0001140361-14-042048.txt : 20141114
0001140361-14-042048.hdr.sgml : 20141114
20141114130329
ACCESSION NUMBER: 0001140361-14-042048
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
EFFECTIVENESS DATE: 20141114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ADVENT CAPITAL MANAGEMENT /DE/
CENTRAL INDEX KEY: 0001097278
IRS NUMBER: 134168910
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05049
FILM NUMBER: 141222355
BUSINESS ADDRESS:
STREET 1: 30 BROAD STREET 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10004
BUSINESS PHONE: 2124821600
MAIL ADDRESS:
STREET 1: 30 BROAD STREET 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10004
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001097278
XXXXXXXX
09-30-2014
09-30-2014
ADVENT CAPITAL MANAGEMENT /DE/
30 BROAD STREET 30TH FLOOR
NEW YORK
NY
10004
13F HOLDINGS REPORT
028-05049
N
Paul L Latronica
Vice President
212-482-1606
/s/ Paul L Latronica
New York
NY
11-14-2014
0
467
6486715
false
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form13fInfoTable.xml
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0
5538000
RTI INTERNATIONAL METALS
CONV
74973WAB3
26958
28066000
PRN
SOLE
0
0
28066000
RYLAND GROUP
CONV
783764AQ6
21512
17435000
PRN
SOLE
0
0
17435000
RYLAND GROUP
CONV
783764AS2
37551
40961000
PRN
SOLE
0
0
40961000
SALESFORCE.COM INC
CONV
79466LAD6
28347
25451000
PRN
SOLE
0
0
25451000
SALIX PHARMACEUTICALS LT
CONV
795435AE6
60689
25112000
PRN
SOLE
0
0
25112000
SANDISK CORP
CONV
80004CAF8
30610
25513000
PRN
SOLE
0
0
25513000
SEACOR HOLDINGS INC
CONV
81170YAA7
22707
24470000
PRN
SOLE
0
0
24470000
SEACOR HOLDINGS INC
CONV
811904AM3
16574
15376000
PRN
SOLE
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0
15376000
SERVICENOW INC
CONV
81762PAA0
22903
21645000
PRN
SOLE
0
0
21645000
SHENGDATECH INC
CONV
823213AD5
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2975000
PRN
SOLE
0
0
2975000
SINA CORP
CONV
82922RAC7
40040
43443000
PRN
SOLE
0
0
43443000
SL GREEN OPERATING PARTN
CONV
78444FAC0
9988
7709000
PRN
SOLE
0
0
7709000
SOLARCITY CORP
CONV
83416TAB6
21648
22423000
PRN
SOLE
0
0
22423000
SOLAZYME INC
CONV
83415TAC5
11909
13229000
PRN
SOLE
0
0
13229000
SPANSION LLC
CONV
84649PAL9
19336
11015000
PRN
SOLE
0
0
11015000
SPECTRANETICS CORP
CONV
84760CAA5
7368
6549000
PRN
SOLE
0
0
6549000
SPIRIT REALTY CAPITAL IN
CONV
84860WAB8
8575
8804000
PRN
SOLE
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8804000
STARWOOD PROPERTY TRUST
CONV
85571BAA3
40588
37874000
PRN
SOLE
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0
37874000
STARWOOD PROPERTY TRUST
CONV
85571BAB1
35333
32537000
PRN
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0
32537000
STILLWATER MINING COMPAN
CONV
86074QAL6
8248
6460000
PRN
SOLE
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0
6460000
STONE ENERGY CORP
CONV
861642AN6
40419
38206000
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SOLE
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38206000
SUNEDISON INC
CONV
86732YAA7
7480
5137000
PRN
SOLE
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0
5137000
SUNEDISON INC
CONV
86732YAE9
35340
35886000
PRN
SOLE
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0
35886000
SUNPOWER CORP
CONV
867652AH2
8112
7500000
PRN
SOLE
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7500000
SYNCHRONOSS TECHNOLOGIES
CONV
87157BAA1
10125
9156000
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SOLE
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9156000
