0001009012-16-000029.txt : 20161104
0001009012-16-000029.hdr.sgml : 20161104
20161104110304
ACCESSION NUMBER: 0001009012-16-000029
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161104
DATE AS OF CHANGE: 20161104
EFFECTIVENESS DATE: 20161104
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05338
FILM NUMBER: 161974051
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/A
1
primary_doc.xml
13F-HR/A
LIVE
false
false
false
0001009012
XXXXXXXX
09-30-2016
09-30-2016
true
1
RESTATEMENT
ZAZOVE ASSOCIATES LLC
1033 SKOKIE BLVD., SUITE 310
NORTHBROOK
IL
60062
13F HOLDINGS REPORT
028-05338
N
Steven Kleiman
Chief Operating Officer
8472397100
Steven Kleiman
Northbrook
IL
11-04-2016
0
109
2165
false
INFORMATION TABLE
2
13F093016amd.xml
SCHEDULE 13F
AMERICAN INTERNATIONAL GROUP
*W EXP 01/19/202
026874156
259
12220
SH
SOLE
12220
0
0
APOLLO SENIOR FLOATING RATE
COM
037636107
246
14507
SH
SOLE
14507
0
0
BANK OF AMERICA
*W EXP 01/16/201
060505146
1587
343568
SH
SOLE
343568
0
0
BLACKROCK DEBT STRATEGIES FUND INC
COM
09255R103
555
152006
SH
SOLE
152006
0
0
BLACKSTONE / GSO SENIOR FLOATING RATE TERM FUND
COM
09256U105
562
33375
SH
SOLE
33375
0
0
BROOKFIELD TOTAL RETURN FUND
COM
11283U108
850
37929
SH
SOLE
37929
0
0
CAPITAL ONE FINANCIAL CORPORATION
*W EXP 11/14/201
14040H139
576
18940
SH
SOLE
18940
0
0
COHEN & STEERS INFRASTRUCTURE FUND
COM
19248A109
576
26758
SH
SOLE
26758
0
0
COHEN & STEERS CLOSED-END OPPORTUNITY FUND
COM
19248P106
603
49031
SH
SOLE
49031
0
0
CUMULUS MEDIA INC
CL A
231082108
1794
5436616
SH
SOLE
5436616
0
0
DUFF & PHELPS GLOBAL UTILITY INCOME FUND
COM
26433C105
578
33833
SH
SOLE
33833
0
0
DURECT CORPORATION
COM
266605104
354
255000
SH
SOLE
255000
0
0
EASTMAN KODAK
*W EXP 09/03/201
277461133
43
11700
SH
SOLE
11700
0
0
EASTMAN KODAK
*W EXP 09/03/201
277461141
31
11700
SH
SOLE
11700
0
0
EATON VANCE LIMITED DURATION INCOME FUND
COM
27828H105
3458
252198
SH
SOLE
252198
0
0
EATON VANCE SHORT DURATION DIVERSIFIED INC FUND
COM
27828V104
255
18602
SH
SOLE
18602
0
0
EMMIS COMMUNICATIONS
COM NEW CL A
291525400
2477
611585
SH
SOLE
611585
0
0
FELCOR LODGING TRUST INC
PFD CV A $1 95
31430F200
940
37500
SH
SOLE
37500
0
0
GDL FUND
COM SH BEN IT
361570104
225
22652
SH
SOLE
22652
0
0
GABELLI CONVERTIBLE AND INCOME FUND
COM SH BEN INT
36242L105
555
