0001140361-17-006064.txt : 20170213
0001140361-17-006064.hdr.sgml : 20170213
20170213122443
ACCESSION NUMBER: 0001140361-17-006064
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170213
DATE AS OF CHANGE: 20170213
EFFECTIVENESS DATE: 20170213
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: 17597359
BUSINESS ADDRESS:
STREET 1: 1271 AVENUE OF THE AMERICAS 45 FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10020
BUSINESS PHONE: 2124821600
MAIL ADDRESS:
STREET 1: 1271 AVENUE OF THE AMERICAS 45 FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10020
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
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0001097278
XXXXXXXX
12-31-2016
12-31-2016
ADVENT CAPITAL MANAGEMENT /DE/
1271 AVENUE OF THE AMERICAS 45 FLOOR
NEW YORK
NY
10020
13F HOLDINGS REPORT
028-05049
N
Paul L Latronica
Managing Director and Portfolio Manager
212-482-1606
/s/ Paul L Latronica
New York
NY
02-10-2017
2
320
5432123
false
1
0001280782
028-11097
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
2
0001692234
028-17598
Russell Investments Group, Ltd.
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form13fInfoTable.xml
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98138HAC5
30829
29313000
PRN
SOLE
29313000
0
0
WRIGHT MEDICAL GROUP INC
CONV
98235TAC1
276
269000
PRN
SOLE
269000
0
0
WRIGHT MEDICAL GROUP INC
CONV
98235TAE7
95060
90886000
PRN
SOLE
90886000
0
0
XILINX INC
CONV
983919AF8
24795
11811000
PRN
SOLE
11811000
0
0
YAHOO INC
CONV
984332AF3
105885
106857000
PRN
SOLE
106857000
0
0
ANTHEM INC
CONV PFD
036752202
62200
1326274
SH
SOLE
1326274
0
0
BANK OF AMERICA CORP
CONV PFD
060505682
41508
35574
SH
SOLE
35574
0
0
ALLERGAN PLC
CONV PFD
EP0481507
56941
74636
SH
SOLE
74636
0
0
AMERICAN TOWER CORP
CONV PFD
03027X407
17680
170445
SH
SOLE
170445
0
0
ARCONIC INC
CONV PFD
03965L308
11924
393670
SH
SOLE
393670
0
0
DTE ENERGY CO
CONV PFD
233331883
7254
137500
SH
SOLE
137500
0
0
DOMINION RESOURCES INC
CONV PFD
25746U836
23665
468005
SH
SOLE
468005
0
0
DYNEGY INC
CONV PFD
26817R405
4194
67715
SH
SOLE
67715
0
0
FRONTIER COMMUNICATIONS
CONV PFD
35906A207
38328
539219
SH
SOLE
539219
0
0
GREAT PLAINS ENERGY INC
CONV PFD
391164878
7892
155865
SH
SOLE
155865
0
0
KEYCORP
CONV PFD
493267405
38901
288157
SH
SOLE
288157
0
0
NEXTERA ENERGY INC
CONV PFD
65339F820
37350
761473
SH
SOLE
761473
0
0
NEXTERA ENERGY INC
CONV PFD
65339F846
6455
112171
SH
SOLE
112171
0
0
SOUTHWESTERN ENERGY CO
CONV PFD
845467208
9062
354457
SH
SOLE
354457
0
0
STERICYCLE INC
CONV PFD
858912207
6357
100000
SH
SOLE
100000
0
0
T-MOBILE US INC
CONV PFD
872590203
15713
166498
SH
SOLE
166498
0
0
TYSON FOODS INC
CONV PFD
902494301
5092
75000
SH
SOLE
75000
0
0
WELLS FARGO & COMPANY
CONV PFD
949746804
72290
60748
SH
SOLE
60748
0
0
WELLTOWER INC
CONV PFD
95040Q203
10096
168000
SH