TAKE-TWO INTERACTIVE SOF
CONV
874054AD1
22897
18529000
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SOLE
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18529000
TELEFLEX INC
CONV
879369AA4
12837
7411000
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SOLE
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7411000
TESLA MOTORS INC
CONV
88160RAC5
17087
17947000
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17947000
TEVA PHARM FIN CO LLC
CONV
88163VAE9
4491
3500000
PRN
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3500000
THERAVANCE INC
CONV
88338TAB0
19706
20876000
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20876000
TIBCO SOFTWARE INC
CONV
88632QAB9
37444
37409000
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37409000
TITAN MACHINERY INC
CONV
88830RAB7
5326
6891000
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6891000
TOLL BROS FINANCE CORP
CONV
88947EAM2
47003
46497000
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SOLE
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46497000
TPG SPECIALTY LENDING IN
CONV
87265KAA0
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TRINITY INDUSTRIES INC
CONV
896522AF6
12837
6613000
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TTM TECHNOLOGIES INC
CONV
87305RAD1
37383
38227000
PRN
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38227000
TWITTER INC
CONV
90184LAA0
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50030000
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50030000
TWITTER INC
CONV
90184LAC6
21534
22000000
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UNITED AIRLINES INC
CONV
210795PU8
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4392000
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UNITED STATES STEEL CORP
CONV
912909AH1
11961
7304000
PRN
SOLE
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0
7304000
UTI WORLDWIDE INC
CONV
90349LAA2
11200
10471000
PRN
SOLE
0
0
10471000
VECTOR GROUP LTD
CONV
92240MBC1
474
424000
PRN
SOLE
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0
424000
VERINT SYSTEMS INC
CONV
92343XAA8
14726
13500000
PRN
SOLE
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13500000
VIPSHOP HOLDING LTD
CONV
92763WAA1
10848
9156000
PRN
SOLE
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9156000
VISHAY INTERTECHNOLOGY
CONV
928298AG3
15446
13702000
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SOLE
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13702000
VISHAY INTERTECHNOLOGY
CONV
928298AJ7
467
511000
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SOLE
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VOLCANO CORP
CONV
928645AB6
26826
31074000
PRN
SOLE
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31074000
WALTER INVESTMENT MGMT
CONV
93317WAA0
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6955000
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6955000
WEBMD HEALTH CORP
CONV
94770VAF9
51386
51026000
PRN
SOLE
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51026000
WEBMD HEALTH CORP
CONV
94770VAJ1
12166
12041000
PRN
SOLE
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12041000
WELLPOINT INC
CONV
94973VBG1
58145
35050000
PRN
SOLE
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WRIGHT MEDICAL GROUP INC
CONV
98235TAC1
16241
12097000
PRN
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12097000
XILINX INC
CONV
983919AF8
33447
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PRN
