0000950123-15-005498.txt : 20150512 0000950123-15-005498.hdr.sgml : 20150512 20150512162634 ACCESSION NUMBER: 0000950123-15-005498 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150512 DATE AS OF CHANGE: 20150512 EFFECTIVENESS DATE: 20150512 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: 15854770 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 03-31-2015 03-31-2015 WHITEBOX ADVISORS LLC

3033 EXCELSIOR BLVD. SUITE 300 MINNEAPOLIS MN 55416

13F HOLDINGS REPORT 028-10715 N Michael McCormick 612-253-6001 /S/ Michael McCormick Minneapolis MN 05-12-2015 6 347 2587925 false 1 Whitebox Multi-Strategy Advisors, LLC 2 Whitebox Relative Value Advisors, LLC 3 Whitebox Credit 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 ABM INDS INC COM 000957100 284 8900 SH SOLE 8900 0 0 AES CORP COM 00130H105 1077 51267 SH SOLE 51267 0 0 AMAG PHARMACEUTICALS INC COM 00163U106 1814 33184 SH SOLE 33184 0 0 AMAG PHARMACEUTICALS INC NOTE 2.500% 2/1 00163UAA4 29076 14000000 PRN SOLE 14000000 0 0 AV HOMES INC NOTE 7.500% 2/1 00234PAB8 14923 14979000 PRN SOLE 14979000 0 0 ACXIOM CORP COM 005125109 680 36793 SH SOLE 36793 0 0 ADDUS HOMECARE CORP COM 006739106 1621 70400 SH SOLE 70400 0 0 AIR TRANSPORT SERVICES GRP I COM 00922R105 592 64180 SH SOLE 64180 0 0 AKORN INC COM 009728106 2471 52016 SH SOLE 52016 0 0 ALERE INC COM 01449J105 4025 82305 SH SOLE 82305 0 0 ALLIANCE HEALTHCARE SRVCS IN COM PAR $0.01 018606301 428 19278 SH SOLE 19278 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 5348 692682 SH SOLE 692682 0 0 ALLY FINL INC COM 02005N100 45853 2185562 SH SOLE 2185562 0 0 ALPHA NATURAL RESOURCES INC NOTE 4.875%12/1 02076XAF9 1230 4906000 PRN SOLE 4906000 0 0 AMBAC FINL GROUP INC COM NEW 023139884 29310 1211156 SH SOLE 1211156 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 10479 198543 SH SOLE 198543 0 0 AMERICAN AIRLS GROUP INC PUT 02376R952 54 600 SH Put SOLE 600 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 14525 680966 SH SOLE 680966 0 0 AMERICAN CAP LTD COM 02503Y103 69435 4694731 SH SOLE 4694731 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 6561 365301 SH SOLE 365301 0 0 AMERIS BANCORP COM 03076K108 1832 69439 SH SOLE 69439 0 0 AMETEK INC NEW COM 031100100 4750 90406 SH SOLE 90406 0 0 AMGEN INC COM 031162100 3525 22050 SH SOLE 22050 0 0 ANGIES LIST INC COM 034754101 8028 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81865 0 0 BLACKSTONE MTG TR INC COM CL A 09257W100 11725 413299 SH SOLE 413299 0 0 BLUEROCK RESIDENT GR REIT IN COM CL A 09627J102 1434 107546 SH SOLE 107546 0 0 BRINKER INTL INC COM 109641100 1110 18037 SH SOLE 18037 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 3599 55805 SH SOLE 55805 0 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 303 25500 SH SOLE 25500 0 0 BUFFALO WILD WINGS INC COM 119848109 4130 22788 SH SOLE 22788 0 0 C & F FINL CORP COM 12466Q104 216 6185 SH SOLE 6185 0 0 CADENCE DESIGN SYSTEM INC NOTE 2.625% 6/0 127387AJ7 98017 40212000 PRN SOLE 40212000 0 0 CALLAWAY GOLF CO NOTE 3.750% 8/1 131193AC8 12836 10023000 PRN SOLE 10023000 0 0 CAPITAL ONE FINL CORP COM 14040H105 13413 170170 SH SOLE 170170 0 0 CARLISLE COS INC COM 142339100 6031 65106 SH SOLE 65106 0 