0001140361-17-042421.txt : 20171114
0001140361-17-042421.hdr.sgml : 20171114
20171114110736
ACCESSION NUMBER: 0001140361-17-042421
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171114
DATE AS OF CHANGE: 20171114
EFFECTIVENESS DATE: 20171114
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: 171199286
BUSINESS ADDRESS:
STREET 1: 888 SEVENTH AVENUE, 31ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2124821600
MAIL ADDRESS:
STREET 1: 888 SEVENTH AVENUE, 31ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001097278
XXXXXXXX
09-30-2017
09-30-2017
ADVENT CAPITAL MANAGEMENT /DE/
888 SEVENTH AVENUE, 31ST FLOOR
NEW YORK
NY
10019
13F HOLDINGS REPORT
028-05049
N
Paul L Latronica
Managing Director and Portfolio Manager
212-482-1606
/s/ Paul L Latronica
New York
NY
11-13-2017
2
297
5281011
false
1
0001280782
028-11097
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
2
0001692234
028-17598
Russell Investments Group, Ltd.
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2534
SH
SOLE
2534
0
0
Allegheny Technologies Inc
COM
01741R102
418
17500
SH
SOLE
17500
0
0
Bank of America Corp
COM
060505104
760
30000
SH
SOLE
30000
0
0
Brunswick Corp/DE
COM
117043109
280
5000
SH
SOLE
5000
0
0
B2Gold Corp
COM
11777Q209
244
87000
SH
SOLE
87000
0
0
Cinedigm Corp
COM
172406209
53
36666
SH
SOLE
36666
0
0
Clovis Oncology Inc
COM
189464100
412
5000
SH
SOLE
5000
0
0
Citrix Systems Inc
COM
177376100
1460
19000
SH
SOLE
19000
0
0
Cemex SAB de CV
COM
151290889
1462
161000
SH
SOLE
161000
0
0
Walt Disney Co/The
COM
254687106
3943
40000
SH
SOLE
40000
0
0
Eaton Corp PLC
COM
G29183103
3840
50000
SH
SOLE
50000
0
0
Ford Motor Co
COM
345370860
599
50000
SH
SOLE
50000
0
0
FireEye Inc
COM
31816Q101
252
15000
SH
SOLE
15000
0
0
Flexion Therapeutics Inc
COM
33938J106
363
15000
SH
SOLE
15000
0
0
TechnipFMC PLC
COM
G87110105
312
11300
SH
SOLE
11300
0
0
General Dynamics Corp
COM
369550108
4182
20344
SH
SOLE
20344
0
0
SPDR Gold Shares
COM
78463V107
1824
15000
SH
SOLE
15000
0
0
General Motors Co
COM
37045V100
6138
152000
SH
SOLE
152000
0
0
Goodyear Tire & Rubber Co/The
COM
382550101
665
20000
SH
SOLE
20000
0
0
IAC/InterActiveCorp
COM
44919P508
118
1000
SH
SOLE
1000
0
0
II-VI Inc
COM
902104108
165
4000
SH
SOLE
4000
0
0
Incyte Corp
COM
45337C102
5895
50500
SH
SOLE
50500
0
0
Intel Corp
COM
458140100
952
25000
SH
SOLE
25000
0
0
KeyCorp
COM
493267108
471
25000
SH
SOLE
25000
0
0
Lazard Ltd
COM
G54050102
4748
105000
SH
SOLE
105000
0
0
Lowe's Cos Inc
COM
548661107
3357
42000
SH
SOLE
42000
0
0
Macy's Inc
COM
55616P104
4364
200000
SH
SOLE
200000
0
0
Merck & Co Inc
COM
58933Y105
5186
81000
SH
SOLE
81000
0
0
Morgan Stanley
COM
617446448
2649
55000
SH
SOLE
55000
0
0
Micron Technology Inc
COM
595112103
1967
50000
SH
SOLE
50000
0
0
Novartis AG
COM
66987V109
634
7385
SH
SOLE
7385
0
0
Priceline Group Inc/The
COM
741503403
6994
3820
SH
SOLE
3820
0
0
Pfizer Inc
COM
717081103
893
25000
SH
SOLE
