-----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, LUy0Yp9PqK/gOXxllTgUpkLAtpG/tvpkxBbcVQq6d/AFzUDfypT3T1gr/7FZFi3u 6K8aEghI+6ngTaRM2Q/DXQ== 0001009012-10-000013.txt : 20101027 0001009012-10-000013.hdr.sgml : 20101027 20101026180033 ACCESSION NUMBER: 0001009012-10-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101027 DATE AS OF CHANGE: 20101026 EFFECTIVENESS DATE: 20101027 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: 101143137 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 qrtlyfiling13f093010.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2049 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 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 October 26, 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: 159 Form 13F Information Table Value Total: $3,789,955 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 Hold PFD PRP INC EQ G05384113 18,659 333,910 Sole 333,910 Radio One CL D NON VTG 75040P405 880 1,000,000 Sole 1,000,000 Mirant *W EXP 01/03/2011 60467R126 1 65,200 Sole 65,200 Mirant *W EXP 01/03/2011 60467R118 4 259,900 Sole 259,900 Fly Leasing SPONSORED ADR 34407D109 1,044 79,597 Sole 79,597 FiberTower Corp COM NEW 31567R209 12,323 2,906,462 Sole 2,906,462 iPath S&P 500 VIX ETN ST ETN 06740C527 1,729 100,000 Sole 100,000 JP Morgan Chase & Co. *W EXP 10/28/2018 46634E114 2,622 224,639 Sole 224,639 Zions Bancorporation *W EXP 05/22/2020 989701115 589 100,000 Sole 100,000 Wells Fargo & Company PERP PFD CNV A 949746804 16,498 16,400 Sole 16,400 Wells Fargo & Company *W EXP 10/28/2018 949746119 788 100,000 Sole 100,000 Raytheon Company *W EXP 06/16/2011 755111119 475 52,500 Sole 52,500 MGIC Investment Corp COM 552848103 1,030 111,600 None 0 Ford Trust PFD TR CV6.5% 345395206 37,528 783,294 Sole 783,294 Ford Motor Co *W EXP 01/01/2013 345370134 13,385 3,120,000 Sole 3,120,000 Fifth Third Bancorp CNV PFD DEP1/250 316773209 74,406 577,911 Sole 577,911 Emmis Communications PFD CV SER A 291525202 2,842 173,287 Sole 173,287 Durect Corporation COM 266605104 9,401 3,701,254 Sole 3,701,254 Bank of America 7.25%CNV PFD L 060505682 359 365 Sole 365 Bank of America *W EXP 01/16/2019 060505146 673 103,900 Sole 103,900 AGCO Corp NOTE 1.250%12/1 001084AM4 1,122 950,000 Sole AMR Corporation NOTE 6.250%10/1 001765BC9 14,658 14,900,000 Sole Advanced Micro Devices NOTE 6.000% 5/0 007903AL1 873 882,000 Sole Affiliated Managers Gr NOTE 3.950% 8/1 008252AL2 42,008 41,235,000 Sole Alcoa Inc NOTE 5.250% 3/1 013817AT8 3,411 1,700,000 Sole Allegheny Technologies NOTE 4.250% 6/0 01741RAD4 48,313 35,655,000 Sole Allergan, Inc NOTE 1.500% 4/0 018490AL6 53,032 46,316,000 Sole Alliance Data Systems NOTE 1.750% 8/0 018581AD0 84,573 82,010,000 Sole Alliant Techsystems NOTE 2.750% 2/1 018804AH7 1,004 1,000,000 Sole Alliant Techsystems NOTE 2.750% 9/1 018804AN4 939 931,000 