0001009012-16-000024.txt : 20160512
0001009012-16-000024.hdr.sgml : 20160512
20160512113404
ACCESSION NUMBER: 0001009012-16-000024
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160512
DATE AS OF CHANGE: 20160512
EFFECTIVENESS DATE: 20160512
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: 161642398
BUSINESS ADDRESS:
STREET 1: 1033 SKOKIE BLVD., SUITE 310
CITY: NORTHBROOK
STATE: IL
ZIP: 60062
BUSINESS PHONE: 8472397100
MAIL ADDRESS:
STREET 1: 1033 SKOKIE BLVD., SUITE 310
CITY: NORTHBROOK
STATE: IL
ZIP: 60062
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001009012
XXXXXXXX
03-31-2016
03-31-2016
ZAZOVE ASSOCIATES LLC
1033 SKOKIE BLVD., SUITE 310
NORTHBROOK
IL
60062
13F HOLDINGS REPORT
028-05338
N
Steven Kleiman
COO
8472397100
Steven Kleiman
Northbrook
IL
05-12-2016
0
120
2121
false
INFORMATION TABLE
2
13f033116.xml
SCHEDULE 13F
AMERICAN INTERNATIONAL GROUP
*W EXP 01/19/202
026874156
229
12220
SH
SOLE
12220
0
0
BANK OF AMERICA
COM
060505104
149
11000
SH
SOLE
11000
0
0
BANK OF AMERICA
*W EXP 01/16/201
060505146
1131
290833
SH
SOLE
290833
0
0
BLACKROCK DEBT STRATEGIES FUND INC
COM
09255R103
649
186921
SH
SOLE
186921
0
0
CUMULUS MEDIA INC
CL A
231082108
2524
5436616
SH
SOLE
5436616
0
0
DURECT CORPORATION
COM
266605104
347
256861
SH
SOLE
256861
0
0
EASTMAN KODAK
*W EXP 09/03/201
277461133
35
13144
SH
SOLE
13144
0
0
EASTMAN KODAK
*W EXP 09/03/201
277461141
24
13144
SH
SOLE
13144
0
0
EASTMAN KODAK COMPANY
COM NEW
277461406
1812
167023
SH
SOLE
167023
0
0
EATON VANCE LIMITED DURATION INCOME FUND
COM
27828H105
2660
201785
SH
SOLE
201785
0
0
EL PASO ENERGY CAPITAL TRUST
PFD CV TR SECS
283678209
952
22000
SH
SOLE
22000
0
0
EMMIS COMMUNICATION
CL A
291525103
910
1564501
SH
SOLE
1564501
0
0
EMMIS COMMUNICATIONS CORP
PFD CV SER A
291525202
522
320592
SH
SOLE
320592
0
0
GENERAL MOTORS CORP
*W EXP 07/10/201
37045V126
12252
896940
SH
SOLE
896940
0
0
IRIDIUM COMMUNICATIONS
PERP PFD CNV B
46269C409
3385
11500
SH
SOLE
11500
0
0
JP MORGAN CHASE & CO
COM
46625H100
296
5000
SH
SOLE
5000
0
0
JP MORGAN CHASE & CO
*W EXP 10/28/201
46634E114
876
49500
SH
SOLE
49500
0
0
KEYCORP
PFD 7.75 SR A
493267405
7984
61226
SH
SOLE
61226
0
0
KINDER MORGAN ENERGY PARTNERS
*W EXP 05/25/201
49456B119
459
12576332
SH
SOLE
12576332
0
0
NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND
COM SHS
6706EN100
342
34542
SH
SOLE
34542
0
0
NUVEEN FLOATING RATE INCOME FUND
COM
67072T108
323
32071
SH
SOLE
32071
0
0
NUVEEN CREDIT STRATEGIES INCOME FUND
