0001140361-17-018539.txt : 20170505
0001140361-17-018539.hdr.sgml : 20170505
20170505103314
ACCESSION NUMBER: 0001140361-17-018539
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170505
DATE AS OF CHANGE: 20170505
EFFECTIVENESS DATE: 20170505
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: 17816610
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
03-31-2017
03-31-2017
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
05-04-2017
2
267
5345711
false
1
0001280782
028-11097
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
2
0001692234
028-17598
Russell Investments Group, Ltd.
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98235TAE7
104232
87254000
PRN
SOLE
87254000
0
0
WRIGHT MEDICAL GROUP INC
CONV
98235TAC1
276
269000
PRN
SOLE
269000
0
0
XILINX INC
CONV
983919AF8
17146
8496000
PRN
SOLE
8496000
0
0
YAHOO INC
CONV
984332AF3
120139
115648000
PRN
SOLE
115648000
0
0
ALLERGAN PLC
CONV PFD
EP0481507
55356
65238
SH
SOLE
65238
0
0
AMERICAN TOWER CORP
CONV PFD
03027X407
15892
141992
SH
SOLE
141992
0
0
ANTHEM INC
CONV PFD
036752202
54051
1078687
SH
SOLE
1078687
0
0
ANADARKO PETROLEUM CORP
CONV PFD
032511404
12311
283914
SH
SOLE
283914
0
0
ARCONIC INC
CONV PFD
03965L308
13318
327102
SH
SOLE
327102
0
0
BANK OF AMERICA CORP
CONV PFD
060505682
42513
35574
SH
SOLE
35574
0
0
DOMINION RESOURCES INC
CONV PFD
25746U836
22920
452182
SH
SOLE
452182
0
0
DTE ENERGY CO
CONV PFD
233331883
7964
147500
SH
SOLE
147500
0
0
FRONTIER COMMUNICATIONS
CONV PFD
35906A207
12773
259300
SH
SOLE
259300
0
0
GREAT PLAINS ENERGY INC
CONV PFD
391164878
7863
148531
SH
SOLE
148531
0
0
WELLTOWER INC
CONV PFD
95040Q203
10628
168000
SH
SOLE
168000
0
0
NEXTERA ENERGY INC
CONV PFD
65339F820
35352
697026
SH
SOLE
697026
0
0
NEXTERA ENERGY INC
CONV PFD
65339F846
6576
110171
SH
SOLE
110171
0
0
STERICYCLE INC
CONV PFD
858912207
7140
100000
SH
SOLE
100000
0
0
SOUTHWESTERN ENERGY CO
CONV PFD
845467208
6323
321432
SH
SOLE
321432
0
0
T-MOBILE US INC
CONV PFD
872590203
18794
178206
SH
SOLE
178206
0
0
TYSON FOODS INC
CONV PFD
902494301
4967
73895
SH
SOLE
73895
0
0
WELLS FARGO & COMPANY
CONV PFD
949746804
70809
57149
SH
SOLE
57149
0
0
AMERICAN AIRLINES GROUP INC
COM
02376R102
4230
100000
SH
SOLE
100000
0
0
ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II
COM
007639107
3385
554000
SH
SOLE
554000
0
0
ALLERGAN PLC
COM
G0177J108
428
1790
SH
SOLE
1790
0
0
AIR LEASE CORP
COM
00912X302
685
17669
SH
SOLE
17669
0
0
BANK OF AMERICA CORP