SOLE
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YAHOO INC
CONV
984332AE6
88561
85144000
PRN
SOLE
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YANDEX NV
CONV
98474TAA5
6642
7587000
PRN
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7587000
ADVANCED MICRO DEVICES
CORP
007903BC0
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ALCOA INC
CORP
013817AW1
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500000
PRN
SOLE
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500000
ALLIED SPECIALTY VEHICLE
CORP
019517AA9
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PRN
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ALLY FINANCIAL INC
CORP
02005NAJ9
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PRN
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ALTA MESA HLDGS/FINANC S
CORP
021332AC5
4721
4561000
PRN
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4561000
ALTICE SA
CORP
02154VAA9
14162
13716000
PRN
SOLE
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13716000
AMC NETWORKS INC
CORP
00164VAC7
5119
5184000
PRN
SOLE
0
0
5184000
AMERICAN ENERGY/AEPB
CORP
02563LAB4
458
500000
PRN
SOLE
0
0
500000
AMERICAN ENERGY/AEPB
CORP
02563LAC2
2059
2250000
PRN
SOLE
0
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2250000
APPVION INC
CORP
03834LAA7
4710
5700000
PRN
SOLE
0
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5700000
ASHLAND INC
CORP
044209AF1
22767
23104000
PRN
SOLE
0
0
23104000
BARMINCO FINANCE PTY LTD
CORP
067687AA1
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PRN
SOLE
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1000000
BIOMET INC
CORP
090613AJ9
3180
3000000
PRN
SOLE
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3000000
BOISE CASCADE COMPANY
CORP
09739DAA8
1768
1700000
PRN
SOLE
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1700000
BREITBURN ENER/BREIT FIN
CORP
106777AD7
1316
1300000
PRN
SOLE
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1300000
CALIFORNIA RESOURCES CRP
CORP
13057QAC1
406
400000
PRN
SOLE
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400000
CALPINE CORP
CORP
131347BY1
2180
2000000
PRN
SOLE
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2000000
CARLSON WAGONLIT BV
CORP
142812AB2
2095
2000000
PRN
SOLE
0
0
2000000
CASELLA WASTE SYSTEMS IN
CORP
147448AG9
4735
4723000
PRN
SOLE
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4723000
CATALYST PAPER CORP
CORP
14889BAB8
3353
3944590
PRN
SOLE
0
0
3944590
CBRE SERVICES INC
CORP
12505BAC4
994
1000000
PRN
SOLE
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1000000
CELANESE US HOLDINGS LLC
CORP
15089QAC8
9585
9000000
PRN
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CELANESE US HOLDINGS LLC
CORP
15089QAD6
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2000000
PRN
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2000000
CEMEX SAB DE CV
CORP
151290BL6
10416
9826000
PRN
SOLE
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CEMEX SAB DE CV
CORP
151290BP7
8020
8000000
PRN
SOLE
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8000000
CENVEO CORP
CORP
15671BAK7
3418
3646000
PRN
SOLE
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3646000
CHESAPEAKE ENERGY CORP
CORP
165167BU0
1115
1000000
PRN
SOLE
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1000000
CHESAPEAKE ENERGY CORP
CORP
165167CF2
1655
1500000
PRN
SOLE
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1500000
CHRYSLER GP/CG CO-ISSUER
CORP
17121EAB3
4776
4500000