COM SHS
67073D102
1962
248024
SH
SOLE
248024
0
0
PROSHARES ULTRA VIX SHORT-TERM FUTURES
ULT VIX SHRT
74347W312
1546
80000
SH
SOLE
80000
0
0
RADIO ONE INC
CL D NON VTG
75040P405
2818
1984333
SH
SOLE
1984333
0
0
THOMPSON CREEK METALS COMPANY INC
COM
884768102
340
1456132
SH
SOLE
1456132
0
0
WELLS FARGO & COMPANY
PERP PFD CNV A
949746804
8518
7069
SH
SOLE
7069
0
0
WELLTOWER INC
6.50 PFD PREPET
95040Q203
86930
1405382
SH
SOLE
1405382
0
0
STAR BULK CARRIERS CORP
SHS NEW
Y8162K121
304
405155
SH
SOLE
405155
0
0
ANI PHARMACEUTICALS INC
NOTE 3.000 12/0
00182CAA1
7684
8597000
PRN
SOLE
0
0
0
ACORDA THERAPEUTICS INC
NOTE 1.750 6/1
00484MAA4
3142
3515000
PRN
SOLE
0
0
0
AEGERION PHARMACEUTICALS
NOTE 2.000 8/1
00767EAB8
7761
15070000
PRN
SOLE
0
0
0
AIR LEASE CORPORATION
NOTE 3.875 12/0
00912XAK0
51525
38523000
PRN
SOLE
0
0
0
AKAMAI TECH
DBCV 2/1
00971TAG6
14672
15000000
PRN
SOLE
0
0
0
ALASKA COMMUNICATIONS SYSTEMS GROUP INC
NOTE 6.250 5/0
01167PAE1
4664
4858000
PRN
SOLE
0
0
0
ALON USA ENERGY INC
NOTE 3.000 9/1
020520AB8
15681
15981000
PRN
SOLE
0
0
0
ALTRA HOLDINGS INC
NOTE 2.750 3/0
02208RAE6
7015
6170000
PRN
SOLE
0
0
0
JOHNSON & JOHNSON
SDCV 7/2
02261WAB5
114340
76711000
PRN
SOLE
0
0
0
AMERICAN REALTY CAPITAL PROPERTIES INC
NOTE 3.000 8/0
02917TAA2
970
1000000
PRN
SOLE
0
0
0
AMYRIS
NOTE 6.500 5/1
03236MAC5
10740
16000000
PRN
SOLE
0
0
0
BGC PARTNERS INC
NOTE 4.500 7/1
05541TAD3
9758
9508000
PRN
SOLE
0
0
0
BROOKDALE SENIOR LIVING INC
NOTE 2.750 6/1
112463AA2
287
300000
PRN
SOLE
0
0
0
B2GOLD CORPORATION
NOTE 3.250 10/0
11777QAB6
16508
19565000
PRN
SOLE
0
0
0
CARRIAGE SERVICES
NOTE 2.750 3/1
143905AM9
29104
26264000
PRN
SOLE
0
0
0
CEMEX SA
NOTE 3.750 3/1
151290BC6
14555
13920000
PRN
SOLE
0
0
0
CITRIX SYSTEMS INC
NOTE 0.500 4/1
177376AD2
25413
22741000
PRN
SOLE
0
0
0
COLONY CAPITAL INC
NOTE 5.000 4/1
19624RAA4
1515
1695000
PRN
SOLE
0
0
0
COLONY CAPITAL INC
NOTE 3.875 1/1
19624RAB2
37787
42140000
PRN
SOLE
0
0
0
CORENERGY INFRASTRUCTURE TRUST
NOTE 7.000 6/1
21870UAA4
20117
25750000
PRN
SOLE
0
0
0
COWEN GROUP INC
NOTE 3.000 3/1
223622AB7
34247
36677000
PRN
SOLE
0
0
0
DEPOMED INC
NOTE 2.500 9/0
249908AA2
1418
1510000
PRN
SOLE
0
0
0
ELECTRONICS FOR IMAGING
NOTE 0.750 9/0
286082AC6
37946
36377000
PRN
SOLE
0
0
0
ENDOLOGIX INC
NOTE 2.250 12/1
29266SAA4
707
956000
PRN
SOLE
0
0
0
ENDOLOGIX INC
NOTE 3.250 11/0
29266SAB2
8396
8763000
PRN
SOLE
0
0
0
ENERNOC INC
DBCV 2.250 8/1
292764AB3
18259
25360000
PRN
SOLE
0
0
0