COM
060505104
590
25000
SH
SOLE
25000
0
0
BIOGEN INC
COM
09062X103
4648
17000
SH
SOLE
17000
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
232
2640
SH
SOLE
2640
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
6943
127680
SH
SOLE
127680
0
0
B2GOLD CORP
COM
11777Q209
71
25000
SH
SOLE
25000
0
0
CHARTER COMMUNICATIONS INC
COM
16119P108
327
1000
SH
SOLE
1000
0
0
CLOVIS ONCOLOGY INC
COM
189464100
318
5000
SH
SOLE
5000
0
0
COMERICA INC
COM
200340107
664
9680
SH
SOLE
9680
0
0
CONOCOPHILLIPS
COM
20825C104
748
15000
SH
SOLE
15000
0
0
CENTURYLINK INC
COM
156700106
5689
241360
SH
SOLE
241360
0
0
DYNEGY INC
COM
26817R108
103
13124
SH
SOLE
13124
0
0
FORD MOTOR CO
COM
345370860
4521
388397
SH
SOLE
388397
0
0
FREEPORT-MCMORAN INC
COM
35671D857
468
35000
SH
SOLE
35000
0
0
GILEAD SCIENCES INC
COM
375558103
3009
44300
SH
SOLE
44300
0
0
SPDR GOLD SHARES
COM
78463V107
594
5000
SH
SOLE
5000
0
0
GENERAL MOTORS CO
COM
37045V100
6789
192000
SH
SOLE
192000
0
0
ALPHABET INC
COM
02079K107
5807
7000
SH
SOLE
7000
0
0
KEYCORP
COM
493267108
628
35315
SH
SOLE
35315
0
0
L BRANDS INC
COM
501797104
4239
90000
SH
SOLE
90000
0
0
LENNAR CORP
COM
526057104
640
12510
SH
SOLE
12510
0
0
LOCKHEED MARTIN CORP
COM
539830109
6958
26000
SH
SOLE
26000
0
0
LYONDELLBASELL INDUSTRIES NV
COM
N53745100
2280
25000
SH
SOLE
25000
0
0
MACY'S INC
COM
55616P104
936
31585
SH
SOLE
31585
0
0
MACQUARIE INFRASTRUCTURE CORP
COM
55608B105
6044
75000
SH
SOLE
75000
0
0
MERCK & CO INC
COM
58933Y105
4130
65000
SH
SOLE
65000
0
0
MICRON TECHNOLOGY INC
COM
595112103
255
8821
SH
SOLE
8821
0
0
NABORS INDUSTRIES LTD
COM
G6359F103
271
20700
SH
SOLE
20700
0
0
RED HAT INC
COM
756577102
10208
118015
SH
SOLE
118015
0
0
SPRINT CORP
COM
85207U105
868
100000
SH
SOLE
100000
0
0
TRIUMPH GROUP INC
COM
896818101
386
15000
SH
SOLE
15000
0
0
T-MOBILE US INC
COM
872590104
854
13220
SH
SOLE
13220
0
0
TOLL BROTHERS INC
COM
889478103
488
13510
SH
SOLE
13510
0
0
UNITED PARCEL SERVICE INC
COM
911312106
8196
76380
SH
SOLE
76380
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
6094
125000
SH
SOLE
125000
0
0
WEB.COM GROUP INC
COM
94733A104
229
11850
SH
SOLE
11850
0
0
WEATHERFORD INTERNATIONAL PLC
COM
G48833100
78
11700
SH
SOLE
11700
0
0
CLOVIS ONCOLOGY INC
OPT
189464900
35
300
SH
Call
SOLE
300
0
0
CONOCOPHILLIPS
OPT
20825C954
5
250
SH
Put
SOLE
250
0
0
CONOCOPHILLIPS
OPT
20825C904
11
500
SH
Call
SOLE
500
0
0
CISCO SYSTEMS INC
OPT
17275R902
20
3000
SH
Call
SOLE
3000
0
0
CENTURYLINK INC
