0000950123-14-009031.txt : 20140814 0000950123-14-009031.hdr.sgml : 20140814 20140814153710 ACCESSION NUMBER: 0000950123-14-009031 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140814 DATE AS OF CHANGE: 20140814 EFFECTIVENESS DATE: 20140814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC CENTRAL INDEX KEY: 0001257391 IRS NUMBER: 411957584 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10715 FILM NUMBER: 141042323 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001257391 XXXXXXXX 06-30-2014 06-30-2014 WHITEBOX ADVISORS LLC

3033 EXCELSIOR BLVD. SUITE 300 MINNEAPOLIS MN 55416

13F HOLDINGS REPORT 028-10715 N Mark Strefling 612-253-6001 /S/ Mark Strefling Minneapolis MN 08-14-2014 6 377 2537231 false 1 Whitebox Multi-Strategy Advisors, LLC 2 Whitebox Concentrated Convertible Arbitrage Advisors, LLC 3 Whitebox Credit Arbitrage Advisors, LLC 4 Whitebox Special Opportunities Advisors, LLC 5 Whitebox Asymmetric Advisors, LLC 6 Pandora Select Advisors, LLC INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F 3M CO COM 88579Y101 3443 24034 SH SOLE 24034 0 0 ABERCROMBIE & FITCH CO CL A 002896207 1793 41456 SH SOLE 41456 0 0 ACXIOM CORP COM 005125109 1025 47236 SH SOLE 47236 0 0 ADDUS HOMECARE CORP COM 006739106 2695 119864 SH SOLE 119864 0 0 AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 5128 508236 SH SOLE 508236 0 0 AERCAP HOLDINGS NV SHS N00985106 2294 50094 SH SOLE 50094 0 0 AES CORP COM 00130H105 1435 51267 SH SOLE 51267 0 0 AK STL HLDG CORP COM 001547108 1760 221145 SH SOLE 221145 0 0 AKORN INC NOTE 3.500% 6/0 009728AB2 13404 3524000 PRN SOLE 3524000 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 14719 94200 SH SOLE 94200 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 2479 54958 SH SOLE 54958 0 0 ALLEGIANT TRAVEL CO COM 01748X102 1657 14070 SH SOLE 14070 0 0 ALLIANCE HEALTHCARE SRVCS IN COM PAR $0.01 018606301 317 11728 SH SOLE 11728 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 5129 682000 SH SOLE 682000 0 0 ALLY FINL INC COM 02005N100 34479 1442044 SH SOLE 1442044 0 0 ALPHA NATURAL RESOURCES INC NOTE 4.875%12/1 02076XAF9 3799 4906000 PRN SOLE 4906000 0 0 AMBAC FINL GROUP INC CALL 023139904 1225 5000 SH Call SOLE 5000 0 0 AMBAC FINL GROUP INC COM NEW 023139884 21228 777296 SH SOLE 777296 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 1014 23603 SH SOLE 23603 0 0 AMERICAN CAP LTD CALL 02503Y903 531 9000 SH Call SOLE 9000 0 0 AMERICAN CAP LTD COM 02503Y103 69366 4536699 SH SOLE 4536699 0 0 AMERIS BANCORP COM 03076K108 2159 100126 SH SOLE 100126 0 0 AMERISOURCEBERGEN CORP COM 03073E105 6169 84900 SH SOLE 84900 0 0 AMGEN INC COM 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29275YAA0 19649 11403000 PRN SOLE 11403000 0 0 ENNIS INC COM 293389102 2212 144970 SH SOLE 144970 0 0 EPLUS INC COM 294268107 4414 75844 SH SOLE 75844 0 0 EQT CORP COM 26884L109 1622 15169 SH SOLE 15169 0 0 ETHAN ALLEN INTERIORS INC COM 297602104 997 40314 SH SOLE 40314 0 0 EXPEDIA INC DEL COM NEW 