2,083,432 Sole 2,083,432 Mirant *W EXP 01/03/201 60467R118 16 259,900 Sole 259,900 JP Morgan Chase & Co. *W EXP 10/28/201 46634E114 2,839 224,639 Sole 224,639 Ford Trust PFD TR CV6.5% 345395206 34,582 783,294 Sole 783,294 Ford Motor Co *W EXP 01/01/201 345370134 9,734 3,120,000 Sole 3,120,000 Fifth Third Bancorp CNV PFD DEP1/250 316773209 64,213 510,639 Sole 510,639 FiberTower Corp COM NEW 31567R209 9,033 1,913,796 Sole 1,913,796 FiberTower Corp COM NEW 31567R209 7,990 1,692,790 None -0- Emmis Communications PFD CV SER A 291525202 2,575 117,098 Sole 117,098 Durect Corporation COM 266605104 8,994 3,701,254 Sole 3,701,254 AMR Corporation NOTE 6.250%10/1 001765BC9 14,253 14,900,000 Sole Advanced Micro Devices NOTE 6.000% 5/0 007903AL1 1,771 1,850,000 Sole Affiliated Mngrs Group NOTE 3.950% 8/1 008252AL2 48,937 50,960,000 Sole Alcoa Inc NOTE 5.250% 3/1 013817AT8 2,896 1,700,000 Sole Allegheny Technologies NOTE 4.250% 6/0 01741RAD4 45,616 35,655,000 Sole Allergan, Inc NOTE 1.500% 4/0 018490AL6 38,802 35,436,000 Sole Alliance Data Systems NOTE 1.750% 8/0 018581AD0 74,455 77,255,000 Sole Alliant Techsystems NOTE 2.750% 2/1 018804AH7 949 1,000,000 Sole Alliant Techsystems NOTE 2.750% 9/1 018804AN4 905 931,000 Sole Johnson & Johnson SDCV 7/2 02261WAB5 126,491 144,149,000 Sole American Medical Syst NOTE 4.000% 9/1 02744MAB4 1,480 1,122,000 Sole Icahn Enterprises LP FRNT 8/1 029169AA7 10,813 12,500,000 Sole Amgen Inc NOTE 0.125% 2/0 031162AN0 4,953 5,000,000 Sole Amylin Pharmaceuticals NOTE 3.000% 6/1 032346AF5 1,633 1,930,000 Sole Annaly Mortgage Mngmt NOTE 4.000% 2/1 035710AA0 2,548 2,500,000 Sole Arcelormittal NOTE 5.000% 5/1 03938LAK0 95,663 82,070,000 Sole Archer-Daniels-Midland NOTE 0.875% 2/1 039483AW2 2,362 2,495,000 Sole Beazer Homes USA, Inc UNIT 99/99/9999 07556Q501 914 50,700 Sole Beckman Coulter, Inc NOTE 2.500%12/1 075811AD1 109,321 99,265,000 Sole Best Buy Co. SDCV 2.250% 1/1 086516AF8 134,486 129,313,000 Sole BlackRock, Inc DBCV 2.625% 2/1 09247XAB7 1,448 1,000,000 Sole Borgwarner Inc NOTE 3.500% 4/1 099724AF3 10,343 8,002,000 Sole Cameron International NOTE 2.500% 6/1 13342BAB1 86,426 77,037,000 Sole CapitalSource Inc SDCV 4.000% 7/1 14055XAE2 5,984 6,250,000 Sole CapitalSource Inc NOTE 7.250% 7/1 14055XAG7 47,251 49,673,000 Sole Carnival Corporation DBCV 2.000% 4/1 143658AN2 148,919 143,019,000 Sole Cell Therapeutic, Inc NOTE 4.000% 7/0 150934AF4 27,240 27,515,000 Sole Central European Dist NOTE 3.000% 3/1 153435AA0 4,660 5,590,000 Sole Cephalon Inc NOTE 2.000% 6/0 156708AP4 1,293 1,000,000 Sole Cephalon Inc NOTE 2.500% 5/0 156708AR0 