0001009012-17-000007.txt : 20170428
0001009012-17-000007.hdr.sgml : 20170428
20170428164611
ACCESSION NUMBER: 0001009012-17-000007
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170428
DATE AS OF CHANGE: 20170428
EFFECTIVENESS DATE: 20170428
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: 17796435
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
03-31-2017
03-31-2017
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
04-28-2017
0
110
1891
false
INFORMATION TABLE
2
13f033117.xml
SCHEDULE 13F
BANK OF AMERICA
7.25 CNV PFD L
060505682
1076
900
SH
SOLE
900
0
0
FELCOR LODGING TRUST INC.
PFD CV A $1.95
31430F200
966
39700
SH
SOLE
39700
0
0
IRIDIUM COMMUNICATIONS
PERP PFD CNV B
46269C409
3587
10580
SH
SOLE
10580
0
0
WELLS FARGO COMPANY
PERP PFD CNV A
949746804
8730
7069
SH
SOLE
7069
0
0
WELLTOWER INC
6.50 PFD PREPET
95040Q203
16372
259529
SH
SOLE
259529
0
0
APOLLO SENIOR FLOATING RATE
COM
037636107
254
14507
SH
SOLE
14507
0
0
BLACKROCK DEBT STRATEGIES FUND
COM NEW
09255R202
584
50668
SH
SOLE
50668
0
0
BROOKFIELD REAL ASSETS INCOME FUND
SHS BEN INT
112830104
828
36347
SH
SOLE
36347
0
0
CLEAR CHANNEL OUTDOOR HOLDINGS INC
CL A
18451C109
285
47129
SH
SOLE
47129
0
0
COHEN STEERS CLOSED-END OPPORTUNITY FUND
COM
19248P106
608
49031
SH
SOLE
49031
0
0
COHEN STEERS INFRASTRUCTURE FUND
COM
19248A109
577
26758
SH
SOLE
26758
0
0
COLONY NORTHSTAR
CL A COM
19625W104
1100
85174
SH
SOLE
85174
0
0
CUMULUS MEDIA INC
CL A NEW
231082603
225
700576
SH
SOLE
700576
0
0
DUFF PHELPS GLOBAL UTILITY INCOME FUND
COM
26433C105
550
33833
SH
SOLE
33833
0
0
DURECT CORPORATION
COM
266605104
268
255000
SH
SOLE
255000
0
0
EATON VANCE LIMITED DURATION INCOME FUND
COM
27828H105
3488
252198
SH
SOLE
252198
0
0
EATON VANCE SHORT DURATION DIVERSIFIED INC FUND
COM
27828V104
263
18602
SH
SOLE
18602
0
0
EMMIS COMMUNICATIONS
COM NEW CL A
291525400
1974
805754
SH
SOLE
805754
0
0
GABELLI CONVERTIBLE AND INCOME FUND
COM SH BEN INT
36242L105
564
30347
SH
SOLE
30347
0
0
GDL FUND
COM SH BEN IT
361570104
1085
110269
SH
SOLE
110269
0
0
KEYCORP
COM
493267108
5197
292273
SH
SOLE
292273
0
0
NUVEEN CREDIT STRATEGIES INCOME FUND
COM SHS
67073D102
2640
303805
SH
SOLE
303805
0
0
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
COM
67074X107
54
3007
SH
SOLE
3007
0
0
PIONEER FLOATING RATE TRUST
COM
72369J102
584
47798
SH
SOLE
47798
0
0
RADIO ONE INC
CL D NON VTG
75040P405
5787
1753784
SH
SOLE
1753784
0
0
SIRIUS XM RADIO INC
COM
82968B103
515
100000
SH
SOLE
100000
0
0
KINDER MORGAN ENERGY PARTNERS
*W EXP 05/25/201
49456B119
30
12576332
SH
SOLE
12576332
0
0
EASTMAN KODAK
*W EXP 09/03/201
277461133
16
11128
SH
SOLE
11128
0
0
EASTMAN KODAK
*W EXP 09/03/201
277461141
12
11700
SH
SOLE
11700
0
0
BANK OF AMERICA
*W EXP 01/16/201
060505146
1187
105000
SH
SOLE
105000
0
0
GENERAL MOTORS CORP
*W EXP 07/10/201
37045V126
11487
643467
SH
SOLE
643467
0
0
AMERICAN INTERNATIONAL GROUP
*W EXP 01/19/202
026874156
227
10610
SH
SOLE
10610
0
0
ACETO CORP
NOTE 2.000 11/0
004446AD2
15485
16809000
PRN
SOLE
0
0
0
AIR LEASE CORPORATION
NOTE 3.875 12/0
00912XAK0
63716
44479000
PRN
SOLE
0
0
0
AKAMAI TECH
DBCV 2/1
00971TAG6
12912
13010000
PRN
SOLE
0
0
0
ALON USA ENERGY INC.
NOTE 3.000 9/1
020520AB8
23770
21559000
PRN
SOLE
0
0
0
JOHNSON JOHNSON
SDCV 7/2
02261WAB5
76248
44535000
PRN
SOLE
0
0
0
AMERICAN REALTY CAPITAL PROPERTIES INC.