SOLE
168000
0
0
LAZARD LTD
COM
G54050102
6574
160000
SH
SOLE
160000
0
0
WEATHERFORD INTERNATIONAL PLC
COM
G48833100
499
100000
SH
SOLE
100000
0
0
HERBALIFE LTD
COM
G4412G101
3067
63700
SH
SOLE
63700
0
0
LYONDELLBASELL INDUSTRIES NV
COM
N53745100
2144
25000
SH
SOLE
25000
0
0
ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II
COM
007639107
2940
500000
SH
SOLE
500000
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
1021
90000
SH
SOLE
90000
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
73
600
SH
SOLE
600
0
0
ASTORIA FINANCIAL CORP
COM
046265104
1585
85000
SH
SOLE
85000
0
0
ATWOOD OCEANICS INC
COM
050095108
328
25000
SH
SOLE
25000
0
0
BANK OF AMERICA CORP
COM
060505104
1658
75000
SH
SOLE
75000
0
0
TARGET CORP
COM
87612E106
1806
25000
SH
SOLE
25000
0
0
VALE SA
COM
91912E105
533
70000
SH
SOLE
70000
0
0
AMERICAN AIRLINES GROUP INC
COM
02376R102
700
15000
SH
SOLE
15000
0
0
ARCELORMITTAL
COM
03938L104
657
90000
SH
SOLE
90000
0
0
ARES CAPITAL CORP
COM
04010L103
1044
63300
SH
SOLE
63300
0
0
BIOGEN INC
COM
09062X103
4821
17000
SH
SOLE
17000
0
0
CBS CORP
COM
124857202
3035
47700
SH
SOLE
47700
0
0
CIGNA CORP
COM
125509109
7603
57000
SH
SOLE
57000
0
0
CENTURYLINK INC
COM
156700106
1189
50000
SH
SOLE
50000
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
1334
190000
SH
SOLE
190000
0
0
WALT DISNEY CO/THE
COM
254687106
1563
15000
SH
SOLE
15000
0
0
FACEBOOK INC
COM
30303M102
4602
40000
SH
SOLE
40000
0
0
GENERAL MOTORS CO
COM
37045V100
6689
192000
SH
SOLE
192000
0
0
GILEAD SCIENCES INC
COM
375558103
5192
72500
SH
SOLE
72500
0
0
INTEGRATED DEVICE TECHNOLOGY I
COM
458118106
589
25000
SH
SOLE
25000
0
0
ISHARES MSCI EMERGING MARKETS
COM
464287234
26
731
SH
SOLE
731
0
0
JETBLUE AIRWAYS CORP
COM
477143101
561
25000
SH
SOLE
25000
0
0
KLA-TENCOR CORP
COM
482480100
4426
56250
SH
SOLE
56250
0
0
L BRANDS INC
COM
501797104
4609
70000
SH
SOLE
70000
0
0
LOCKHEED MARTIN CORP
COM
539830109
3999
16000
SH
SOLE
16000
0
0
MACQUARIE INFRASTRUCTURE CORP
COM
55608B105
1021
12500
SH
SOLE
12500
0
0
MERCK & CO INC
COM
58933Y105
3827
65000
SH
SOLE
65000
0
0
MICRON TECHNOLOGY INC
COM
595112103
2082
95000
SH
SOLE
95000
0
0
PFIZER INC
COM
717081103
747
23000
SH
SOLE
23000
0
0
RED HAT INC
COM
756577102
8341
119666
SH
SOLE
119666
0
0
REGIONS FINANCIAL CORP
COM
7591EP100
503
35000
SH
SOLE
35000
0
0
SM ENERGY CO
COM
78454L100
690
20000
SH
SOLE
20000
0
0
SONY CORP
COM
835699307
701
25000
SH
SOLE
25000
0
0
SPRINT CORP
COM
85207U105
421
50000
SH
SOLE
50000
0
0
T-MOBILE US INC
COM
872590104
2157
37500
SH
SOLE
37500
0
0
TERADYNE INC
COM
880770102
635
25000
SH
SOLE
25000
0
0
TIME WARNER INC
COM
887317303
5357
55500
SH
SOLE
55500
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
6673
125000
SH
SOLE
125000
0
0
WEB.COM GROUP INC
COM
94733A104
529
25000
SH
SOLE
25000
0
0
WEBMD HEALTH CORP
COM
94770V102