0 CASTLE A M & CO NOTE 7.000%12/1 148411AF8 3815 5808000 PRN SOLE 5808000 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 7987 843427 SH SOLE 843427 0 0 CENTRUS ENERGY CORP CL A 15643U104 2453 479962 SH SOLE 479962 0 0 CHEESECAKE FACTORY INC COM 163072101 2949 59777 SH SOLE 59777 0 0 CHENIERE ENERGY INC NOTE 4.250% 3/1 16411RAG4 34004 41000000 PRN SOLE 41000000 0 0 CHEROKEE INC DEL NEW COM 16444H102 811 41625 SH SOLE 41625 0 0 CHERRY HILL MTG INVT CORP COM 164651101 2742 155519 SH SOLE 155519 0 0 CHEVRON CORP NEW COM 166764100 8707 82938 SH SOLE 82938 0 0 CINTAS CORP COM 172908105 4679 57317 SH SOLE 57317 0 0 CITIGROUP INC CALL 172967904 59 300 SH Call SOLE 300 0 0 CIVITAS SOLUTIONS INC COM 17887R102 6357 303597 SH SOLE 303597 0 0 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 15129 20814000 PRN SOLE 20814000 0 0 COBALT INTL ENERGY INC NOTE 3.125% 5/1 19075FAB2 1107 1500000 PRN SOLE 1500000 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 2011 38463 SH SOLE 38463 0 0 CONSUMER PORTFOLIO SVCS INC COM 210502100 1842 263490 SH SOLE 263490 0 0 CONTINENTAL BLDG PRODS INC COM 211171103 4933 218388 SH SOLE 218388 0 0 CORSICANTO LTD NOTE 3.500% 1/1 220480AB3 20059 18835000 PRN SOLE 18835000 0 0 CRAWFORD & CO CL A 224633206 411 54497 SH SOLE 54497 0 0 CUMMINS INC COM 231021106 305 2200 SH SOLE 2200 0 0 CUMULUS MEDIA INC CL A 231082108 585 236868 SH SOLE 236868 0 0 CYNOSURE INC CL A 232577205 2466 80400 SH SOLE 80400 0 0 DECKERS OUTDOOR CORP COM 243537107 12370 169755 SH SOLE 169755 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 5146 114460 SH SOLE 114460 0 0 DESTINATION MATERNITY CORP COM 25065D100 4104 272514 SH SOLE 272514 0 0 DIAMONDROCK HOSPITALITY CO COM 252784301 158 11150 SH SOLE 11150 0 0 DICE HLDGS INC COM 253017107 1083 121440 SH SOLE 121440 0 0 DOLLAR GEN CORP NEW COM 256677105 3066 40679 SH SOLE 40679 0 0 DOLLAR TREE INC COM 256746108 6062 74702 SH SOLE 74702 0 0 DOMTAR CORP COM NEW 257559203 2655 57445 SH SOLE 57445 0 0 DONNELLEY R R & SONS CO COM 257867101 1315 68504 SH SOLE 68504 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 4473 56993 SH SOLE 56993 0 0 E M C CORP MASS COM 268648102 9631 376809 SH SOLE 376809 0 0 EQT CORP COM 26884L109 1210 14606 SH SOLE 14606 0 0 EATON VANCE 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30226D106 961 304260 SH SOLE 304260 0 0 EZCORP INC CL A NON VTG 302301106 11060 1211340 SH SOLE 1211340 0 0 EXXON MOBIL CORP COM 30231G102 8266 97244 SH SOLE 97244 0 0 FLIR SYS INC COM 302445101 5722 182943 SH SOLE 182943 0 0 FEDERAL AGRIC MTG CORP CL C 313148306 3437 121922 SH SOLE 121922 0 0 FEDERAL SIGNAL CORP COM 313855108 720 45574 SH SOLE 45574 0 0 FINANCIAL INSTNS INC COM 317585404 1460 63688 SH SOLE 63688 0 0 FIRST MERCHANTS CORP COM 320817109 2401 102004 SH SOLE 102004 0 0 FLUOR CORP NEW COM 343412102 10793 188821 SH SOLE 188821 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 1761 120940 SH SOLE 120940 0 0 FONAR CORP COM NEW 344437405 1488 113525 SH SOLE 113525 0 0 FORTRESS INVESTMENT GROUP LL CL A 34958B106 5489 680204 SH SOLE 680204 0 0 FORWARD AIR CORP COM 349853101 3617 66612 SH SOLE 66612 0 0 GEO GROUP INC NEW COM 36162J106 761 17402 SH SOLE 17402 0 0 GSV