NOTE 3.000 8/0
02917TAA2
1003
1000000
PRN
SOLE
0
0
0
AMYRIS
NOTE 6.500 5/1
03236MAC5
8488
15432000
PRN
SOLE
0
0
0
ARBOR REALTY TRUST
NOTE 6.500 10/0
038923AA6
1314
1250000
PRN
SOLE
0
0
0
B2GOLD CORPORATION
NOTE 3.250 10/0
11777QAB6
15221
14285000
PRN
SOLE
0
0
0
CSG SYSTEMS INTERNATIONAL INC
NOTE 4.250 3/1
126349AF6
9119
8800000
PRN
SOLE
0
0
0
CARRIAGE SERVICES
NOTE 2.750 3/1
143905AM9
26085
20017000
PRN
SOLE
0
0
0
CITRIX SYSTEMS INC.
NOTE 0.500 4/1
177376AD2
96791
77207000
PRN
SOLE
0
0
0
CLOVIS ONCOLOGY INC.
NOTE 2.500 9/1
189464AB6
3680
2850000
PRN
SOLE
0
0
0
COLONY NORTHSTAR
NOTE 5.000 4/1
19624RAA4
3026
3020000
PRN
SOLE
0
0
0
COLONY NORTHSTAR
NOTE 3.875 1/1
19624RAB2
36512
36955000
PRN
SOLE
0
0
0
CORENERGY INFRASTRUCTURE TRUST
NOTE 7.000 6/1
21870UAA4
24084
21540000
PRN
SOLE
0
0
0
COWEN GROUP INC.
NOTE 3.000 3/1
223622AB7
29081
28687000
PRN
SOLE
0
0
0
CTRIP.COM INTERNATIONAL LTD
NOTE 1.990 7/0
22943FAH3
2087
1800000
PRN
SOLE
0
0
0
DEPOMED INC.
NOTE 2.500 9/0
249908AA2
753
800000
PRN
SOLE
0
0
0
DYCOM INDUSTRIES INC
NOTE 0.750 9/1
267475AB7
51092
43668000
PRN
SOLE
0
0
0
ELECTRONICS FOR IMAGING
NOTE 0.750 9/0
286082AC6
5954
5450000
PRN
SOLE
0
0
0
ENERNOC INC.
DBCV 2.250 8/1
292764AB3
17183
19980000
PRN
SOLE
0
0
0
EURONET WORLDWIDE INC
NOTE 1.500 10/0
298736AH2
47817
37744000
PRN
SOLE
0
0
0
GLOBAL BROKERAGE INC.
NOTE 2.250 6/1
302693AB2
1776
4735000
PRN
SOLE
0
0
0
FINISAR CORPORATION
NOTE 0.500 12/1
31787AAM3
25918
23000000
PRN
SOLE
0
0
0
GSV CAPITAL CORP.
NOTE 5.250 9/1
36191JAB7
1831
1845000
PRN
SOLE
0
0
0
GLOBAL EAGLE ENTERTAINMENT INC.
NOTE 2.750 2/1
37951DAB8
2564
4705000
PRN
SOLE
0
0
0
GREENBRIER COMPANIES
NOTE 3.500 4/0
393657AH4
29117
22528000
PRN
SOLE
0
0
0
HARMONIC INC
NOTE 4.000 12/0
413160AB8
17045
13707000
PRN
SOLE
0
0
0
HORIZON GLOBAL
NOTE 2.750 7/0
44052WAA2
14640
16000000
PRN
SOLE
0
0
0
HORNBECK OFFSHORE SERVICES INC
NOTE 1.500 9/0
440543AN6
1069
1605000
PRN
SOLE
0
0
0
TELIGENT INC
NOTE 3.750 12/1
449575AB5
13999
13912000
PRN
SOLE
0
0
0
ICONIX BRAND GROUP INC
NOTE 1.500 3/1
451055AF4
5623
5880000
PRN
SOLE
0
0
0
INTEGRATED DEVICE TECH
NOTE 0.875 11/1
458118AC0
403
400000
PRN
SOLE
0
0
0
INTEL CORP
SDCV 12/1
458140AD2
39023
28680000
PRN
SOLE
0
0
0
INTEL CORPORATION
SDCV 3.250 8/0
458140AF7
60883
34802000
PRN
SOLE
0
0
0
INTERDIGITAL INC
NOTE 1.500 3/0
458660AD9
5218
4000000
PRN
SOLE
0
0
0
JANUS CAPITAL GROUP INC
NOTE 0.750 7/1
47102XAH8
70074
53541000
PRN
SOLE
0
0
0
KEYW HOLDING CORP.