PRN
SOLE
0
0
4500000
CHURCHILL DOWNS INC
CORP
171484AA6
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2000000
PRN
SOLE
0
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2000000
CIT GROUP INC
CORP
125581GN2
2581
2500000
PRN
SOLE
0
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2500000
CLAYTON WILLIAMS ENERGY
CORP
969490AE1
2466
2400000
PRN
SOLE
0
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2400000
CLEAN HARBORS INC
CORP
184496AJ6
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2000000
PRN
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0
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2000000
CLEAN HARBORS INC
CORP
184496AL1
4099
4135000
PRN
SOLE
0
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4135000
CLEAR CHANNEL WORLDWIDE
CORP
18451QAM0
7158
7000000
PRN
SOLE
0
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7000000
COMMERCIAL METALS CO
CORP
201723AK9
480
500000
PRN
SOLE
0
0
500000
COMPASS MINERALS INTERNA
CORP
20451NAE1
955
1000000
PRN
SOLE
0
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1000000
CONSOL ENERGY INC
CORP
20854PAJ8
739
750000
PRN
SOLE
0
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750000
CORNERSTONE CHEMICAL CO
CORP
21925AAB1
2100
2000000
PRN
SOLE
0
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2000000
COVENANT SURGICAL PARTNE
CORP
22284YAA4
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2000000
PRN
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2000000
CREDIT AGRICOLE SA
CORP
225313AD7
7070
7000000
PRN
SOLE
0
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7000000
DANA HOLDING CORP
CORP
235825AB2
1853
1750000
PRN
SOLE
0
0
1750000
DISH DBS CORP
CORP
25470XAQ8
998
1000000
PRN
SOLE
0
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1000000
DISPENSING DYNAMICS INTL
CORP
25471QAA7
1620
1500000
PRN
SOLE
0
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1500000
DUPONT FABROS TECH LP
CORP
26613TAE0
763
750000
PRN
SOLE
0
0
750000
EAGLE ROCK ENER PART/FIN
CORP
26985UAB3
2041
1925000
PRN
SOLE
0
0
1925000
EARTHLINK HOLDINGS CORP
CORP
270321AE2
2743
2675000
PRN
SOLE
0
0
2675000
ELETSON HOLDINGS
CORP
28620QAA1
2846
2790000
PRN
SOLE
0
0
2790000
ENERGY XXI GULF COAST IN
CORP
29276KAT8
6391
6799000
PRN
SOLE
0
0
6799000
EQUINIX INC
CORP
29444UAM8
1980
2000000
PRN
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0
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2000000
FIRST CASH FINANCIAL SER
CORP
31942DAB3
1040
1000000
PRN
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1000000
FIRST DATA CORPORATION
CORP
319963BB9
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1500000
PRN
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1500000
FIRST DATA CORPORATION
CORP
319963BG8
2120
1862000
PRN
SOLE
0
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1862000
FIRST DATA CORPORATION
CORP
319963BL7
20529
17735250
PRN
SOLE
0
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17735250
FIRST QUANTUM MINERALS L
CORP
335934AD7
1015
1005000
PRN
SOLE
0
0
1005000
FIRST QUANTUM MINERALS L
CORP
335934AF2
1019
1005000
PRN
SOLE
0
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1005000
FMG RESOURCES AUG 2006
CORP
30251GAN7
2544
2500000
PRN
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2500000
FORBES ENERGY SERVICES
CORP
345143AC5
1136
1150000
PRN
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1150000
FRESENIUS MED CARE II
CORP
35802XAD5
5264
5000000
PRN
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5000000
