Chief Financial Officer

0000950123-16-013905.txt : 20160210 0000950123-16-013905.hdr.sgml : 20160210 20160210133909 ACCESSION NUMBER: 0000950123-16-013905 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160210 DATE AS OF CHANGE: 20160210 EFFECTIVENESS DATE: 20160210 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: 161404565 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 12-31-2015 12-31-2015 WHITEBOX ADVISORS LLC

3033 EXCELSIOR BLVD. SUITE 300 MINNEAPOLIS MN 55416

13F HOLDINGS REPORT 028-10715 N Michael McCormick Chief Financial Officer 612-253-6001 /S/ Michael McCormick Minneapolis MN 02-10-2016 0 167 3667437 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ABBVIE INC COM 00287Y109 2462 41567 SH SOLE 41567 0 0 ADDUS HOMECARE CORP COM 006739106 1113 47810 SH SOLE 47810 0 0 AEGERION PHARMACEUTICALS INC NOTE 2.000% 8/1 00767EAB8 664 1000000 PRN SOLE 1000000 0 0 AES CORP COM 00130H105 1182 51267 SH SOLE 51267 0 0 ALERE INC NOTE 3.000% 5/1 01449JAA3 11302 10986000 PRN SOLE 10986000 0 0 ALLERGAN PLC SHS G0177J108 11519 36860 SH SOLE 36860 0 0 ALLY FINL INC COM 02005N100 21155 1134935 SH SOLE 1134935 0 0 ALPHABET INC CAP STK CL A 02079K305 2234 2871 SH SOLE 2871 0 0 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 12121 435852 SH SOLE 435852 0 0 AMAG PHARMACEUTICALS INC NOTE 2.500% 2/1 00163UAA4 5030 4000000 PRN SOLE 4000000 0 0 AMBAC FINL GROUP INC *W EXP 04/30/202 023139116 497 74756 SH SOLE 74756 0 0 AMBAC FINL GROUP INC COM NEW 023139884 8731 619658 SH SOLE 619658 0 0 AMERICAN AIRLS GROUP INC CALL 02376R902 42350 1000000 SH Call SOLE 1000000 0 0 AMERICAN CAP LTD COM 02503Y103 66734 4839321 SH SOLE 4839321 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 16904 1210855 SH SOLE 1210855 0 0 AMERICAN CAP AGY CORP COM 02503X105 58731 3387021 SH SOLE 3387021 0 0 AMGEN INC COM 031162100 2601 16023 SH SOLE 16023 0 0 ANADARKO PETE CORP PUT 032511957 9716 200000 SH Put SOLE 200000 0 0 ANGIODYNAMICS INC COM 03475V101 1384 113998 SH SOLE 113998 0 0 APOLLO RESIDENTIAL MTG INC COM 03763V102 5427 454106 SH SOLE 454106 0 0 BANK AMER CORP PUT 060505954 50490 3000000 SH Put SOLE 3000000 0 0 BIOGEN INC COM 09062X103 2602 8492 SH SOLE 8492 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1897 27579 SH SOLE 27579 0 0 BROADCOM CORP CL A 111320107 32772 566800 SH SOLE 566800 0 0 BUILDERS FIRSTSOURCE INC COM 12008R107 2041 184212 SH SOLE 184212 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 4785 150000 SH SOLE 150000 0 0 CAESARSTONE SDOT-YAM LTD ORD SHS M20598104 2026 46745 SH SOLE 46745 0 0 CARDINAL HEALTH INC COM 14149Y108 3449 38634 SH SOLE 38634 0 0 CARLISLE COS INC COM 142339100 4556 51365 SH SOLE 51365 0 0 CARNIVAL CORP PAIRED CTF 143658300 4008 73561 SH SOLE 73561 0 0 CARRIAGE SVCS INC NOTE 2.750% 3/1 143905AM9 2356 2000000 PRN SOLE 2000000 0 0 CASTLE A M & CO NOTE 7.000%12/1 148411AF8 1509 4058000 PRN SOLE 4058000 0 0 CBIZ INC COM 124805102 1167 118395 SH SOLE 118395 0 0 CENTRUS ENERGY CORP CL A 15643U104 125 94700 SH SOLE 94700 0 0 CHARTER COMMUNICATIONS INC D PUT 16117M955 8862 48400 SH Put SOLE 48400 0 0 CHEESECAKE FACTORY INC COM 163072101 2419 52466 SH SOLE 52466 0 0 CHENIERE ENERGY INC NOTE 4.250% 3/1 16411RAG4 10982 21120000 PRN SOLE 21120000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 563 125000 SH SOLE 125000 0 0 CHESAPEAKE ENERGY