NOTE 2.500 7/1
493723AA8
8814
9110000
PRN
SOLE
0
0
0
LAM RESEARCH CORPORATION
NOTE 1.250 5/1
512807AL2
2538
1200000
PRN
SOLE
0
0
0
LIBERTY MEDIA
DEB 3.750 2/1
530715AL5
806
1310000
PRN
SOLE
0
0
0
LIBERTY MEDIA CORPORATION
NOTE 1.375 10/1
531229AB8
101435
89323000
PRN
SOLE
0
0
0
MACQUARIE INFRASTRUCTURE COMPANY LLC
NOTE 2.875 7/1
55608BAA3
54485
48458000
PRN
SOLE
0
0
0
MACQUARIE INFRASTRUCTURE
NOTE 2.000 10/0
55608BAB1
5428
5525000
PRN
SOLE
0
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1.625 2/1
595017AD6
22112
15402000
PRN
SOLE
0
0
0
MODUSLINK GLOBAL SOLUTIONS INC.
NOTE 5.250 3/0
60786LAB3
658
700000
PRN
SOLE
0
0
0
MOLINA HEALTHCARE INC
DBCV 1.625 8/1
60855RAD2
25940
24400000
PRN
SOLE
0
0
0
NATIONAL HEALTH INVESTORS INC.
NOTE 3.250 4/0
63633DAE4
23542
21217000
PRN
SOLE
0
0
0
PDL BIOPHARMA INC
NOTE 4.000 2/0
69329YAF1
2067
2080000
PRN
SOLE
0
0
0
PDL BIOPHARMA INC
NOTE 2.750 12/0
69329YAG9
8389
9560000
PRN
SOLE
0
0
0
PALO ALTO NETWORKS INC.
NOTE 7/0
697435AB1
17145
14400000
PRN
SOLE
0
0
0
PERNIX THERAPEUTICS HOLDINGS
DBCV 4.250 4/0
71426VAK4
550
2000000
PRN
SOLE
0
0
0
PORTFOLIO RECOVERY ASSOCIATES INC.
NOTE 3.000 8/0
73640QAB1
21844
24173000
PRN
SOLE
0
0
0
PRICELINE.COM
NOTE 1.000 3/1
741503AQ9
19071
10132000
PRN
SOLE
0
0
0
PRICELINE.COM
NOTE 0.350 6/1
741503AS5
4690
3290000
PRN
SOLE
0
0
0
PRICELINE.COM
NOTE 0.900 9/1
741503AX4
65169
57990000
PRN
SOLE
0
0
0
PROSPECT CAPITAL CORPORATION
NOTE 4.750 4/1
74348TAQ5
39855
40409000
PRN
SOLE
0
0
0
QUANTUM CORP
NOTE 4.500 11/1
747906AJ4
1493
1500000
PRN
SOLE
0
0
0
RPM INTERNATIONAL INC
NOTE 2.250 12/1
749685AT0
54886
45834000
PRN
SOLE
0
0
0
ARCONIC INC
NOTE 1.625 10/1
74973WAB3
88684
75993000
PRN
SOLE
0
0
0
REDWOOD TRUST INC
NOTE 5.625 11/1
749772AB5
926
900000
PRN
SOLE
0
0
0
RED HAT INC
NOTE 0.250 10/0
756577AD4
55003
42328000
PRN
SOLE
0
0
0
RESOURCE CAPITAL CORPORATION
NOTE 8.000 1/1
76120WAB0
4811
4705000
PRN
SOLE
0
0
0
ROYAL GOLD INC
NOTE 2.875 6/1
780287AA6
20751
19658000
PRN
SOLE
0
0
0
SAFEGUARD SCIENTIFICS
DBCV 5.250 5/1
786449AK4
2492
2450000
PRN
SOLE
0
0
0
SALESFORCE.COM INC.
NOTE 0.250 4/0
79466LAD6
66904
51925000
PRN
SOLE
0
0
0
SEACOR HOLDING INC
NOTE 3.000 11/1
81170YAB5
2316
2585000
PRN
SOLE
0
0
0
SILVER STANDARD RESOURCES INC
NOTE 2.875 2/0
82823LAC0
15896
16200000
PRN
SOLE
0
0
0
TERRAVIA HOLDINGS
NOTE 6.000 2/0
83415TAB7
4690
7160000
PRN
SOLE
0
0
0
TERRAVIA HOLDINGS
NOTE 5.000 10/0
83415TAC5
6592
15510000
PRN
SOLE
0
0
0
SPECTRANETICS CORPORATION
MTNF 2.625 6/0
84760CAA5
12272
10671000
PRN
SOLE
0
0
0
TEVA PHARM
DBCV 0.250 2/0
88163VAE9
98636
92133000
PRN
SOLE
0
0
0
TRINITY INDUSTRIES INC
NOTE 3.875 6/0
896522AF6
44783
36670000
PRN
SOLE
0
0
0
VITAMIN SHOPPE INC
NOTE 2.250 12/0
92849EAB7
6143
7180000
PRN
SOLE
0
0
0
WEBMD HEALTH CORP.
NOTE 2.500 1/3
94770VAF9
97
95000
PRN
SOLE
0
0
0
WEBMD HEALTH CORP.
NOTE 1.500 12/0
94770VAK8
3586
3021000
PRN
SOLE
0
0
0
WORKDAY INC
NOTE 1.500 7/1
98138HAD3
43356
35338000
PRN
SOLE
0
0
0
SHIP FINANCE INTERNATIONAL
NOTE 5.750 10/1
G81075AF3
1344
1350000
PRN
SOLE
0
0
0