Sole Johnson & Johnson SDCV 7/2 02261WAB5 139,738 155,697,000 Sole American Medical Syst NOTE 4.000% 9/1 02744MAB4 1,402 1,122,000 Sole Amylin Pharmaceuticals NOTE 3.000% 6/1 032346AF5 1,435 1,570,000 Sole Annaly Mortgage Mmgt NOTE 4.000% 2/1 035710AA0 2,756 2,500,000 Sole Arcelormittal NOTE 5.000% 5/1 03938LAK0 108,794 82,070,000 Sole Beckman Coulter, Inc NOTE 2.500%12/1 075811AD1 153 150,000 Sole Best Buy Co. SDCV 2.250% 1/1 086516AF8 135,228 123,518,000 Sole BlackRock, Inc DBCV 2.625% 2/1 09247XAB7 1,724 1,000,000 Sole Borgwarner Inc NOTE 3.500% 4/1 099724AF3 10,555 6,323,000 Sole Cameron International NOTE 2.500% 6/1 13342BAB1 98,818 76,307,000 Sole CapitalSource Inc SDCV 4.000% 7/1 14055XAE2 5,792 5,850,000 Sole CapitalSource Inc NOTE 7.250% 7/1 14055XAG7 44,450 44,673,000 Sole Carnival Corporation DBCV 2.000% 4/1 143658AN2 139,957 136,790,000 Sole Central European Distr NOTE 3.000% 3/1 153435AA0 5,073 5,590,000 Sole Cephalon Inc NOTE 2.000% 6/0 156708AP4 2,836 2,000,000 Sole Cephalon Inc NOTE 2.500% 5/0 156708AR0 56,093 49,695,000 Sole Charles River Labs NOTE 2.250% 6/1 159864AB3 2,199 2,232,000 Sole Chemed Corporation NOTE 1.875% 5/1 16359RAC7 27,501 28,462,000 Sole Chesapeake Energy Corp NOTE 2.500% 5/1 165167CA3 30,163 34,845,000 Sole China Medical Tech NOTE 4.000% 8/1 169483AC8 17,530 20,900,000 Sole Continental Airlines NOTE 5.000% 6/1 210795PJ3 8,582 6,800,000 Sole Danaher Corporation NOTE 1/2 235851AF9 72,943 61,715,000 Sole Delta Petroleum Corp NOTE 3.750% 5/0 247907AD0 7,734 9,667,000 Sole Dixie Group, Inc SDCV 7.000% 5/1 255519AA8 155 158,000 Sole Dominion Resources Inc NOTE 2.125%12/1 25746UAT6 111,598 90,246,000 Sole DryShips Inc NOTE 5.000%12/0 262498AB4 18,213 19,375,000 Sole EMC Corp A NOTE 1.750%12/0 268648AK8 112,051 85,340,000 Sole EMC Corp B NOTE 1.750%12/0 268648AM4 70,270 50,920,000 Sole Equity Residential Prop NOTE 3.850% 8/1 26884AAV5 2,074 2,000,000 Sole EarthLink, Inc FRNT 3.250%11/1 270321AA0 1,759 1,500,000 Sole Empire Resorts NOTE 8.000% 7/3 292052AB3 3,237 3,807,692 Sole Endeavor Intl Corp NOTE 6.000% 1/1 29257MAB6 28,484 29,983,000 Sole Energy Conversion Dev NOTE 3.000% 6/1 292659AA7 12,950 18,500,000 Sole EnPro Industries, Inc DBCV 3.938%10/1 29355XAB3 49,191 43,032,000 Sole Epicor Software Corp NOTE 2.375% 5/1 29426LAA6 387 410,000 Sole Exide Technologies FRNT 9/1 302051AL1 1,444 2,000,000 Sole Exterran Holdings Inc NOTE 4.250% 6/1 30225XAA1 77,584 64,485,000 Sole Finisar Corporation NOTE 5.000%10/1 31787AAK7 3,864 2,000,000 Sole Thermo Fisher Scient NOTE 3.250% 3/0 338032AX3 96,459 76,669,000 Sole Genco Shipping & Trad NOTE 5.000% 8/1 36869MAA3 12,312 11,500,000 Sole Gilead Sciences, Inc NOTE 0.625% 5/0 375558AH6 136,324 124,072,000 Sole Global Crossing Ltd NOTE 5.000% 5/1 37932JAA1 3,841 3,827,000 Sole GMX Resources Inc NOTE 5.000% 2/0 38011MAB4 14,772 