25000
0
0
PTC Therapeutics Inc
COM
69366J200
200
10000
SH
SOLE
10000
0
0
Royal Gold Inc
COM
780287108
5188
60300
SH
SOLE
60300
0
0
Sprint Corp
COM
85207U105
467
60000
SH
SOLE
60000
0
0
Synchrony Financial
COM
87165B103
1863
60000
SH
SOLE
60000
0
0
Teradyne Inc
COM
880770102
373
10000
SH
SOLE
10000
0
0
Teva Pharmaceutical Industries
COM
881624209
880
50000
SH
SOLE
50000
0
0
TPG Pace Energy Holdings Corp
COM
872656202
3060
300000
SH
SOLE
300000
0
0
LendingTree Inc
COM
52603B107
6356
26000
SH
SOLE
26000
0
0
Twitter Inc
COM
90184L102
268
15898
SH
SOLE
15898
0
0
UnitedHealth Group Inc
COM
91324P102
769
3926
SH
SOLE
3926
0
0
Union Pacific Corp
COM
907818108
1803
15544
SH
SOLE
15544
0
0
United Parcel Service Inc
COM
911312106
7638
63600
SH
SOLE
63600
0
0
Veeco Instruments Inc
COM
922417100
428
20000
SH
SOLE
20000
0
0
VEON Ltd
COM
91822M106
357
85300
SH
SOLE
85300
0
0
Verizon Communications Inc
COM
92343V104
6186
125000
SH
SOLE
125000
0
0
Wal-Mart Stores Inc
COM
931142103
5695
72876
SH
SOLE
72876
0
0
WPX Energy Inc
COM
98212B103
690
60000
SH
SOLE
60000
0
0
United States Steel Corp
COM
912909108
706
27500
SH
SOLE
27500
0
0
Zillow Group Inc
COM
98954M200
339
8420
SH
SOLE
8420
0
0
Altaba Inc
OPT
021346951
9
500
SH
Put
SOLE
500
0
0
Apple Inc
OPT
037833900
3
100
SH
Call
SOLE
100
0
0
Apple Inc
OPT
037833900
27
400
SH
Call
SOLE
400
0
0
AbbVie Inc
OPT
00287Y909
36
100
SH
Call
SOLE
100
0
0
Akamai Technologies Inc
OPT
00971T901
13
300
SH
Call
SOLE
300
0
0
Advanced Micro Devices Inc
OPT
007903957
2
400
SH
Put
SOLE
400
0
0
Amazon.com Inc
OPT
023135906
49
25
SH
Call
SOLE
25
0
0
Allegheny Technologies Inc
OPT
01741R952
2
175
SH
Put
SOLE
175
0
0
Bank of America Corp
OPT
060505904
15
800
SH
Call
SOLE
800
0
0
BioMarin Pharmaceutical Inc
OPT
09061G951
8
150
SH
Put
SOLE
150
0
0
Crown Castle International Cor
OPT
22822V951
7
70
SH
Put
SOLE
70
0
0
Chesapeake Energy Corp
OPT
165167907
6
1500
SH
Call
SOLE
1500
0
0
Ctrip.com International Ltd
OPT
22943F950
2
300
SH
Put
SOLE
300
0
0
Cemex SAB de CV
OPT
151290959
4
203
SH
Put
SOLE
203
0
0
Depomed Inc
OPT
249908954
98
1000
SH
Put
SOLE
1000
0
0
Flexion Therapeutics Inc
OPT
33938J906
61
250
SH
Call
SOLE
250
0
0
Finisar Corp
OPT
31787A957
2
100
SH
Put
SOLE
100
0
0
SPDR Gold Shares
OPT
78463V957
7
150
SH
Put
SOLE
150
0
0
Green Plains Inc
OPT
393222904
8
500
SH
Call
SOLE
500
0
0
HCI Group Inc
OPT
40416E953
2
200
SH
Put
SOLE
200
0
0
II-VI Inc
OPT
902104958
4
400
SH
Put
SOLE
400
0
0
Incyte Corp
OPT
45337C902
4
70
SH
Call
SOLE
70
0
0
Incyte Corp
OPT
45337C952
7
100
SH
Put
SOLE
100
0
0
Impax Laboratories Inc
OPT
45256B901
81
806
SH
Put
SOLE
806
0
0
iShares Russell 2000 ETF
OPT
464287955
8
500
SH
Put
SOLE
500
0
0
KeyCorp
OPT
493267958
0
250
SH
Put
SOLE
250
0
0
Live Nation Entertainment Inc
OPT
538034959
1
180
SH
Put
SOLE
180
0
0
Microchip Technology Inc
OPT
595017954
6
120
SH
Put
SOLE
120
0
0
Meritor Inc
OPT
59001K950
10
500
SH
Put