52,284 49,605,000 Sole Charles River Labs NOTE 2.250% 6/1 159864AB3 2,133 2,232,000 Sole Chemed Corporation NOTE 1.875% 5/1 16359RAC7 26,149 28,462,000 Sole Chesapeake Energy Corp NOTE 2.500% 5/1 165167CA3 36,663 47,345,000 Sole Chesapeake Energy Corp NOTE 2.250%12/1 165167CB1 15,808 21,880,000 Sole China Medical Tech NOTE 4.000% 8/1 169483AC8 13,899 20,900,000 Sole Commscope, Inc NOTE 3.250% 7/0 203372AG2 2,395 2,200,000 Sole Danaher Corporation NOTE 1/2 235851AF9 66,729 61,715,000 Sole Delta Petroleum Corp NOTE 3.750% 5/0 247907AD0 1,361 1,723,000 Sole Dixie Group, Inc SDCV 7.000% 5/1 255519AA8 145 158,000 Sole Dominion Resources Inc NOTE 2.125%12/1 25746UAT6 106,411 94,851,000 Sole DryShips Inc NOTE 5.000%12/0 262498AB4 13,831 18,675,000 Sole EMC Corp A NOTE 1.750%12/0 268648AK8 103,924 85,490,000 Sole EMC Corp B NOTE 1.750%12/0 268648AM4 61,215 48,320,000 Sole EarthLink, Inc NOTE 3.250%11/1 270321AA0 1,611 1,500,000 Sole Empire Resorts, Inc NOTE 8.000% 7/3 292052AB3 3,825 4,500,000 Sole Endeavor Intl Corp NOTE 6.000% 1/1 29257MAB6 25,150 28,483,000 Sole Energy Conversion Dev NOTE 3.000% 6/1 292659AA7 10,360 18,500,000 Sole EnPro Industries, Inc DBCV 3.938%10/1 29355XAB3 42,364 40,637,000 Sole Epicor Software Corp NOTE 2.375% 5/1 29426LAA6 368 410,000 Sole Exterran Holdings Inc NOTE 4.250% 6/1 30225XAA1 59,691 46,445,000 Sole Thermo Fisher Scient NOTE 3.250% 3/0 338032AX3 16,530 13,015,000 Sole Gilead Sciences, Inc NOTE 0.625% 5/0 375558AH6 108,117 97,075,000 Sole Global Crossing Ltd NOTE 5.000% 5/1 37932JAA1 6,830 6,847,000 Sole GMX Resources Inc NOTE 4.500% 5/0 38011MAJ7 4,531 6,498,000 Sole Goldcorp, Inc NOTE 2.000% 8/0 380956AB8 85,119 72,652,000 Sole Great Atlantic & Pac NOTE 6.750%12/1 390064AK9 17,325 22,500,000 Sole Wilson Greatbatch Tech SDCV 2.250% 6/1 39153LAB2 1,800 2,000,000 Sole Greenbrier Companies NOTE 2.375% 5/1 393657AD3 4,623 5,708,000 Sole Headwaters Incorporated NOTE 2.500% 2/0 42210PAD4 16,372 23,050,000 Sole Hertz Global Holdings NOTE 5.250% 6/0 42805TAA3 2,998 2,250,000 Sole Horizon Lines Inc NOTE 4.250% 8/1 44044KAB7 19,111 22,550,000 Sole iStar Financial FRNT 10/0 45031UBF7 10,360 14,000,000 Sole Illumina Inc NOTE 0.625% 2/1 452327AB5 3,137 1,570,000 Sole Intel Corp SDCV 2.950%12/1 458140AD2 324 340,000 Sole Interpublic Group NOTE 4.250% 3/1 460690BA7 6,717 6,650,000 Sole Interpublic Group NOTE 4.750% 3/1 460690BE9 24,200 23,610,000 Sole Invacare Corp SDCV 4.125% 2/0 461203AD3 2,102 2,048,000 Sole Life Technologies NOTE 2.000% 8/0 46185RAJ9 1,941 1,400,000 Sole Life Technologies NOTE 1.500% 2/1 46185RAK6 30,137 