30212P303 2487 31583 SH SOLE 31583 0 0 EXTREME NETWORKS INC COM 30226D106 1889 425537 SH SOLE 425537 0 0 EXXON MOBIL CORP COM 30231G102 8522 84641 SH SOLE 84641 0 0 EZCORP INC CL A NON VTG 302301106 5063 438374 SH SOLE 438374 0 0 FARMERS CAP BK CORP COM 309562106 982 43492 SH SOLE 43492 0 0 FEDERAL AGRIC MTG CORP CL C 313148306 2422 77926 SH SOLE 77926 0 0 FIRST BANCORP P R COM NEW 318672706 963 176990 SH SOLE 176990 0 0 FIRST NBC BK HLDG CO COM 32115D106 221 6600 SH SOLE 6600 0 0 FIVE BELOW INC COM 33829M101 1795 44967 SH SOLE 44967 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 2368 213898 SH SOLE 213898 0 0 FLUOR CORP NEW COM 343412102 5558 72271 SH SOLE 72271 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 1990 137305 SH SOLE 137305 0 0 FOOT LOCKER INC COM 344849104 2324 45829 SH SOLE 45829 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 6907 400612 SH SOLE 400612 0 0 FORTINET INC COM 34959E109 1714 68201 SH SOLE 68201 0 0 FREEPORT-MCMORAN COPPER & GO CALL 35671D907 1267 3620 SH Call SOLE 3620 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 3011 82481 SH SOLE 82481 0 0 FRESH MKT INC COM 35804H106 1450 43321 SH SOLE 43321 0 0 FURIEX PHARMACEUTICALS INC COM 36106P101 10108 95200 SH SOLE 95200 0 0 GENERAC HLDGS INC COM 368736104 2133 43773 SH SOLE 43773 0 0 GENERAL CABLE CORP DEL NEW COM 369300108 1720 67048 SH SOLE 67048 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 20652 779013 SH SOLE 779013 0 0 GENERAL MTRS CO COM 37045V100 14306 394101 SH SOLE 394101 0 0 GEO GROUP INC COM 36159R103 3247 90865 SH SOLE 90865 0 0 GILEAD SCIENCES INC COM 375558103 19463 234747 SH SOLE 234747 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 4313 347803 SH SOLE 347803 0 0 GLOBALSTAR INC NOTE 8.000% 4/0 378973AD3 43829 6138035 PRN SOLE 6138035 0 0 GOL LINHAS AEREAS INTLG S A SP ADR REP PFD 38045R107 17049 3111216 SH SOLE 3111216 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 4504 26900 SH SOLE 26900 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 1700 61202 SH SOLE 61202 0 0 GOOGLE INC CL A 38259P508 1868 3195 SH SOLE 3195 0 0 GOOGLE INC CL C 38259P706 697 1211 SH SOLE 1211 0 0 GRAN TIERRA ENERGY INC COM 38500T101 8474 1043572 SH SOLE 1043572 0 0 GRANITE CONSTR INC COM 387328107 2488 69143 SH SOLE 69143 0 0 GRAPHIC PACKAGING HLDG CO COM 388689101 4293 366921 SH SOLE 366921 0 0 GRAVITY CO LTD SPONSORED ADR 38911N107 69 86725 SH SOLE 86725 0 0 GROUP 1 AUTOMOTIVE INC COM 398905109 814 9658 SH SOLE 9658 0 0 GT ADVANCED TECHNOLOGIES INC NOTE 3.000%10/0 36191UAA4 16161 6500000 PRN SOLE 6500000 0 0 GULF RESOURCES INC COM PAR $0.0005 40251W309 295 137677 SH SOLE 137677 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 3177 221534 SH SOLE 221534 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 1220 34076 SH SOLE 34076 0 0 HAWAIIAN HOLDINGS INC NOTE 5.000% 3/1 419879AD3 7230 4000000 PRN SOLE 4000000 0 0 HCI GROUP INC COM 40416E103 2434 59951 SH SOLE 59951 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 