CAP CORP NOTE 5.250% 9/1 36191JAB7 3305 3500000 PRN SOLE 3500000 0 0 GAIN CAP HLDGS INC COM 36268W100 160 16425 SH SOLE 16425 0 0 GENERAL MTRS CO COM 37045V100 3635 96933 SH SOLE 96933 0 0 GILEAD SCIENCES INC COM 375558103 9704 98892 SH SOLE 98892 0 0 GLOBAL CASH ACCESS HLDGS INC COM 378967103 745 97708 SH SOLE 97708 0 0 GLOBE SPECIALTY METALS INC COM 37954N206 1407 74384 SH SOLE 74384 0 0 GOL LINHAS AEREAS INTLG S A SP ADR REP PFD 38045R107 18609 7658226 SH SOLE 7658226 0 0 GRAN TIERRA ENERGY INC COM 38500T101 8174 2994194 SH SOLE 2994194 0 0 GRAPHIC PACKAGING HLDG CO COM 388689101 753 51805 SH SOLE 51805 0 0 GREATBATCH INC COM 39153L106 2891 49976 SH SOLE 49976 0 0 GREEN PLAINS INC NOTE 3.250%10/0 393222AD6 13421 9000000 PRN SOLE 9000000 0 0 GULF RESOURCES INC COM PAR $0.0005 40251W309 253 152392 SH SOLE 152392 0 0 HCI GROUP INC COM 40416E103 1524 33219 SH SOLE 33219 0 0 HD SUPPLY HLDGS INC COM 40416M105 7725 247963 SH SOLE 247963 0 0 HMS HLDGS CORP COM 40425J101 211 13650 SH SOLE 13650 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 2004 109636 SH SOLE 109636 0 0 HARVARD BIOSCIENCE INC COM 416906105 231 39739 SH SOLE 39739 0 0 HEALTH NET INC COM 42222G108 3617 59798 SH SOLE 59798 0 0 HEARTLAND EXPRESS INC COM 422347104 5065 213182 SH SOLE 213182 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 74580 90675000 PRN SOLE 90675000 0 0 HOLOGIC INC COM 436440101 317 9600 SH SOLE 9600 0 0 HOMESTREET INC COM 43785V102 330 18000 SH SOLE 18000 0 0 HOOKER FURNITURE CORP COM 439038100 2631 138127 SH SOLE 138127 0 0 HORNBECK OFFSHORE SVCS INC N COM 440543106 1494 79419 SH SOLE 79419 0 0 HUBBELL INC CL B 443510201 8667 79066 SH SOLE 79066 0 0 ICAD INC COM NEW 44934S206 4206 439035 SH SOLE 439035 0 0 IGI LABS INC COM 449575109 3922 480627 SH SOLE 480627 0 0 ICONIX BRAND GROUP INC NOTE 2.500% 6/0 451055AE7 15969 13700000 PRN SOLE 13700000 0 0 ILLUMINA INC COM 452327109 7853 42300 SH SOLE 42300 0 0 IMPERIAL HLDGS INC NOTE 8.500% 2/1 452834AE4 7995 6500000 PRN SOLE 6500000 0 0 INCONTACT INC COM 45336E109 430 39421 SH SOLE 39421 0 0 INFUSYSTEM HLDGS INC COM 45685K102 904 333750 SH SOLE 333750 0 0 INGRAM 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COM UNITS 48248M102 5160 226206 SH SOLE 226206 0 0 KATE SPADE & CO COM 485865109 3613 108215 SH SOLE 108215 0 0 KIMBERLY CLARK CORP COM 494368103 300 2800 SH SOLE 2800 0 0 KINDRED HEALTHCARE INC COM 494580103 4242 178316 SH SOLE 178316 0 0 KOHLS CORP COM 500255104 5540 70794 SH SOLE 70794 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 5525 43816 SH SOLE 43816 0 0 LAUDER ESTEE COS INC CL A 518439104 299 3600 SH SOLE 3600 0 0 LEUCADIA NATL CORP COM 527288104 6338 284334 SH SOLE 284334 0 0 LEVY ACQUISITION CORP COM 52748T104 4231 321778 SH SOLE 321778 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 18944 29201000 PRN SOLE 29201000 0 0 LIFEPOINT HOSPITALS INC COM 53219L109 1995 27162 SH SOLE 27162 0 0 LINCOLN NATL CORP IND COM 534187109 2306 40125 SH SOLE 40125 0 0 LITHIA MTRS INC CL A 536797103 4051 40746 SH SOLE 40746 0 0 LYON WILLIAM HOMES CL A NEW 552074700 1610 62364 SH SOLE 62364 0 0 MGP INGREDIENTS INC NEW COM 55303J106 624 46330 SH SOLE 46330 0 0 MACYS INC COM 55616P104 