27,397,000 Sole Life Technologies NOTE 3.250% 6/1 46185RAM2 2,827 2,502,000 Sole Janus Capital Group Inc NOTE 3.250% 7/1 47102XAG0 24,956 24,786,000 Sole Jazz Technologies Inc NOTE 8.000%12/3 47214EAA0 34,955 36,036,000 Sole Jefferies Group, Inc DBCV 3.875%11/0 472319AG7 28,303 30,030,000 Sole L-1 Identity Solutions NOTE 3.750% 5/1 50212AAB2 4,593 4,945,000 Sole L-3 Communications Hold DEBT 3.000% 8/0 502413AW7 10,748 10,741,000 Sole Level 3 Communications NOTE 3.500% 6/1 52729NBK5 13,789 15,493,000 Sole Level 3 Communications NOTE 15.000% 1/1 52729NBM1 2,809 2,500,000 Sole Level 3 Communications NOTE 7.000% 3/1 52729NBP4 43,660 44,950,000 Sole Liberty Media DEB 3.500% 1/1 530715AN1 52,890 118,853,000 Sole Liberty Media DEB 3.250% 3/1 530715AR2 87,890 152,111,000 Sole Liberty Media DEB 3.125% 3/3 530718AF2 88,745 85,332,000 Sole LifePoint Hospitals NOTE 3.500% 5/1 53219LAH2 2,065 2,229,000 Sole Live Nation Inc NOTE 2.875% 7/1 538034AB5 1,205 1,450,000 Sole MGIC Investment Corp NOTE 5.000% 5/0 552848AD5 3,000 3,340,000 Sole Seagate Technology NOTE 2.375% 8/1 577729AE6 2,018 2,000,000 Sole McMoRan Exploration NOTE 5.250%10/0 582411AE4 324 304,000 Sole Medtronic, Inc NOTE 1.625% 4/1 585055AM8 104,780 104,513,000 Sole Micron Technology, Inc NOTE 1.875% 6/0 595112AH6 21,501 24,400,000 Sole Millipore Corp NOTE 3.750% 6/0 601073AD1 1,711 1,367,000 Sole Molson Coors Brewing NOTE 2.500% 7/3 60871RAA8 92,561 86,103,000 Sole Mylan, Inc NOTE 1.250% 3/1 628530AG2 7,899 7,840,000 Sole Mylan, Inc NOTE 3.750% 9/1 628530AJ6 1,894 1,330,000 Sole NII Holdings Inc NOTE 2.750% 8/1 62913FAF9 1,752 1,750,000 Sole Nash Finch Company FRNT 1.631% 3/1 631158AD4 2,264 5,250,000 Sole PNC Financial Serv Grp NOTE 4.000% 2/0 635405AW3 253 250,000 Sole National Retail Prop NOTE 3.950% 9/1 637417AA4 2,105 2,000,000 Sole Navistar Intl NOTE 3.000%10/1 63934EAL2 10,116 8,660,000 Sole NetApp, Inc NOTE 1.750% 6/0 64110DAB0 1,754 1,364,000 Sole Newell Rubbermaid Inc NOTE 5.500% 3/1 651229AH9 3,470 1,900,000 Sole Newmont Mining Corp NOTE 1.250% 7/1 651639AH9 141,350 98,976,000 Sole Newmont Mining Corp NOTE 1.625% 7/1 651639AJ5 231 160,000 Sole Old Republic Intl Corp NOTE 8.000% 5/1 680223AF1 31,211 26,023,000 Sole Omnicom Group NOTE 7/3 681919AV8 14,981 15,000,000 Sole Onyx Pharmaceuticals NOTE 4.000% 8/1 683399AB5 628 680,000 Sole PMI Group, Inc NOTE 4.500% 4/1 69344MAK7 2,647 3,860,000 Sole Pixelworks SDCV 1.750% 5/1 72581MAB3 7,479 7,750,000 Sole Barrick Gold Corp DBCV 2.750%10/1 725906AK7 2,259 1,220,000 Sole Playboy Enterprises NOTE 3.000% 3/1 728117AB8 13,312 14,629,000 Sole