CORP NOTE 2.250%12/1 165167CB1 1799 5390000 PRN SOLE 5390000 0 0 CHUBB CORP COM 171232101 10611 80000 SH SOLE 80000 0 0 CIGNA CORPORATION COM 125509109 36372 248563 SH SOLE 248563 0 0 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 9180 16375000 PRN SOLE 16375000 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 2496 41586 SH SOLE 41586 0 0 CONOCOPHILLIPS PUT 20825C954 9338 200000 SH Put SOLE 200000 0 0 CORENERGY INFRASTRUCTURE TR NOTE 7.000% 6/1 21870UAA4 18180 24000000 PRN SOLE 24000000 0 0 CORSICANTO LTD NOTE 3.500% 1/1 220480AB3 19648 21710000 PRN SOLE 21710000 0 0 COVENANT TRANSN GROUP INC CL A 22284P105 1151 60945 SH SOLE 60945 0 0 COWEN GROUP INC NEW NOTE 3.000% 3/1 223622AB7 12968 13500000 PRN SOLE 13500000 0 0 CRANE CO COM 224399105 1845 38573 SH SOLE 38573 0 0 CSX CORP COM 126408103 3307 127440 SH SOLE 127440 0 0 CURRENCYSHARES EURO TR PUT 23130C958 95760 900000 SH Put SOLE 900000 0 0 DAVITA HEALTHCARE PARTNERS I COM 23918K108 2211 31720 SH SOLE 31720 0 0 DEL TACO RESTAURANTS INC COM 245496104 2066 194014 SH SOLE 194014 0 0 DOLLAR GEN CORP NEW COM 256677105 1977 27507 SH SOLE 27507 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 2219 23809 SH SOLE 23809 0 0 E M C CORP MASS COM 268648102 39235 1527856 SH SOLE 1527856 0 0 ECHO GLOBAL LOGISTICS INC COM 27875T101 1713 84034 SH SOLE 84034 0 0 EL POLLO LOCO HLDGS INC COM 268603107 1859 147202 SH SOLE 147202 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 30151 28681000 PRN SOLE 28681000 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 24023 28180000 PRN SOLE 28180000 0 0 ENCORE CAP GROUP INC NOTE 2.875% 3/1 292554AH5 8593 11429000 PRN SOLE 11429000 0 0 ENERNOC INC DBCV 2.250% 8/1 292764AB3 6097 10500000 PRN SOLE 10500000 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 1982 32700 SH SOLE 32700 0 0 FIVE BELOW INC COM 33829M101 1677 52244 SH SOLE 52244 0 0 GENERAL MLS INC COM 370334104 2942 51031 SH SOLE 51031 0 0 GENERAL MTRS CO COM 37045V100 4669 137295 SH SOLE 137295 0 0 GENTEX CORP COM 371901109 1865 116502 SH SOLE 116502 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 988 100071 SH SOLE 100071 0 0 GOGO INC COM 38046C109 1456 81776 SH SOLE 81776 0 0 GOL LINHAS AEREAS INTLG S A SP ADR REP PFD 38045R107 6569 11464800 SH SOLE 11464800 0 0 GRANITE CONSTR INC COM 387328107 2130 49647 SH SOLE 49647 0 0 GREEN PLAINS INC NOTE 3.250%10/0 393222AD6 10150 8000000 PRN SOLE 8000000 0 0 GSV CAP CORP NOTE 5.250% 9/1 36191JAB7 7825 8500000 PRN SOLE 8500000 0 0 HARMAN INTL INDS INC COM 413086109 1804 19149 SH SOLE 19149 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 38446 45940000 PRN SOLE 45940000 0 0 HIBBETT SPORTS INC COM 428567101 1920 63493 SH SOLE 63493 0 0 HUBBELL INC COM 443510607 5812 57526 SH SOLE 57526 0 0 HUMANA INC COM 444859102 44718 250507 SH SOLE 250507 0 0 HYCROFT MNG CORP DEBT 15.000%10/2 448629AC9 28826 28825760 PRN SOLE 28825760 0 0 ICONIX BRAND GROUP INC NOTE 2.500% 6/0 451055AE7 10720 12045000 PRN SOLE 12045000 0 0 ILLINOIS TOOL WKS INC COM 452308109 4268 46051 SH SOLE 46051 0 0 IMPERIAL HLDGS INC NOTE 8.500% 2/1 452834AE4 7129 8500000 PRN SOLE 8500000 0 0 INSYS THERAPEUTICS INC NEW COM NEW 45824V209 840 29344 SH SOLE 29344 0 0 INTEGRA LIFESCIENCES HLDGS C NOTE 1.625%12/1 457985AK5 13998 10757000 PRN SOLE 10757000 0 0 INTERPUBLIC GROUP COS INC COM 460690100 5218 