30347
SH
SOLE
30347
0
0
GENERAL MOTORS CORP
*W EXP 07/10/201
37045V126
15809
1132476
SH
SOLE
1132476
0
0
IRIDIUM COMMUNICATIONS
PERP PFD CNV B
46269C409
3169
10580
SH
SOLE
10580
0
0
KEYCORP
PFD 7 75 SR A
493267405
1599
11713
SH
SOLE
11713
0
0
KINDER MORGAN ENERGY PARTNERS
*W EXP 05/25/201
49456B119
189
12576332
SH
SOLE
12576332
0
0
NEW YORK COMMUNITY BANCORP TRUST
UNIT 11/01/2051
64944P307
39561
790431
PRN
SOLE
790431
0
0
NUVEEN SENIOR INCOME FUND SBI
COM
67067Y104
221
33844
PRN
SOLE
33844
0
0
NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND
COM SHS
6706EN100
326
29447
PRN
SOLE
29447
0
0
NUVEEN FLOATING RATE INCOME FUND
COM
67072T108
295
26758
PRN
SOLE
26758
0
0
NUVEEN CREDIT STRATEGIES INCOME FUND
COM SHS
67073D102
2576
303805
PRN
SOLE
303805
0
0
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
COM
67074X107
684
40640
PRN
SOLE
40640
0
0
PIONEER FLOATING RATE TRUST
COM
72369J102
564
47798
PRN
SOLE
47798
0
0
RADIO ONE INC
CL D NON VTG
75040P405
5169
1706031
PRN
SOLE
1706031
0
0
WELLS FARGO & COMPANY
PERP PFD CNV A
949746804
9252
7069
PRN
SOLE
7069
0
0
WELLTOWER INC
6 50 PFD PREPET
95040Q203
83835
1256338
PRN
SOLE
1256338
0
0
AIR LEASE CORPORATION
NOTE 3 875 12/0
00912XAK0
61088
49213000
PRN
SOLE
0
0
0
AKAMAI TECH
DBCV 2/1
00971TAG6
11424
11650000
PRN
SOLE
0
0
0
ALON USA ENERGY INC
NOTE 3 000 9/1
020520AB8
38622
40309000
PRN
SOLE
0
0
0
ALTRA HOLDINGS INC
NOTE 2 750 3/0
02208RAE6
8930
7465000
PRN
SOLE
0
0
0
JOHNSON & JOHNSON
SDCV 7/2
02261WAB5
80686
49613000
PRN
SOLE
0
0
0
AMERICAN REALTY CAPITAL PROPERTIES INC
NOTE 3 000 8/0
02917TAA2
1000
1000000
PRN
SOLE
0
0
0
AMTRUST FINANCIAL SERVICES INC
NOTE 2 750 12/1
032359AG6
10036
11560000
PRN
SOLE
0
0
0
AMYRIS
NOTE 6 500 5/1
03236MAC5
5525
14932000
PRN
SOLE
0
0
0
B2GOLD CORPORATION
NOTE 3 250 10/0
11777QAB6
16271
15855000
PRN
SOLE
0
0
0
CARRIAGE SERVICES
NOTE 2 750 3/1
143905AM9
28522
24274000
PRN
SOLE
0
0
0
CEMEX S A
NOTE 3 750 3/1
151290BC6
12545
11170000
PRN
SOLE
0
0
0
CITRIX SYSTEMS INC
NOTE 0 500 4/1
177376AD2
94502
83416000
PRN
SOLE
0
0
0
COLONY CAPITAL INC
NOTE 5 000 4/1
19624RAA4
2009
2020000
PRN
SOLE
0
0
0
COLONY CAPITAL INC
NOTE 3 875 1/1
19624RAB2
38463
39525000
PRN
SOLE
0
0
0
CORENERGY INFRASTRUCTURE TRUST
NOTE 7 000 6/1
21870UAA4
22070
21730000
PRN
SOLE
0
0
0
COWEN GROUP INC