659
13300
SH
SOLE
13300
0
0
WELLS FARGO & CO
COM
949746101
8267
150000
SH
SOLE
150000
0
0
ALLERGAN PLC
OPT
G0177J908
48
50
SH
Call
SOLE
50
0
0
ENDO INTERNATIONAL PLC
OPT
G30401906
15
1500
SH
Call
SOLE
1500
0
0
GOLAR LNG LTD
OPT
G9456A950
1
250
SH
Put
SOLE
250
0
0
WEATHERFORD INTERNATIONAL PLC
OPT
G48833950
5
1000
SH
Put
SOLE
1000
0
0
WEATHERFORD INTERNATIONAL PLC
OPT
G48833950
5
500
SH
Put
SOLE
500
0
0
AMERICAN AIRLINES GROUP INC
OPT
02376R902
3
300
SH
Call
SOLE
300
0
0
AMERICAN AIRLINES GROUP INC
OPT
02376R952
19
200
SH
Put
SOLE
200
0
0
ASTORIA FINANCIAL CORP
OPT
046265904
19
500
SH
Call
SOLE
500
0
0
AK STEEL HOLDING CORP
OPT
001547908
8
400
SH
Call
SOLE
400
0
0
AK STEEL HOLDING CORP
OPT
001547908
4
500
SH
Call
SOLE
500
0
0
AK STEEL HOLDING CORP
OPT
001547908
2
1000
SH
Call
SOLE
1000
0
0
ALEXION PHARMACEUTICALS INC
OPT
015351909
25
200
SH
Call
SOLE
200
0
0
ADVANCED MICRO DEVICES INC
OPT
007903907
30
2000
SH
Call
SOLE
2000
0
0
ADVANCED MICRO DEVICES INC
OPT
007903957
10
950
SH
Put
SOLE
950
0
0
AMKOR TECHNOLOGY INC
OPT
031652950
8
500
SH
Put
SOLE
500
0
0
ATWOOD OCEANICS INC
OPT
050095958
2
150
SH
Put
SOLE
150
0
0
ATWOOD OCEANICS INC
OPT
050095958
2
100
SH
Put
SOLE
100
0
0
BANK OF AMERICA CORP
OPT
060505904
41
2400
SH
Call
SOLE
2400
0
0
BANK OF AMERICA CORP
OPT
060505904
11
2000
SH
Call
SOLE
2000
0
0
BANK OF AMERICA CORP
OPT
060505954
4
1000
SH
Put
SOLE
1000
0
0
BANK OF AMERICA CORP
OPT
060505954
3
317
SH
Put
SOLE
317
0
0
BANK OF AMERICA CORP
OPT
060505954
18
750
SH
Put
SOLE
750
0
0
BANC OF CALIFORNIA INC
OPT
05990K906
147
600
SH
Call
SOLE
600
0
0
BANC OF CALIFORNIA INC
OPT
05990K956
0
100
SH
Put
SOLE
100
0
0
BIOMARIN PHARMACEUTICAL INC
OPT
09061G901
0
3
SH
Call
SOLE
3
0
0
BIOMARIN PHARMACEUTICAL INC
OPT
09061G901
34
500
SH
Call
SOLE
500
0
0
CBS CORP
OPT
124857902
9
300
SH
Call
SOLE
300
0
0
CBS CORP
OPT
124857952
11
200
SH
Put
SOLE
200
0
0
CHESAPEAKE ENERGY CORP
OPT
165167907
5
1000
SH
Call
SOLE
1000
0
0
CHESAPEAKE ENERGY CORP
OPT
165167957
18
1000
SH
Put
SOLE
1000
0
0
CHESAPEAKE ENERGY CORP
OPT
165167957
11
1000
SH
Put
SOLE
1000
0
0
CLOVIS ONCOLOGY INC
OPT
189464900
6
50
SH
Call
SOLE
50
0
0
CLOVIS ONCOLOGY INC
OPT
189464950
2
150
SH
Put
SOLE
150
0
0
CENTURYLINK INC
OPT
156700956
8
300
SH
Put
SOLE
300
0
0
CTRIP.COM INTERNATIONAL LTD
OPT
22943F900
5
100
SH
Call
SOLE
100
0
0
CYPRESS SEMICONDUCTOR CORP
OPT
232806909
19
1100
SH
Call
SOLE
1100
0
0
DEERE & CO
OPT
244199955
17
500
SH
Put
SOLE
500
0
0
SPDR DOW JONES INDUSTRIAL AVER
OPT
78467X909
1
500
SH
Call
SOLE
500
0
0
WALT DISNEY CO/THE
OPT
254687906
6
300
SH
Call
SOLE
300
0
0
WALT DISNEY CO/THE
OPT
254687956
7
200
SH
Put
SOLE
200
0
0
ISHARES MSCI EMERGING MARKETS
OPT
464287951
12
750
SH
Put
SOLE
750
0
0
FORD MOTOR CO
OPT
345370900
4
1500
SH
Call
SOLE
1500
0
0
FREEPORT-MCMORAN INC
OPT
35671D907
1
600
SH
Call
SOLE
600
0
0