SOLE
500
0
0
Micron Technology Inc
OPT
595112953
1
200
SH
Put
SOLE
200
0
0
Micron Technology Inc
OPT
595112953
2
200
SH
Put
SOLE
200
0
0
Nabors Industries Ltd
OPT
G6359F903
41
1000
SH
Call
SOLE
1000
0
0
ServiceNow Inc
OPT
81762P902
9
200
SH
Call
SOLE
200
0
0
Oracle Corp
OPT
68389X905
0
300
SH
Call
SOLE
300
0
0
Palo Alto Networks Inc
OPT
697435905
27
100
SH
Call
SOLE
100
0
0
Priceline Group Inc/The
OPT
741503953
39
50
SH
Put
SOLE
50
0
0
PTC Therapeutics Inc
OPT
69366J950
6
100
SH
Put
SOLE
100
0
0
Ferrari NV
OPT
N3167Y903
1
50
SH
Call
SOLE
50
0
0
Ferrari NV
OPT
N3167Y953
8
110
SH
Put
SOLE
110
0
0
Royal Gold Inc
OPT
780287958
95
200
SH
Put
SOLE
200
0
0
SPDR S&P 500 ETF Trust
OPT
78462F953
13
600
SH
Put
SOLE
600
0
0
Scorpio Tankers Inc
OPT
Y7542C906
5
1000
SH
Call
SOLE
1000
0
0
AT&T Inc
OPT
00206R952
2
300
SH
Put
SOLE
300
0
0
AT&T Inc
OPT
00206R952
4
500
SH
Put
SOLE
500
0
0
AT&T Inc
OPT
00206R952
16
1000
SH
Put
SOLE
1000
0
0
Teradyne Inc
OPT
880770952
2
150
SH
Put
SOLE
150
0
0
Teva Pharmaceutical Industries
OPT
881624959
2
300
SH
Put
SOLE
300
0
0
Teva Pharmaceutical Industries
OPT
881624909
7
1700
SH
Call
SOLE
1700
0
0
Tapestry Inc
OPT
876030907
6
200
SH
Call
SOLE
200
0
0
LendingTree Inc
OPT
52603B907
52
100
SH
Call
SOLE
100
0
0
Twitter Inc
OPT
90184L952
7
500
SH
Put
SOLE
500
0
0
Wal-Mart Stores Inc
OPT
931142953
4
230
SH
Put
SOLE
230
0
0
WPX Energy Inc
OPT
98212B953
5
600
SH
Put
SOLE
600
0
0
Zillow Group Inc
OPT
98954M950
4
200
SH
Put
SOLE
200
0
0
Zillow Group Inc
OPT
98954M950
9
600
SH
Put
SOLE
600
0
0
Zillow Group Inc
OPT
98954M950
18
300
SH
Put
SOLE
300
0
0
Allergan PLC
CONV PFD
G0177J116
48912
66208
SH
SOLE
66208
0
0
American Tower Corp
CONV PFD
03027X407
14633
119401
SH
SOLE
119401
0
0
Anthem Inc
CONV PFD
036752202
17092
327707
SH
SOLE
327707
0
0
Anadarko Petroleum Corp
CONV PFD
032511404
4845
122489
SH
SOLE
122489
0
0
Arconic Inc
CONV PFD
03965L308
63
1615
SH
SOLE
1615
0
0
Bank Of America Corp
CONV PFD
060505682
75401
57633
SH
SOLE
57633
0
0
Becton Dickinson And Co
CONV PFD
075887208
61465
1117821
SH
SOLE
1117821
0
0
Crown Castle Intl Corp
CONV PFD
22822V309
59137
55728
SH
SOLE
55728
0
0
Dominion Energy Inc
CONV PFD
25746U836
23973
472177
SH
SOLE
472177
0
0
Dte Energy Co
CONV PFD
233331883
2354
43500
SH
SOLE
43500
0
0
Frontier Communications
CONV PFD
35906A207
2760
144811
SH
SOLE
144811
0
0
Welltower Inc
CONV PFD
95040Q203
17262
273000
SH
SOLE
273000
0
0
Nextera Energy Inc
CONV PFD
65339F820
39134
705096
SH
SOLE
705096
0
0
Nextera Energy Inc
CONV PFD
65339F846
7267
109771
SH
SOLE
109771
0
0
NYCommunity Cap Trust V
CONV PFD
64944P307
20520
404832
SH
SOLE
404832
0
0
Stanley Black & Decker I
CONV PFD
854502887
36324
317640
SH
SOLE
317640
0
0
T-Mobile Us Inc
CONV PFD
872590203
15932
159575
SH
SOLE
159575
0
0
Wells Fargo & Company
CONV PFD
949746804
103420
78009
SH
SOLE
78009
0
0
Wpx Energy Inc
CONV PFD
98212B202
8006
150329
SH
SOLE
150329
0
0