18,350,000 Sole GMX Resources Inc NOTE 4.500% 5/0 38011MAJ7 7,359 11,498,000 Sole Goldcorp, Inc NOTE 2.000% 8/0 380956AB8 102,635 84,127,000 Sole Great Atlantic & Pac NOTE 6.750%12/1 390064AK9 12,431 22,500,000 Sole Wilson Greatbatch Techn SDCV 2.250% 6/1 39153LAB2 2,447 2,600,000 Sole Greenbrier Companies NOTE 2.375% 5/1 393657AD3 5,109 5,708,000 Sole Headwaters Incorporated NOTE 2.500% 2/0 42210PAD4 18,267 23,050,000 Sole Hertz Global Holdings NOTE 5.250% 6/0 42805TAA3 3,313 2,250,000 Sole Horizon Lines Inc NOTE 4.250% 8/1 44044KAB7 23,314 25,550,000 Sole Hutchinson Technology NOTE 3.250% 1/1 448407AF3 9,555 13,000,000 Sole iStar Financial FRNT 10/0 45031UBF7 10,850 14,000,000 Sole Illumina Inc NOTE 0.625% 2/1 452327AB5 3,545 1,570,000 Sole Intel Corp SDCV 2.950%12/1 458140AD2 337 340,000 Sole International Game Tech NOTE 3.250% 5/0 459902AQ5 144,802 133,182,000 Sole Interpublic Group NOTE 4.750% 3/1 460690BE9 26,753 23,610,000 Sole Invacare Corp SDCV 4.125% 2/0 461203AD3 2,478 2,048,000 Sole Life Technologies NOTE 1.500% 2/1 46185RAK6 49,077 43,145,000 Sole Life Technologies NOTE 3.250% 6/1 46185RAM2 2,793 2,502,000 Sole Janus Capital Group Inc NOTE 3.250% 7/1 47102XAG0 28,411 24,786,000 Sole Jefferies Group, Inc DBCV 3.875%11/0 472319AG7 30,405 30,030,000 Sole KEMET Corp NOTE 2.250%11/1 488360AB4 13,004 13,761,000 Sole L-3 Communications Hold DEBT 3.000% 8/0 502413AW7 938 931,000 Sole Level 3 Communications NOTE 3.500% 6/1 52729NBK5 11,257 11,843,000 Sole Level 3 Communications NOTE 15.000%1/1 52729NBM1 7,818 7,000,000 Sole Level 3 Communications NOTE 7.000% 3/1 52729NBP4 39,729 42,950,000 Sole Liberty Media DEB 3.500% 1/1 530715AN1 726 1,355,000 Sole Liberty Media DEB 3.250% 3/1 530715AR2 104,605 156,711,000 Sole Liberty Media DEB 3.125% 3/3 530718AF2 94,699 86,192,000 Sole LifePoint Hospitals NOTE 3.500% 5/1 53219LAH2 2,226 2,229,000 Sole Live Nation Inc NOTE 2.875% 7/1 538034AB5 2,098 2,450,000 Sole MGIC Investment Corp NOTE 5.000% 5/0 552848AD5 3,641 3,340,000 Sole McMoRan Exploration NOTE 5.250%10/0 582411AE4 361 304,000 Sole Medtronic, Inc NOTE 1.625% 4/1 585055AM8 7,990 7,980,000 Sole Micron Technology, Inc NOTE 1.875% 6/0 595112AH6 23,610 26,380,000 Sole Molson Coors Brewing Co NOTE 2.500% 7/3 60871RAA8 93,365 83,302,000 Sole Morgans Hotel Group NOTE 2.375%10/1 61748WAB4 5,653 7,500,000 Sole Mylan, Inc NOTE 3.750% 9/1 628530AJ6 3,150 2,000,000 Sole Nash Finch Company NOTE 1.631% 3/1 631158AD4 2,630 5,250,000 Sole PNC Finl Services Group NOTE 4.000% 2/0 635405AW3 253 250,000 Sole National Retail Prop NOTE 3.950% 9/1 637417AA4 2,241 2,000,000 Sole Navistar Intl NOTE 3.000%10/1 63934EAL2 7,904 7,010,000 Sole NetApp, Inc NOTE 1.750% 6/0 64110DAB0 2,224 1,364,000 Sole Newmont Mining Corp NOTE 1.625% 7/1 651639AJ5 236 160,000 Sole Ocwen Financial NOTE 3.250% 8/0 675746AD3 1,433 1,500,000 