FRESENIUS MED CARE US
CORP
35803QAA5
2110
2000000
PRN
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2000000
GENESIS ENERGY LP/GENESI
CORP
37185LAE2
2450
2500000
PRN
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2500000
GENTIVA HEALTH SERVICES
CORP
37247AAB8
4888
4600000
PRN
SOLE
0
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4600000
GLOBAL PART/GLP FINANCE
CORP
37954FAA2
498
500000
PRN
SOLE
0
0
500000
GOODYEAR TIRE & RUBBER
CORP
382550BB6
1680
1570000
PRN
SOLE
0
0
1570000
GULFMARK OFFSHORE INC
CORP
402629AG4
299
310000
PRN
SOLE
0
0
310000
HALCON RESOURCES CORP
CORP
40537QAB6
2035
2000000
PRN
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0
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2000000
HALCON RESOURCES CORP
CORP
40537QAD2
10343
10500000
PRN
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10500000
HCA HOLDINGS INC
CORP
40412CAB7
4275
4000000
PRN
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0
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4000000
HEALTH NET INC
CORP
422248AA2
3233
3000000
PRN
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0
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3000000
HEALTHSOUTH CORP
CORP
421924BG5
1055
1000000
PRN
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0
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1000000
HIG BBC INTERMED/HOLDING
CORP
40421XAA2
1008
1000000
PRN
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1000000
HUGHES SATELITE SYSTEMS
CORP
444454AB8
319
300000
PRN
SOLE
0
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300000
IASIS HEALTHCARE/CAP CRP
CORP
45072PAD4
3143
3000000
PRN
SOLE
0
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3000000
IHEARTCOMMUNICATIONS INC
CORP
184502BL5
12270
12179000
PRN
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12179000
IHEARTCOMMUNICATIONS INC
CORP
184502BN1
533
500000
PRN
SOLE
0
0
500000
JEFFERIES FIN LLC / JFIN
CORP
47232MAB8
985
1000000
PRN
SOLE
0
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1000000
JLL/DELTA DUTCH NEWCO BV
CORP
46590GAA1
1010
1000000
PRN
SOLE
0
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1000000
KENNEDY-WILSON INC
CORP
489399AC9
1328
1250000
PRN
SOLE
0
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1250000
KISSNER MILLING CO LTD
CORP
49835DAA7
1025
1000000
PRN
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0
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1000000
KRATOS DEFENSE & SEC
CORP
50077BAK4
3970
4000000
PRN
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0
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4000000
LAND O LAKES CAP TRST I
CORP
514665AA6
2575
2500000
PRN
SOLE
0
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2500000
LIGHTSTREAM RESOURCES
CORP
71645AAA7
7673
7750000
PRN
SOLE
0
0
7750000
LIVE NATION ENTERTAINMEN
CORP
538034AG4
498
500000
PRN
SOLE
0
0
500000
LSB INDUSTRIES
CORP
502160AL8
2345
2212000
PRN
SOLE
0
0
2212000
MASTEC INC
CORP
576323AN9
2548
2725000
PRN
SOLE
0
0
2725000
MCDERMOTT INTERNATIONAL
CORP
580037AB5
6441
6589000
PRN
SOLE
0
0
6589000
MICRON TECHNOLOGY INC
CORP
595112BB8
980
1000000
PRN
SOLE
0
0
1000000
NATIONSTAR MORT/CAP CORP
CORP
63860UAL4
2179
2300000
PRN
SOLE
0
0
2300000
NAVIOS MARITIME ACQ CORP
CORP
63938MAD8
1110
1150000
PRN
SOLE
0
0
1150000
NAVIOS MARITIME HLDS/FIN
CORP
639365AF2
940
1000000
PRN
SOLE
0
0
1000000
NAVIOS MARITIME HLDS/FIN
CORP
639365AG0
1900
2000000
PRN
SOLE
0
0
2000000
NAVIOS SA LOGIST/FIN US