OPT
156700956
3
450
SH
Put
SOLE
450
0
0
CTRIP.COM INTERNATIONAL LTD
OPT
22943F900
105
1000
SH
Call
SOLE
1000
0
0
DEUTSCHE BANK AG
OPT
D18190908
17
300
SH
Call
SOLE
300
0
0
DEPOMED INC
OPT
249908904
8
1000
SH
Call
SOLE
1000
0
0
DEPOMED INC
OPT
249908954
150
1000
SH
Put
SOLE
1000
0
0
DEPOMED INC
OPT
249908954
123
1000
SH
Put
SOLE
1000
0
0
EP ENERGY CORP
OPT
268785952
23
3000
SH
Put
SOLE
3000
0
0
FIREEYE INC
OPT
31816Q951
2
200
SH
Put
SOLE
200
0
0
FIREEYE INC
OPT
31816Q901
64
750
SH
Call
SOLE
750
0
0
FIREEYE INC
OPT
31816Q901
2
259
SH
Call
SOLE
259
0
0
FRONTIER COMMUNICATIONS CORP
OPT
35906A958
159
3533
SH
Put
SOLE
3533
0
0
FRONTIER COMMUNICATIONS CORP
OPT
35906A958
840
14000
SH
Put
SOLE
14000
0
0
GENERAL ELECTRIC CO
OPT
369604903
71
3000
SH
Call
SOLE
3000
0
0
ISHARES RUSSELL 2000 ETF
OPT
464287955
3
600
SH
Put
SOLE
600
0
0
KEYCORP
OPT
493267908
26
1500
SH
Call
SOLE
1500
0
0
MACY'S INC
OPT
55616P904
26
1250
SH
Call
SOLE
1250
0
0
NABORS INDUSTRIES LTD
OPT
G6359F953
16
1000
SH
Put
SOLE
1000
0
0
SERVICENOW INC
OPT
81762P902
21
300
SH
Call
SOLE
300
0
0
NXP SEMICONDUCTORS NV
OPT
N6596X959
4
220
SH
Put
SOLE
220
0
0
ON SEMICONDUCTOR CORP
OPT
682189905
115
2000
SH
Call
SOLE
2000
0
0
PALO ALTO NETWORKS INC
OPT
697435905
5
300
SH
Call
SOLE
300
0
0
PFIZER INC
OPT
717081903
17
1500
SH
Call
SOLE
1500
0
0
POWERSHARES QQQ TRUST SERIES 1
OPT
73935A954
10
500
SH
Put
SOLE
500
0
0
LIBERTY INTERACTIVE CORP QVC G
OPT
53071M904
7
150
SH
Call
SOLE
150
0
0
RED HAT INC
OPT
756577902
4
50
SH
Call
SOLE
50
0
0
RED HAT INC
OPT
756577902
63
200
SH
Call
SOLE
200
0
0
SPRINT CORP
OPT
85207U905
12
1000
SH
Call
SOLE
1000
0
0
SANTANDER CONSUMER USA HOLDING
OPT
80283M951
10
1000
SH
Put
SOLE
1000
0
0
SPDR S&P500 ETF TRUST
OPT
78462F953
6
1000
SH
Put
SOLE
1000
0
0
TEVA PHARMACEUTICAL INDUSTRIES
OPT
881624909
11
1000
SH
Call
SOLE
1000
0
0
T-MOBILE US INC
OPT
872590904
15
50
SH
Call
SOLE
50
0
0
VALEANT PHARMACEUTICALS INTERN
OPT
91911K902
0
150
SH
Call
SOLE
150
0
0
WEBMD HEALTH CORP
OPT
94770V952
0
1
SH
Put
SOLE
1
0
0
WHITING PETROLEUM CORP
OPT
966387952
2
700
SH
Put
SOLE
700
0
0
WHITING PETROLEUM CORP
OPT
966387952
8
700
SH
Put
SOLE
700
0
0
FINANCIAL SELECT SECTOR SPDR F
OPT
81369Y905
27
1000
SH
Call
SOLE
1000
0
0
YAHOO! INC
OPT
984332906
23
1000
SH
Call
SOLE
1000
0
0
ZILLOW GROUP INC
OPT
98954M950
9
400
SH
Put
SOLE
400
0
0
ZILLOW GROUP INC
OPT
98954M950
10
300
SH
Put
SOLE
300
0
0
ZILLOW GROUP INC
OPT
98954M950
28
400
SH
Put
SOLE
400
0
0