EURONET WORLDWIDE INC
NOTE 1.500 10/0
298736AH2
1791
1500000
PRN
SOLE
0
0
0
EZCORP INC
NOTE 2.625 6/1
302301AB2
3169
4875000
PRN
SOLE
0
0
0
FXCM INC
NOTE 2.250 6/1
302693AB2
3319
5375000
PRN
SOLE
0
0
0
GSV CAPITAL CORP
NOTE 5.250 9/1
36191JAB7
1476
1595000
PRN
SOLE
0
0
0
GLOBAL EAGLE ENTERTAINMENT INC
NOTE 2.750 2/1
37951DAB8
1530
1980000
PRN
SOLE
0
0
0
GREENBRIER COMPANIES
NOTE 3.500 4/0
393657AH4
31677
29709000
PRN
SOLE
0
0
0
HORNBECK OFFSHORE SERVICES INC
NOTE 1.500 9/0
440543AN6
1542
2560000
PRN
SOLE
0
0
0
TELIGENT INC
NOTE 3.750 12/1
449575AB5
6984
8827000
PRN
SOLE
0
0
0
ICONIX BRAND GROUP INC
NOTE 1.500 3/1
451055AF4
9800
14000000
PRN
SOLE
0
0
0
INTEGRATED DEVICE TECH
NOTE 0.875 11/1
458118AB2
3920
4190000
PRN
SOLE
0
0
0
INTEL CORP
SDCV 12/1
458140AD2
31367
24650000
PRN
SOLE
0
0
0
INTEL CORPORATION
SDCV 3.250 8/0
458140AF7
82320
51731000
PRN
SOLE
0
0
0
INTERDIGITAL INC
NOTE 1.500 3/0
458660AD9
7550
7330000
PRN
SOLE
0
0
0
IONIS PHARMACEUTICALS INC
NOTE 1.000 11/1
464337AJ3
5615
6145000
PRN
SOLE
0
0
0
JANUS CAPITAL GROUP INC
NOTE 0.750 7/1
47102XAH8
63791
44961000
PRN
SOLE
0
0
0
KEYW HOLDING CORP
NOTE 2.500 7/1
493723AA8
30039
39525000
PRN
SOLE
0
0
0
LABORATORY CORP OF AMER HLDGS
NOTE 9/1
50540RAG7
85829
54710000
PRN
SOLE
0
0
0
LAM RESEARCH CORPORATION
NOTE 0.500 5/1
512807AJ7
2152
1605000
PRN
SOLE
0
0
0
LAM RESEARCH CORPORATION
NOTE 1.250 5/1
512807AL2
41566
28180000
PRN
SOLE
0
0
0
LIBERTY MEDIA
DEB 3.750 2/1
530715AL5
740
1310000
PRN
SOLE
0
0
0
LIBERTY MEDIA
NOTE 1.375 10/1
531229AB8
101430
102068000
PRN
SOLE
0
0
0
LINKEDIN CORPORATION
NOTE 0.500 11/0
53578AAB4
363
400000
PRN
SOLE
0
0
0
MACQUARIE INFRASTRUCTURE COMPANY LLC
NOTE 2.875 7/1
55608BAA3
54868
49598000
PRN
SOLE
0
0
0
MERCADOLIBRE INC
NOTE 2.250 7/0
58733RAB8
3122
2760000
PRN
SOLE
0
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1.625 2/1
595017AD6
32017
31312000
PRN
SOLE
0
0
0
MICRON TECHNOLOGY INC
NOTE 1.625 2/1
595112AU7
530
450000
PRN
SOLE
0
0
0
MICRON TECHNOLOGY INC
NOTE 3.000 11/1
595112AY9
20846
30220000
PRN
SOLE
0
0
0
MODUSLINK GLOBAL SOLUTIONS INC
NOTE 5.250 3/0
60786LAB3
483
700000
PRN
SOLE
0
0
0
MOLINA HEALTHCARE INC
DBCV 1.625 8/1
60855RAD2
13748
10900000
PRN
SOLE
0
0
0
MONSTER WORLDWIDE
NOTE 3.500 10/1
611742AB3
5046
5500000
PRN
SOLE
0
0
0
NXP SEMICONDUCTORS NV
DBCV 1.000 12/0
62952QAB6
6019
5450000
PRN
SOLE
0
0
0
NATIONAL HEALTH INVESTORS INC
NOTE 3.250 4/0
63633DAE4
17725
17167000
PRN
SOLE
0
0
0
PDL BIOPHARMA INC