CORP
63938NAE4
743
750000
PRN
SOLE
0
0
750000
NORSKE SKOGINDUSTRIER
CORP
656533AB2
1942
2134000
PRN
SOLE
0
0
2134000
NORTHERN BLIZZARD RESOUR
CORP
664784AA3
269
261000
PRN
SOLE
0
0
261000
OASIS PETROLEUM INC
CORP
674215AG3
3165
3000000
PRN
SOLE
0
0
3000000
OMEGA HLTHCARE INVESTORS
CORP
681936AZ3
970
930000
PRN
SOLE
0
0
930000
PBF HOLDING CO LLC
CORP
69318FAB4
4190
4000000
PRN
SOLE
0
0
4000000
PENN VIRGINIA CORP
CORP
707882AE6
15841
14923000
PRN
SOLE
0
0
14923000
PERMIAN HOLDINGS INC
CORP
714239AA8
1275
1250000
PRN
SOLE
0
0
1250000
POLYMER GROUP INC
CORP
731745AM7
995
1000000
PRN
SOLE
0
0
1000000
PRECISION DRILLING CORP
CORP
74022DAH3
241
250000
PRN
SOLE
0
0
250000
PROSPECT MEDICAL HOLDING
CORP
743494AC0
8053
7500000
PRN
SOLE
0
0
7500000
QEP RESOURCES INC
CORP
74733VAA8
2170
2000000
PRN
SOLE
0
0
2000000
RANGE RESOURCES CORP
CORP
75281AAN9
2372
2320000
PRN
SOLE
0
0
2320000
REGENCY ENERGY PARTNERS
CORP
75886AAK4
2080
2000000
PRN
SOLE
0
0
2000000
REYNOLDS GRP ISS/REYNOLD
CORP
761735AL3
10426
10013000
PRN
SOLE
0
0
10013000
SAMSON INVESTMENT CO
CORP
796038AC1
2859
3150000
PRN
SOLE
0
0
3150000
SANDRIDGE ENERGY INC
CORP
80007PAQ2
1743
1745000
PRN
SOLE
0
0
1745000
SAPPI PAPIER HOLDNG GMBH
CORP
803071AA7
2070
2000000
PRN
SOLE
0
0
2000000
SESI LLC
CORP
78412FAL8
1560
1500000
PRN
SOLE
0
0
1500000
SEVENTY SEVEN ENERGY INC
CORP
818097AA5
98
100000
PRN
SOLE
0
0
100000
SIMMONS FOODS INC
CORP
828732AB3
3960
4000000
PRN
SOLE
0
0
4000000
SIX FLAGS ENTERTAINMENT
CORP
83001AAA0
970
1000000
PRN
SOLE
0
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1000000
SOTHEBY'S
CORP
835898AF4
13731
14329000
PRN
SOLE
0
0
14329000
SPRINT COMMUNICATIONS
CORP
852061AK6
3465
3000000
PRN
SOLE
0
0
3000000
SPRINT CORP
CORP
85207UAA3
2603
2500000
PRN
SOLE
0
0
2500000
SPRINT CORP
CORP
85207UAB1
3180
3000000
PRN
SOLE
0
0
3000000
ST BARBARA LTD
CORP
852278AA8
1680
2000000
PRN
SOLE
0
0
2000000
STARZ LLC/STARZ FIN CORP
CORP
85571NAB5
17034
16865000
PRN
SOLE
0
0
16865000
STEEL DYNAMICS INC
CORP
858119AV2
1410
1335000
PRN
SOLE
0
0
1335000
SUNCOKE ENERGY INC
CORP
86722AAC7
479
454000
PRN
SOLE
0
0
454000
SWIFT SERVICES HLDGS INC
CORP
870755AB1
420
400000
PRN
SOLE
0
0
400000
SYNOVUS FINANCIAL CORP
CORP
87161CAG0
9726
9512000
PRN
SOLE
0
0
9512000
SYNOVUS FINANCIAL CORP
CORP
87161CAJ4
9140
8161000
PRN
SOLE
0
0
8161000
TELESAT CANADA/TELESAT L
CORP
87952VAJ5
1024
1000000
PRN
SOLE
0
0
1000000
TENET HEALTHCARE CORP
CORP
87243QAB2
10178
9625000
PRN
SOLE
0
0
9625000
TESORO CORP
CORP
881609AZ4
2010
2000000
PRN
SOLE
0
0
2000000
TESORO LOGISTICS LP/CORP
CORP
88160QAA1
524
506000
PRN
SOLE
0
0
506000
UNIT CORP
CORP
909218AB5
251
250000
PRN
SOLE
0
0
250000
UPCB FINANCE V LTD
CORP
90320TAA8
5286
4940000
PRN
SOLE
0
0
4940000
VALEANT PHARMACEUTICALS
CORP
91911XAQ7
3113
3000000
PRN
SOLE
0
0
3000000
VECTOR GROUP LTD
CORP
92240MBB3
1053
1000000
PRN
SOLE
0
0
1000000
VERTELLUS SPECIALTIES
CORP
92532JAA0
8821
8821000
PRN
SOLE
0
0
8821000
W & T OFFSHORE INC
CORP
92922PAC0
2070
2000000
PRN
SOLE
0
0
2000000
WATERJET HOLDINGS INC
CORP
94155UAA7
2070
2000000
PRN
SOLE
0
0
2000000
WHITEWAVE FOODS CO
CORP
966244AA3
1010
1000000
PRN
SOLE
0
0
1000000
WINDSTREAM CORP
CORP
97381WAT1
533
500000
PRN
SOLE
0
0
500000
WINDSTREAM CORP
CORP
97381WAX2
6729
6393000
PRN
SOLE
0
0
6393000
CARAUSTAR INDUSTRIES INC
TERM
14076CAB9
1457
1444750
PRN
SOLE
0
0
1444750
ENERGY & EXPLORATION PARTNE
TERM
29268HAB4
1960
2000000
PRN
SOLE
0
0
2000000
ENERGY FUTURE INTERMEDIAT
Term
29271NAB6
1001
1000000
PRN
SOLE
0
0
1000000