252 20419 SH SOLE 20419 0 0 HEARTLAND EXPRESS INC COM 422347104 4054 189993 SH SOLE 189993 0 0 HEICO CORP NEW CL A 422806208 856 21091 SH SOLE 21091 0 0 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 3418 129900 SH SOLE 129900 0 0 HERCULES TECH GROWTH CAP INC COM 427096508 305 18900 SH SOLE 18900 0 0 HERCULES TECH GROWTH CAP INC NOTE 6.000% 4/1 427096AB8 35640 25885000 PRN SOLE 25885000 0 0 HERSHEY CO COM 427866108 3721 38212 SH SOLE 38212 0 0 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 745 108673 SH SOLE 108673 0 0 HOOKER FURNITURE CORP COM 439038100 775 48020 SH SOLE 48020 0 0 HORNBECK OFFSHORE SVCS INC N COM 440543106 4908 104608 SH SOLE 104608 0 0 HUBBELL INC CL B 443510201 4297 34890 SH SOLE 34890 0 0 HUTCHINSON TECHNOLOGY INC NOTE 8.500% 1/1 448407AG1 11233 11701000 PRN SOLE 11701000 0 0 ICAD INC COM NEW 44934S206 2691 419764 SH SOLE 419764 0 0 ICONIX BRAND GROUP INC NOTE 2.500% 6/0 451055AE7 3616 2500000 PRN SOLE 2500000 0 0 IGI LABS INC COM 449575109 651 122685 SH SOLE 122685 0 0 INNERWORKINGS INC COM 45773Y105 138 16239 SH SOLE 16239 0 0 INTEGRATED DEVICE TECHNOLOGY COM 458118106 2619 169394 SH SOLE 169394 0 0 INTEL CORP COM 458140100 12468 403479 SH SOLE 403479 0 0 IPG PHOTONICS CORP COM 44980X109 1672 24298 SH SOLE 24298 0 0 ISHARES MSCI EMG MKT ETF 464287234 48462 1121030 SH SOLE 1121030 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 2.750%10/0 464337AG9 43426 19728000 PRN SOLE 19728000 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 2273 15462 SH SOLE 15462 0 0 JETBLUE AIRWAYS CORP DBCV 5.500%10/1 477143AE1 101369 41061000 PRN SOLE 41061000 0 0 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AF8 15722 7050000 PRN SOLE 7050000 0 0 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AG6 28403 12259000 PRN SOLE 12259000 0 0 JGWPT HLDGS INC CL A 46617M109 6556 582269 SH SOLE 582269 0 0 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MARKET VECTORS ETF TR CALL 57060U906 1622 4268 SH Call SOLE 4268 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 21567 815382 SH SOLE 815382 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57061R544 4018 95081 SH SOLE 95081 0 0 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 2633 100000 SH SOLE 100000 0 0 MATTSON TECHNOLOGY INC COM 577223100 738 337100 SH SOLE 337100 0 0 MBIA INC COM 55262C100 18620 1686623 SH SOLE 1686623 0 0 MDC PARTNERS INC CL A SUB VTG 552697104 1995 92826 SH SOLE 92826 0 0 MEDASSETS INC COM 584045108 1549 67816 SH SOLE 67816 0 0 MEDTRONIC INC COM 585055106 7024 110167 SH SOLE 110167 0 0 METHODE ELECTRS INC COM 591520200 1842 48201 SH SOLE 48201 0 0 METLIFE INC COM 59156R108 3289 59193 SH SOLE 59193 0 0 MFRI INC COM 552721102 657 57543 SH SOLE 57543 0 0 MICRON TECHNOLOGY INC COM 595112103 540 16400 SH SOLE 16400 0 0 MICRON TECHNOLOGY INC NOTE 1.875% 8/0 595112AR4 51220 14700000 PRN SOLE 14700000 0 0 MICROSOFT CORP COM 594918104 6256 150016 SH SOLE 150016 0 0 MIDSTATES 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