NOTE 4.000 2/0
69329YAF1
16267
17950000
PRN
SOLE
0
0
0
PORTFOLIO RECOVERY ASSOCIATES INC
NOTE 3.000 8/0
73640QAB1
26563
33308000
PRN
SOLE
0
0
0
PRICELINECOM
NOTE 1.000 3/1
741503AQ9
110110
76934000
PRN
SOLE
0
0
0
PRICELINECOM
NOTE 0.900 9/1
741503AX4
2772
2740000
PRN
SOLE
0
0
0
PROSPECT CAPITAL CORPORATION
NOTE 5.875 1/1
74348TAM4
376
400000
PRN
SOLE
0
0
0
PROSPECT CAPITAL CORPORATION
NOTE 4.750 4/1
74348TAQ5
97620
110774000
PRN
SOLE
0
0
0
RPM INTERNATIONAL INC
E 2.250 12/1
749685AT0
38716
33812000
PRN
SOLE
0
0
0
ALCOA INC
NOTE 1.625 10/1
74973WAB3
76286
72653000
PRN
SOLE
0
0
0
REDWOOD TRUST INC
NOTE 5.625 11/1
749772AB5
549
600000
PRN
SOLE
0
0
0
RED HAT INC
NOTE 0.250 10/0
756577AD4
11824
9530000
PRN
SOLE
0
0
0
RESOURCE CAPITAL CORPORATION
NOTE 8.000 1/1
76120WAB0
11283
11815000
PRN
SOLE
0
0
0
ROYAL GOLD INC
NOTE 2.875 6/1
780287AA6
18171
18830000
PRN
SOLE
0
0
0
SAFEGUARD SCIENTIFICS
DBCV 5.250 5/1
786449AK4
2796
2650000
PRN
SOLE
0
0
0
SALESFORCECOM INC
NOTE 0.250 4/0
79466LAD6
28057
22650000
PRN
SOLE
0
0
0
SEACOR HOLDING INC
NOTE 3.000 11/1
81170YAB5
1666
2145000
PRN
SOLE
0
0
0
SEACOR HOLDING INC
NOTE 2.500 12/1
811904AM3
5378
5650000
PRN
SOLE
0
0
0
SEQUENOM INC
NOTE 5.000 1/0
817337AC2
5234
7870000
PRN
SOLE
0
0
0
SERVICESOURCE INTERNATIONAL INC
NOTE 1.500 8/0
81763UAB6
1104
1380000
PRN
SOLE
0
0
0
SOLAZYME INC
NOTE 6.000 2/0
83415TAB7
4488
8590000
PRN
SOLE
0
0
0
SOLAZYME INC
NOTE 5.000 10/0
83415TAC5
7465
15510000
PRN
SOLE
0
0
0
SPECTRANETICS CORPORATION
MTNF 2.625 6/0
84760CAA5
10081
12701000
PRN
SOLE
0
0
0
SPIRIT REALTY CAPITAL INC
NOTE 2.875 5/1
84860WAA0
1940
1940000
PRN
SOLE
0
0
0
STILLWATER MINING CO
NOTE 1.750 10/1
86074QAL6
62628
58191000
PRN
SOLE
0
0
0
SUNEDISON INC
NOTE 2.000 10/0
86732YAC3
105
2400000
PRN
SOLE
0
0
0
SUNEDISON INC
NOTE 2.375 4/1
86732YAH2
257
6430000
PRN
SOLE
0
0
0
TPG SPECIALTY LENDING INC
NOTE 4.500 12/1
87265KAB8
33469
33850000
PRN
SOLE
0
0
0
TEVA PHARM
DBCV 0.250 2/0
88163VAE9
121059
93388000
PRN
SOLE
0
0
0
TIVO INC
NOTE 2.000 10/0
888706AF5
14694
15665000
PRN
SOLE
0
0
0
TRULIA INC
NOTE 2.750 12/1
897888AB9
34272
29545000
PRN
SOLE
0
0
0
ANTHEM INC
NOTE 2.750 10/1
94973VBG1
2388
1250000
PRN
SOLE
0
0
0
WORKDAY INC
NOTE 0.750 7/1
98138HAC5
7118
6285000
PRN
SOLE
0
0
0
WORKDAY INC
NOTE 1.500 7/1
98138HAD3
16284
13800000
PRN
SOLE
0
0
0
XILINX INC
NOTE 2.625 6/1
983919AF8
42256
25658000
PRN
SOLE
0
0
0
AEGEAN MARINE PETROLEUM NETWORK
NOTE 4.000 11/0
Y0020QAA9
757
940000
PRN
SOLE
0
0
0