FIREEYE INC
OPT
31816Q951
17
500
SH
Put
SOLE
500
0
0
FIREEYE INC
OPT
31816Q901
7
1000
SH
Call
SOLE
1000
0
0
AMICUS THERAPEUTICS INC
OPT
03152W909
3
500
SH
Call
SOLE
500
0
0
FRONTIER COMMUNICATIONS CORP
OPT
35906A908
23
3000
SH
Call
SOLE
3000
0
0
GENERAL ELECTRIC CO
OPT
369604903
32
1000
SH
Call
SOLE
1000
0
0
INTEGRATED DEVICE TECHNOLOGY I
OPT
458118956
24
150
SH
Put
SOLE
150
0
0
JETBLUE AIRWAYS CORP
OPT
477143901
7
300
SH
Call
SOLE
300
0
0
JETBLUE AIRWAYS CORP
OPT
477143951
6
250
SH
Put
SOLE
250
0
0
COCA-COLA CO/THE
OPT
191216900
4
2000
SH
Call
SOLE
2000
0
0
MICROSOFT CORP
OPT
594918904
3
300
SH
Call
SOLE
300
0
0
ARCELORMITTAL
OPT
03938L954
36
600
SH
Put
SOLE
600
0
0
ARCELORMITTAL
OPT
03938L904
2
1000
SH
Call
SOLE
1000
0
0
MICRON TECHNOLOGY INC
OPT
595112903
32
300
SH
Call
SOLE
300
0
0
MICRON TECHNOLOGY INC
OPT
595112903
1
1000
SH
Call
SOLE
1000
0
0
MICRON TECHNOLOGY INC
OPT
595112953
1
500
SH
Put
SOLE
500
0
0
MICRON TECHNOLOGY INC
OPT
595112953
25
1000
SH
Put
SOLE
1000
0
0
MICRON TECHNOLOGY INC
OPT
595112953
9
200
SH
Put
SOLE
200
0
0
NXP SEMICONDUCTORS NV
OPT
N6596X909
22
2884
SH
Call
SOLE
2884
0
0
REGIONS FINANCIAL CORP
OPT
7591EP950
3
400
SH
Put
SOLE
400
0
0
RED HAT INC
OPT
756577952
12
250
SH
Put
SOLE
250
0
0
SANTANDER CONSUMER USA HOLDING
OPT
80283M951
60
600
SH
Put
SOLE
600
0
0
SUCAMPO PHARMACEUTICALS INC
OPT
864909906
7
250
SH
Call
SOLE
250
0
0
SUCAMPO PHARMACEUTICALS INC
OPT
864909956
7
250
SH
Put
SOLE
250
0
0
VANECK VECTORS SEMICONDUCTOR E
OPT
92189F906
57
300
SH
Call
SOLE
300
0
0
SONY CORP
OPT
835699957
5
300
SH
Put
SOLE
300
0
0
SPDR S&P500 ETF TRUST
OPT
78462F903
6
1000
SH
Call
SOLE
1000
0
0
SPDR S&P500 ETF TRUST
OPT
78462F953
29
500
SH
Put
SOLE
500
0
0
SPDR S&P500 ETF TRUST
OPT
78462F953
19
174
SH
Put
SOLE
174
0
0
TERADYNE INC
OPT
880770952
4
200
SH
Put
SOLE
200
0
0
TEVA PHARMACEUTICAL INDUSTRIES
OPT
881624909
9
150
SH
Call
SOLE
150
0
0
T-MOBILE US INC
OPT
872590954
8
200
SH
Put
SOLE
200
0
0
T-MOBILE US INC
OPT
872590904
18
300
SH
Call
SOLE
300
0
0
TOLL BROTHERS INC
OPT
889478903
1
100
SH
Call
SOLE
100
0
0
TYSON FOODS INC
OPT
902494903
35
300
SH
Call
SOLE
300
0
0
TWITTER INC
OPT
90184L902
3
1000
SH
Call
SOLE
1000
0
0
TWITTER INC
OPT
90184L902
3
500
SH
Call
SOLE
500
0
0
VALE SA
OPT
91912E905
12
2000
SH
Call
SOLE
2000
0
0
VALEANT PHARMACEUTICALS INTERN
OPT
91911K902
12
600
SH
Call
SOLE
600
0
0
VALEANT PHARMACEUTICALS INTERN
OPT
91911K952
8
768
SH
Put
SOLE
768
0
0
WEBMD HEALTH CORP
OPT
94770V902
1
100
SH
Call
SOLE
100
0
0
WEB.COM GROUP INC
OPT
94733A954
14
400
SH
Put
SOLE
400
0
0
WHITING PETROLEUM CORP
OPT
966387902
6
350
SH
Call
SOLE
350
0
0
WWE
OPT
98156Q958
32
700
SH
Put
SOLE
700
0
0
FINANCIAL SELECT SECTOR SPDR F
OPT
81369Y905
13
5000
SH
Call
SOLE
5000
0
0
YAHOO! INC
OPT
984332906
3
500
SH
Call
SOLE
500
0
0
YAHOO! INC
OPT
984332956
6
300
SH
Put
SOLE
300
0
0