SPRINT INDUSTRIAL LLC
TERM
85208BAE6
2005
2000000
PRN
SOLE
0
0
2000000
TEXAS COMP ELEC HOLD LLC
TERM
90210EAM8
936
1260000
PRN
SOLE
0
0
1260000
ALCOA INC
CNV PFD
013817309
16244
325000
SH
SOLE
0
0
325000
ALEXANDRIA REAL ESTATE E
CNV PFD
015271505
44133
1635773
SH
SOLE
0
0
1635773
AMERICAN TOWER CORP
CNV PFD
03027X308
23695
219300
SH
SOLE
0
0
219300
AMG CAPITAL TRUST II
CNV PFD
00170F209
33400
526850
SH
SOLE
0
0
526850
BANK OF AMERICA CORP
CNV PFD
060505682
50047
43652
SH
SOLE
0
0
43652
CHESAPEAKE ENERGY CORP
CNV PFD
165167768
1337
1200
SH
SOLE
0
0
1200
CHESAPEAKE ENERGY CORP
CNV PFD
165167776
57555
51817
SH
SOLE
0
0
51817
CHESAPEAKE ENERGY CORP
CNV PFD
165167784
28334
25699
SH
SOLE
0
0
25699
CROWN CASTLE INTL CORP
CNV PFD
228227500
300
2860
SH
SOLE
0
0
2860
DOMINION RESOURCES INC
CNV PFD
25746U703
14324
255542
SH
SOLE
0
0
255542
DOMINION RESOURCES INC
CNV PFD
25746U869
24947
500500
SH
SOLE
0
0
500500
DOMINION RESOURCES INC
CNV PFD
25746U885
3674
65500
SH
SOLE
0
0
65500
ENERGY XXI BERMUDA LTD
CNV PFD
29274U309
5380
27931
SH
SOLE
0
0
27931
EXELON CORP
CNV PFD
30161N127
8789
172850
SH
SOLE
0
0
172850
HEALTH CARE REIT INC
CNV PFD
42217K601
7194
125810
SH
SOLE
0
0
125810
KEYCORP
CNV PFD
493267405
41963
320332
SH
SOLE
0
0
320332
LACLEDE GROUP INC
CNV PFD
505597500
1056
20050
SH
SOLE
0
0
20050
METLIFE INC
CNV PFD
59156R116
13851
449870
SH
SOLE
0
0
449870
NEXTERA ENERGY INC
CNV PFD
65339F705
394
6387
SH
SOLE
0
0
6387
NEXTERA ENERGY INC
CNV PFD
65339F861
4258
79565
SH
SOLE
0
0
79565
NEXTERA ENERGY INC
CNV PFD
65339F887
24095
401633
SH
SOLE
0
0
401633
NY COMMUNITY CAP TRUST V
CNV PFD
64944P307
299
5946
SH
SOLE
0
0
5946
PENN VIRGINIA CORP
CNV PFD
707882403
15828
163200
SH
SOLE
0
0
163200
POST HOLDINGS INC
CNV PFD
737446609
4980
65000
SH
SOLE
0
0
65000
SANDRIDGE ENERGY INC
CNV PFD
80007P604
4851
50008
SH
SOLE
0
0
50008
STANLEY BLACK & DECKER I
CNV PFD
854502309
17300
131935
SH
SOLE
0
0
131935
STANLEY BLACK & DECKER I
CNV PFD
854502804
20716
184636
SH
SOLE
0
0
184636
TYSON FOODS INC
CNV PFD
902494301
36461
723759
SH
SOLE
0
0
723759
UNITED TECHNOLOGIES CORP
CNV PFD
913017117
63578
1077752
SH
SOLE
0
0
1077752
WELLS FARGO & COMPANY
CNV PFD
949746804
49818
41428
SH
SOLE
0
0
41428
WEYERHAEUSER CO
CNV PFD
962166872
9912
183555
SH
SOLE
0
0
183555
Alliant Techsystems Inc
COM
018804104
353
2768
SH
SOLE
0
0
2768
Anadarko Petroleum Corp
COM
032511107
2010
19815
SH
SOLE
0
0
19815
BioMarin Pharmaceutical Inc
COM
09061G101
1685
23346
SH
SOLE
0
0
23346
Boeing Co/The
COM
097023105
5095
40000
SH
SOLE
0
0
40000
Chevron Corp
COM
166764100
4534
38000
SH
SOLE
0
0
38000
Ciena Corp
COM
171779309
273
16300
SH
SOLE
0
0
16300
Cisco Systems Inc
COM
17275R102
881
35000
SH
SOLE
0
0
35000
Citigroup Inc
COM
172967424
9649
186200
SH
SOLE
0
0
186200
Citrix Systems Inc
COM
177376100
4107
57567
SH
SOLE
0
0
57567
ConocoPhillips
COM
20825C104
2004
26184
SH
SOLE
0
0
26184
Coronado Biosciences Inc
COM
21976U109
187
89259
SH
SOLE
0
0
89259
Cubist Pharmaceuticals Inc
COM
229678107
3435
51774
SH
SOLE
0
0
51774
CUMULUS MEDIA INC-CL A
COM
231082116
29
7103
SH
SOLE
0
0
7103
Delta Air Lines Inc
COM
247361702
333
9200
SH
SOLE
0
0
9200
Discover Financial Services
COM
254709108
5103
79249
SH
SOLE
0
0
79249
DISH Network Corp
COM
25470M109
3386
52429
SH
SOLE
0
0
52429
Fluidigm Corp
COM
34385P108
224
9156
SH
SOLE
0
0
9156
Freeport-McMoRan Inc
COM
35671D857
816
25000
SH
SOLE
0
0
25000
General Motors Co
COM
37045V100
6343
198599
SH
SOLE
0
0
198599
GENERAL MOTORS CO
COM
37045V134
203
233672