Powerwave Technologies NOTE 3.875%10/0 739363AF6 12,826 17,845,000 Sole ProLogis NOTE 2.250% 4/0 743410AQ5 2,869 3,040,000 Sole ProLogis NOTE 2.625% 5/1 743410AS1 14,172 15,725,000 Sole ProLogis NOTE 3.250% 3/1 743410AY8 36,248 40,220,000 Sole PDL BioPharma Inc NOTE 2.000% 2/1 74369LAF0 2,171 2,300,000 Sole Providence Service Corp NOTE 6.500% 5/1 743815AB8 12,615 14,500,000 Sole Rayonier Inc NOTE 3.750%10/1 75508AAB2 34,027 32,601,000 Sole Rentech, Inc NOTE 4.000% 4/1 760112AA0 2,800 4,087,000 Sole Rite Aid Corp NOTE 8.500% 5/1 767754BU7 7,779 8,619,000 Sole School Specialty Inc NOTE 3.750% 8/0 807863AE5 3,092 3,100,000 Sole School Specialty, Inc SDCV 3.750%11/3 807863AL9 4,524 4,750,000 Sole Sirius XM Radio Inc NOTE 3.250%10/1 82966UAD5 3,576 3,710,000 Sole Sotheby's NOTE 3.125% 6/1 835898AC1 4,855 5,000,000 Sole Spartan Stores, Inc NOTE 3.375% 5/1 846822AE4 1,077 1,245,000 Sole Stanley Black & Decker FRNT 5/1 854616AM1 29,666 27,500,000 Sole Steel Dynamics, Inc NOTE 5.125% 6/1 858119AP5 14,982 13,913,000 Sole Sterlite Industries Ltd NOTE 4.000%10/3 859737AB4 74,511 80,025,000 Sole Stewart Enterprises NOTE 3.375% 7/1 860370AK1 5,059 5,733,000 Sole Symantec Corporation NOTE 1.000% 6/1 871503AF5 69,046 67,900,000 Sole Terex Corp NOTE 4.000% 6/0 880779AV5 1,344 1,000,000 Sole Teva Pharm DBCV 0.250% 2/0 88163VAE9 2,926 2,500,000 Sole Teva Pharm NOTE 1.750% 2/0 88165FAA0 76,211 66,270,000 Sole 3M Co NOTE 11/2 88579YAB7 112,724 121,864,000 Sole Time Warner Telecom Inc DBCV 2.375% 4/0 887319AC5 2,103 1,947,000 Sole Transocean Inc NOTE 1.625%12/1 893830AU3 354 370,000 Sole Transocean Inc NOTE 1.500%12/1 893830AV1 24,807 27,950,000 Sole Transocean Inc NOTE 1.500%12/1 893830AW9 3,398 4,100,000 Sole Trico Marine Services NOTE 3.000% 1/1 896106AQ4 1,940 12,550,000 Sole Trico Marine Services DBCV 8.125% 2/0 896106AW1 6,880 13,760,000 Sole UAL Corporation NOTE 6.000%10/1 902549AJ3 2,486 1,000,000 Sole USEC Inc NOTE 3.000%10/0 90333EAC2 4,729 6,500,000 Sole US Airways Group, Inc NOTE 7.000% 9/3 90341WAB4 24,075 23,955,000 Sole United States Steel NOTE 4.000% 5/1 912909AE8 1,743 1,250,000 Sole VeriFone Holdings, Inc NOTE 1.375% 6/1 92342YAB5 4,573 4,960,000 Sole Virgin Media Inc NOTE 6.500%11/1 92769LAB7 21,704 18,600,000 Sole WCI Communities NOTE 4.000% 8/1 92923CAK0 79 15,826,000 Sole Wesco International DBCV 6.000% 9/1 95082PAH8 4,354 3,084,000 Sole Western Refining, Inc NOTE 5.750% 6/1 959319AC8 21,787 28,670,000 Sole Wyndham Worldwide Corp NOTE 3.500% 5/0 98310WAC2 1,986 1,220,000 Sole 3,765,487
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