6860 105678 SH SOLE 105678 0 0 MANPOWERGROUP INC COM 56418H100 5573 64692 SH SOLE 64692 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 25151 1378901 SH SOLE 1378901 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57061R544 2195 96518 SH SOLE 96518 0 0 MARLIN BUSINESS SVCS CORP COM 571157106 967 48293 SH SOLE 48293 0 0 MCDONALDS CORP COM 580135101 4960 50904 SH SOLE 50904 0 0 MERCK & CO INC NEW COM 58933Y105 5893 102531 SH SOLE 102531 0 0 META FINL GROUP INC COM 59100U108 543 13661 SH SOLE 13661 0 0 MIMEDX GROUP INC COM 602496101 696 66922 SH SOLE 66922 0 0 MOTORCAR PTS AMER INC COM 620071100 864 31103 SH SOLE 31103 0 0 MUELLER WTR PRODS INC COM SER A 624758108 2989 303464 SH SOLE 303464 0 0 NATIONAL WESTN LIFE INS CO CL A 638522102 2237 8798 SH SOLE 8798 0 0 NATIONSTAR MTG HLDGS INC COM 63861C109 5156 208163 SH SOLE 208163 0 0 NATURAL HEALTH TRENDS CORP COM PAR $.001 63888P406 353 19676 SH SOLE 19676 0 0 NAVIGATORS GROUP INC COM 638904102 788 10124 SH SOLE 10124 0 0 NAVISTAR INTL CORP NEW 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SPN ADR PFD NEW 670851401 1894 1229932 SH SOLE 1229932 0 0 OCWEN FINL CORP COM NEW 675746309 37443 4538518 SH SOLE 4538518 0 0 OFFICE DEPOT INC COM 676220106 14865 1615728 SH SOLE 1615728 0 0 OMNOVA SOLUTIONS INC COM 682129101 1066 124952 SH SOLE 124952 0 0 OPPENHEIMER HLDGS INC CL A NON VTG 683797104 329 14007 SH SOLE 14007 0 0 ORACLE CORP COM 68389X105 10841 251233 SH SOLE 251233 0 0 PBF ENERGY INC CL A 69318G106 8112 239160 SH SOLE 239160 0 0 PHH CORP NOTE 6.000% 6/1 693320AQ6 29764 15042000 PRN SOLE 15042000 0 0 PGT INC COM 69336V101 3276 293193 SH SOLE 293193 0 0 PRA HEALTH SCIENCES INC COM 69354M108 2163 75010 SH SOLE 75010 0 0 PACIFIC PREMIER BANCORP COM 69478X105 1607 99275 SH SOLE 99275 0 0 PACIRA PHARMACEUTICALS INC COM 695127100 1504 16930 SH SOLE 16930 0 0 PACIRA PHARMACEUTICALS INC NOTE 3.250% 2/0 695127AB6 51147 14327000 PRN SOLE 14327000 0 0 PAR PETE CORP COM NEW 69888T207 159993 8616576 SH SOLE 8616576 0 0 PARK OHIO HLDGS CORP COM 700666100 328 6230 SH SOLE 6230 0 0 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SOLE 30884 0 0 QUALCOMM INC COM 747525103 6192 89293 SH SOLE 89293 0 0 QUALITY DISTR INC FLA COM 74756M102 606 58661 SH SOLE 58661 0 0 QUANTUM CORP COM DSSG 747906204 1460 912530 SH SOLE 912530 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 4352 634343 SH SOLE 634343 0 0 RCI HOSPITALITY HLDGS INC COM 74934Q108 2036 195546 SH SOLE 195546 0 0 RTI SURGICAL INC COM 74975N105 1015 205428 SH SOLE 205428 0 0 RANGE RES CORP COM 75281A109 1016 19518 SH SOLE 19518 0 0 REGIONS FINL CORP NEW COM 7591EP100 9674 1023742 SH SOLE 1023742 0 0 REPUBLIC AWYS HLDGS INC COM 760276105 766 55745 SH SOLE 55745 0 0 RETRACTABLE TECHNOLOGIES INC COM 76129W105 720 185551 SH SOLE 185551 0 0 RIGHTSIDE GROUP LTD COM 76658B100 215 21194 SH SOLE 21194 0 0 RITE AID CORP COM 767754104 16519 1900972 SH SOLE 1900972 0 0 RUCKUS WIRELESS INC COM 781220108 2896 224985 SH SOLE 224985 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2049 9924 SH SOLE 9924 0 0 SPDR S&P 500 ETF TR PUT 78462F953 10732 29700 SH Put SOLE 29700 0 0 SPDR SERIES 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