SH
SOLE
0
0
233672
Hewlett-Packard Co
COM
428236103
4611
130000
SH
SOLE
0
0
130000
Honeywell International Inc
COM
438516106
3725
40000
SH
SOLE
0
0
40000
Hospitality Properties Trust
COM
44106M102
814
30300
SH
SOLE
0
0
30300
Intel Corp
COM
458140100
4255
122209
SH
SOLE
0
0
122209
iShares iBoxx $ High Yield Cor
COM
464288513
1697
18454
SH
SOLE
0
0
18454
Lam Research Corp
COM
512807108
4939
66121
SH
SOLE
0
0
66121
Lamar Advertising Co
COM
512815101
1724
35000
SH
SOLE
0
0
35000
LEAR CORP
COM
521865113
130
742
SH
SOLE
0
0
742
Lockheed Martin Corp
COM
539830109
3656
20000
SH
SOLE
0
0
20000
McDonald's Corp
COM
580135101
474
5000
SH
SOLE
0
0
5000
MGM Holdings Inc
COM
55303C101
1159
15000
SH
SOLE
0
0
15000
NextEra Energy Inc
COM
65339F101
1317
14024
SH
SOLE
0
0
14024
NorthStar Realty Finance Corp
COM
66704R704
2510
142025
SH
SOLE
0
0
142025
NVIDIA Corp
COM
67066G104
1529
82873
SH
SOLE
0
0
82873
Occidental Petroleum Corp
COM
674599105
1731
18000
SH
SOLE
0
0
18000
Pfizer Inc
COM
717081103
4391
148499
SH
SOLE
0
0
148499
Pharmacyclics Inc
COM
716933106
108
923
SH
SOLE
0
0
923
Red Hat Inc
COM
756577102
259
4614
SH
SOLE
0
0
4614
salesforce.com inc
COM
79466L302
4369
75943
SH
SOLE
0
0
75943
State Street Corp
COM
857477103
2208
30000
SH
SOLE
0
0
30000
Synovus Financial Corp
COM
87161C501
122
5157
SH
SOLE
0
0
5157
TD Ameritrade Holding Corp
COM
87236Y108
3106
93071
SH
SOLE
0
0
93071
Time Warner Inc
COM
887317303
1855
24658
SH
SOLE
0
0
24658
T-Mobile US Inc
COM
872590104
4267
147790
SH
SOLE
0
0
147790
Toll Brothers Inc
COM
889478103
2175
69790
SH
SOLE
0
0
69790
Tribune Media Co
COM
896047503
283
4300
SH
SOLE
0
0
4300
TRIBUNE MEDIA CO - A
COM
896047115
130
2000
SH
SOLE
0
0
2000
United Parcel Service Inc
COM
911312106
491
5000
SH
SOLE
0
0
5000
Verizon Communications Inc
COM
92343V104
5359
107201
SH
SOLE
0
0
107201
Vodafone Group PLC
COM
92857W308
6334
192575
SH
SOLE
0
0
192575
Wynn Resorts Ltd
COM
983134107
7586
40550
SH
SOLE
0
0
40550
Xilinx Inc
COM
983919101
2476
58454
SH
SOLE
0
0
58454
Yahoo! Inc
COM
984332106
611
15000
SH
SOLE
0
0
15000
Bank of America Corp
OPT
060505104
82
2019
SH
Call
SOLE
0
0
2019
Cemex SAB de CV
OPT
151290889
12
1023
SH
Put
SOLE
0
0
1023
Ciena Corp
OPT
171779309
12
1000
SH
Call
SOLE
0
0
1000
Citigroup Inc
OPT
172967424
16
963
SH
Call
SOLE
0
0
963
Citrix Systems Inc
OPT
177376100
29
200
SH
Put
SOLE
0
0
200
Cliffs Natural Resources Inc
OPT
18683K101
46
288
SH
Put
SOLE
0
0
288
Cobalt International Energy In
OPT
19075F106
5
467
SH
Call
SOLE
0
0
467
Energy Select Sector SPDR Fund
OPT
81369Y506
68
928
SH
Put
SOLE
0
0
928
iShares Russell 2000 ETF
OPT
464287655
261
1442
SH
Put
SOLE
0
0
1442
iShares Russell 2000 ETF
OPT
464287655
2535
10000
SH
Put
SOLE
0
0
10000
Janus Capital Group Inc
OPT
47102X105
13
673
SH
Call
SOLE
0
0
673
NVIDIA Corp
OPT
67066G104
25
300
SH
Put
SOLE
0
0
300
Peabody Energy Corp
OPT
704549104
30
1154
SH
Put
SOLE
0
0
1154
PrepaYd Inc
OPT
08521A100
6
200
SH
Put
SOLE
0
0
200
salesforce.com inc
OPT
79466L302
38
200
SH
Put
SOLE
0
0
200
SunEdison Inc
OPT
86732Y109
2
277
SH
Call
SOLE
0
0
277
Symantec Corp
OPT
871503108
9
2310
SH
Call
SOLE
0
0
2310
Symantec Corp
OPT
871503108
48
1423
SH
Call
SOLE
0
0
1423
TAL Education Group
OPT
874080104
2
240
SH
Put
SOLE
0
0
240
Theravance Inc
OPT
88338T104
104
849
SH
Put
SOLE
0
0
849
Toll Brothers Inc
OPT
889478103
58
579
SH
Put
SOLE
0
0
579
United States Natural Gas Fund
OPT
912318201
37
291
SH
Put
SOLE
0
0
291
Walter Energy Inc
OPT
93317Q105
32
2476
SH
Put
SOLE
0
0
2476