NOTE 3 000 3/1
223622AB7
32013
32792000
PRN
SOLE
0
0
0
DEPOMED INC
NOTE 2 500 9/0
249908AA2
1429
1000000
PRN
SOLE
0
0
0
DYCOM INDUSTRIES INC
NOTE 0 750 9/1
267475AB7
32390
29580000
PRN
SOLE
0
0
0
ELECTRONICS FOR IMAGING
NOTE 0 750 9/0
286082AC6
39152
35272000
PRN
SOLE
0
0
0
ENERNOC INC
DBCV 2 250 8/1
292764AB3
14710
19980000
PRN
SOLE
0
0
0
EURONET WORLDWIDE INC
NOTE 1 500 10/0
298736AH2
708
560000
PRN
SOLE
0
0
0
FXCM INC
NOTE 2 250 6/1
302693AB2
2086
4745000
PRN
SOLE
0
0
0
GSV CAPITAL CORP
NOTE 5 250 9/1
36191JAB7
1463
1595000
PRN
SOLE
0
0
0
GLOBAL EAGLE ENTERTAINMENT INC
NOTE 2 750 2/1
37951DAB8
3946
4740000
PRN
SOLE
0
0
0
GREENBRIER COMPANIES
NOTE 3 500 4/0
393657AH4
30189
26569000
PRN
SOLE
0
0
0
HORNBECK OFFSHORE SERVICES INC
NOTE 1 500 9/0
440543AN6
969
1670000
PRN
SOLE
0
0
0
TELIGENT INC
NOTE 3 750 12/1
449575AB5
10636
11036000
PRN
SOLE
0
0
0
ICONIX BRAND GROUP INC
NOTE 1 500 3/1
451055AF4
8743
10115000
PRN
SOLE
0
0
0
INTEGRATED DEVICE TECH
NOTE 0 875 11/1
458118AB2
487
480000
PRN
SOLE
0
0
0
INTEL CORP
SDCV 12/1
458140AD2
34397
24890000
PRN
SOLE
0
0
0
INTEL CORPORATION
SDCV 3 250 8/0
458140AF7
84230
46012000
PRN
SOLE
0
0
0
INTERDIGITAL INC
NOTE 1 500 3/0
458660AD9
4549
3750000
PRN
SOLE
0
0
0
JANUS CAPITAL GROUP INC
NOTE 0 750 7/1
47102XAH8
63892
46701000
PRN
SOLE
0
0
0
KEYW HOLDING CORP
NOTE 2 500 7/1
493723AA8
21260
21805000
PRN
SOLE
0
0
0
LABORATORY CORP OF AMER HLDGS
NOTE 9/1
50540RAG7
29372
15963000
PRN
SOLE
0
0
0
LAM RESEARCH CORPORATION
NOTE 1 250 5/1
512807AL2
50301
31510000
PRN
SOLE
0
0
0
LIBERTY MEDIA
DEB 3 750 2/1
530715AL5
794
1310000
PRN
SOLE
0
0
0
LIBERTY MEDIA
NOTE 1 375 10/1
531229AB8
108738
103683000
PRN
SOLE
0
0
0
MACQUARIE INFRASTRUCTURE COMPANY LLC
NOTE 2 875 7/1
55608BAA3
56703
48153000
PRN
SOLE
0
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1 625 2/1
595017AD6
36111
28212000
PRN
SOLE
0
0
0
MODUSLINK GLOBAL SOLUTIONS INC
NOTE 5 250 3/0
60786LAB3
566
700000
PRN
SOLE
0
0
0
MOLINA HEALTHCARE INC
DBCV 1 625 8/1
60855RAD2
24115
20275000
PRN
SOLE
0
0
0
NXP SEMICONDUCTORS NV
DBCV 1 000 12/0
62952QAB6
6492
5450000
PRN
SOLE
0
0
0
NATIONAL HEALTH INVESTORS INC
NOTE 3 250 4/0
63633DAE4
19696
17167000
PRN
SOLE
0
0
0
PDL BIOPHARMA INC
NOTE 4 000 2/0
69329YAF1
1539
1580000
PRN
SOLE
0
0
0
PERNIX THERAPEUTICS HOLDINGS