Sole Old Republic Intl Corp NOTE 8.000% 5/1 680223AF1 33,704 25,753,000 Sole Omnicom Group NOTE 7/0 682134AA9 104,072 104,228,000 Sole Onyx Pharmaceuticals NOTE 4.000% 8/1 683399AB5 702 680,000 Sole PMI Group, Inc NOTE 4.500% 4/1 69344MAK7 2,047 2,360,000 Sole Pixelworks SDCV 1.750% 5/1 72581MAB3 5,482 5,580,000 Sole Barrick Gold Corp DBCV 2.750%10/1 725906AK7 2,307 1,220,000 Sole Playboy Enterprises NOTE 3.000% 3/1 728117AB8 9,986 10,375,000 Sole Powerwave Technologies NOTE 3.875%10/0 739363AF6 13,651 17,845,000 Sole ProLogis NOTE 2.250% 4/0 743410AQ5 2,953 3,040,000 Sole ProLogis NOTE 2.625% 5/1 743410AS1 119 125,000 Sole ProLogis NOTE 3.250% 3/1 743410AY8 27,378 27,690,000 Sole Providence Service Corp NOTE 6.500% 5/1 743815AB8 13,920 14,500,000 Sole Rayonier Inc NOTE 3.750%10/1 75508AAB2 39,566 36,051,000 Sole Rentech, Inc NOTE 4.000% 4/1 760112AA0 4,544 6,140,000 Sole Rite Aid Corp NOTE 8.500% 5/1 767754BU7 11,513 12,087,000 Sole SBA Communications Corp NOTE 4.000%10/0 78388JAM8 2,949 2,000,000 Sole SVB Financial Group NOTE 3.875% 4/1 78486QAB7 6,750 6,597,000 Sole School Specialty, Inc SDCV 3.750%11/3 807863AL9 5,578 5,750,000 Sole Sirius XM Radio Inc NOTE 3.250%10/1 82966UAD5 3,687 3,710,000 Sole Sotheby's NOTE 3.125% 6/1 835898AC1 2,529 2,000,000 Sole Stanley Black & Decker FRNT 5/1 854616AM1 32,251 28,620,000 Sole Steel Dynamics, Inc NOTE 5.125% 6/1 858119AP5 13,623 12,003,000 Sole Sterlite Industries Ltd NOTE 4.000%10/3 859737AB4 78,425 80,695,000 Sole Stewart Enterprises, NOTE 3.375% 7/1 860370AK1 5,174 5,733,000 Sole Symantec Corporation NOTE 1.000% 6/1 871503AF5 67,600 62,520,000 Sole Take-Two Intract Soft NOTE 4.375% 6/0 874054AA7 2,363 2,000,000 Sole Teleflex Incorporated NOTE 3.875% 8/0 879369AA4 11,745 10,800,000 Sole Teva Pharm DBCV 0.250% 2/0 88163VAE9 10,518 8,675,000 Sole 3M Co NOTE 11/2 88579YAB7 132,512 144,035,000 Sole Time Warner Telecom DBCV 2.375% 4/0 887319AC5 2,425 2,080,000 Sole Transocean Inc NOTE 1.625%12/1 893830AU3 369 370,000 Sole Transocean Inc NOTE 1.500%12/1 893830AV1 1,173 1,200,000 Sole Transocean Inc NOTE 1.500%12/1 893830AW9 3,903 4,060,000 Sole Trico Marine Services NOTE 3.000% 1/1 896106AQ4 1,002 10,550,000 Sole Trico Marine Services DBCV 8.125% 2/0 896106AW1 421 2,760,000 Sole Tyson Foods, Inc NOTE 3.250%10/1 902494AP8 23,675 20,000,000 Sole UAL Corporation NOTE 6.000%10/1 902549AJ3 2,879 1,000,000 Sole USEC Inc NOTE 3.000%10/0 90333EAC2 5,155 6,500,000 Sole United States Steel NOTE 4.000% 5/1 912909AE8 1,934 1,250,000 Sole Virgin Media Inc NOTE 6.500%11/1 92769LAB7 26,709 18,100,000 Sole Western Refining, Inc NOTE 5.750% 6/1 959319AC8 25,747 30,470,000 Sole Wyndham Worldwide Corp NOTE 3.500% 5/0 98310WAC2 2,708 1,220,000 Sole Xilinx, Inc SDCV 3.125% 3/1 983919AD3 4,946 5,050,000 Sole 3,789,955
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