DBCV 4 250 4/0
71426VAK4
650
2000000
PRN
SOLE
0
0
0
PORTFOLIO RECOVERY ASSOCIATES INC
NOTE 3 000 8/0
73640QAB1
27835
30748000
PRN
SOLE
0
0
0
PRICELINE COM
NOTE 1 000 3/1
741503AQ9
131312
82954000
PRN
SOLE
0
0
0
PRICELINE COM
NOTE 0 350 6/1
741503AS5
948
740000
PRN
SOLE
0
0
0
PRICELINE COM
NOTE 0 900 9/1
741503AX4
2943
2740000
PRN
SOLE
0
0
0
PROSPECT CAPITAL CORPORATION
NOTE 4 750 4/1
74348TAQ5
80059
80864000
PRN
SOLE
0
0
0
QUANTUM CORP
NOTE 4 500 11/1
747906AJ4
1040
1100000
PRN
SOLE
0
0
0
RPM INTERNATIONAL INC
NOTE 2 250 12/1
749685AT0
40412
33640000
PRN
SOLE
0
0
0
ALCOA INC
NOTE 1 625 10/1
74973WAB3
74784
69973000
PRN
SOLE
0
0
0
REDWOOD TRUST INC
NOTE 5 625 11/1
749772AB5
611
600000
PRN
SOLE
0
0
0
RED HAT INC
NOTE 0 250 10/0
756577AD4
43799
34500000
PRN
SOLE
0
0
0
RESOURCE CAPITAL CORPORATION
NOTE 8 000 1/1
76120WAB0
9598
9550000
PRN
SOLE
0
0
0
ROYAL GOLD INC
NOTE 2 875 6/1
780287AA6
20894
18583000
PRN
SOLE
0
0
0
SAFEGUARD SCIENTIFICS
DBCV 5 250 5/1
786449AK4
2507
2450000
PRN
SOLE
0
0
0
SALESFORCE COM INC
NOTE 0 250 4/0
79466LAD6
37267
31095000
PRN
SOLE
0
0
0
SEACOR HOLDING INC
NOTE 3 000 11/1
81170YAB5
1456
1785000
PRN
SOLE
0
0
0
TERRAVIA HOLDINGS
NOTE 6 000 2/0
83415TAB7
5755
8590000
PRN
SOLE
0
0
0
TERRAVIA HOLDINGS
NOTE 5 000 10/0
83415TAC5
8143
15510000
PRN
SOLE
0
0
0
SPECTRANETICS CORPORATION
MTNF 2 625 6/0
84760CAA5
11168
10511000
PRN
SOLE
0
0
0
SPIRIT REALTY CAPITAL INC
NOTE 2 875 5/1
84860WAA0
2147
1940000
PRN
SOLE
0
0
0
SPIRIT REALTY CAPITAL INC
NOTE 3 750 5/1
84860WAB8
420
370000
PRN
SOLE
0
0
0
STILLWATER MINING CO
NOTE 1 750 10/1
86074QAL6
63281
52461000
PRN
SOLE
0
0
0
TPG SPECIALTY LENDING INC
NOTE 4 500 12/1
87265KAB8
29749
28760000
PRN
SOLE
0
0
0
TEVA PHARM
DBCV 0 250 2/0
88163VAE9
114365
95823000
PRN
SOLE
0
0
0
TRINITY INDUSTRIES INC
NOTE 3 875 6/0
896522AF6
46956
39130000
PRN
SOLE
0
0
0
TRULIA INC
NOTE 2 750 12/1
897888AB9
6894
4491000
PRN
SOLE
0
0
0
WEATHERFORD INTERNATIONAL LIMITED
NOTE 5 875 7/0
947075AH0
22083
19640000
PRN
SOLE
0
0
0
WEBMD HEALTH CORP
NOTE 2 500 1/3
94770VAF9
2605
2500000
PRN
SOLE
0
0
0
ANTHEM INC
NOTE 2 750 10/1
94973VBG1
2192
1250000
PRN
SOLE
0
0
0
XILINX INC
NOTE 2 625 6/1
983919AF8
38980
20720000
PRN
SOLE
0
0
0
AEGEAN MARINE PETROLEUM NETWORK
NOTE 4 000 11/0
Y0020QAA9
1185
1185000
PRN
SOLE
0
0
0