224150 SH SOLE 224150 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 8262 666866 SH SOLE 666866 0 0 ISHARES TR CALL 464287905 112510 1000000 SH Call SOLE 1000000 0 0 ISHARES TR PUT 464287955 196893 1750000 SH Put SOLE 1750000 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 2.750%10/0 464337AG9 34551 9246000 PRN SOLE 9246000 0 0 ISTAR INC NOTE 3.000%11/1 45031UBR1 29042 27000000 PRN SOLE 27000000 0 0 ITT CORP NEW COM NEW 450911201 2546 70100 SH SOLE 70100 0 0 JAZZ TECHNOLOGIES INC NEW NOTE 8.000%12/3 47214GAF4 18324 11779000 PRN SOLE 11779000 0 0 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AG6 9998 2148000 PRN SOLE 2148000 0 0 JOHNSON & JOHNSON COM 478160104 3480 33874 SH SOLE 33874 0 0 KRISPY KREME DOUGHNUTS INC COM 501014104 3976 263805 SH SOLE 263805 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 2325 18805 SH SOLE 18805 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 12971 22907000 PRN SOLE 22907000 0 0 LOWES COS INC COM 548661107 1201 15800 SH SOLE 15800 0 0 MATRIX SVC CO COM 576853105 1269 61797 SH SOLE 61797 0 0 MCKESSON CORP COM 58155Q103 3105 15744 SH SOLE 15744 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 2261 28638 SH SOLE 28638 0 0 MEDTRONIC PLC SHS G5960L103 3953 51392 SH SOLE 51392 0 0 MERCK & CO INC NEW COM 58933Y105 2453 46448 SH SOLE 46448 0 0 METHODE ELECTRS INC COM 591520200 2394 75209 SH SOLE 75209 0 0 MODINE MFG CO COM 607828100 1989 219724 SH SOLE 219724 0 0 MUELLER WTR PRODS INC COM SER A 624758108 2835 329652 SH SOLE 329652 0 0 NATIONSTAR MTG HLDGS INC COM 63861C109 7740 578917 SH SOLE 578917 0 0 NEW SR INVT GROUP INC COM 648691103 9921 1006187 SH SOLE 1006187 0 0 NII HLDGS INC COM PAR $0.001 62913F508 9348 1851157 SH SOLE 1851157 0 0 NVIDIA CORP NOTE 1.000%12/0 67066GAC8 8078 4850000 PRN SOLE 4850000 0 0 OCWEN FINL CORP COM NEW 675746309 39548 5674070 SH SOLE 5674070 0 0 OFFICE DEPOT INC COM 676220106 30113 5339250 SH SOLE 5339250 0 0 OI S.A. SPN ADR NEW 670851302 326 534174 SH SOLE 534174 0 0 PACIRA PHARMACEUTICALS INC NOTE 3.250% 2/0 695127AB6 68327 21904000 PRN SOLE 21904000 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 192531 8178905 SH SOLE 8178905 0 0 PDL BIOPHARMA INC NOTE 4.000% 2/0 69329YAF1 11782 14716000 PRN SOLE 14716000 0 0 PEPSICO INC COM 713448108 5615 56192 SH SOLE 56192 0 0 PHOTRONICS INC NOTE 3.250% 4/0 719405AH5 12150 10000000 PRN SOLE 10000000 0 0 PINNACLE FOODS INC DEL COM 72348P104 2887 67988 SH SOLE 67988 0 0 PLY GEM HLDGS INC COM 72941W100 1331 106149 SH SOLE 106149 0 0 POWERSECURE INTL INC COM 73936N105 1687 112079 SH SOLE 112079 0 0 PRECISION CASTPARTS CORP COM 740189105 15081 65000 SH SOLE 65000 0 0 PRICELINE GRP INC COM NEW 741503403 1484 1164 SH SOLE 1164 0 0 RETRACTABLE TECHNOLOGIES INC COM 76129W105 556 179401 SH SOLE 179401 0 0 RYANAIR HLDGS PLC SPONSORED ADR NE 783513203 19706 227921 SH SOLE 227921 0 0 SAFEGUARD SCIENTIFICS INC DBCV 5.250% 5/1 786449AK4 8066 7316000 PRN SOLE 7316000 0 0 SAGENT PHARMACEUTICALS INC COM 786692103 1250 78572 SH SOLE 78572 0 0 SANDISK CORP NOTE 1.500% 8/1 80004CAD3 9798 6248000 PRN SOLE 6248000 0 0 SANOFI RIGHT 12/31/2020 80105N113 1818 16160449 SH SOLE 16160449 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 345 38460 SH SOLE 38460 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 768 10662 SH SOLE 10662 0 0 SELECT SECTOR SPDR TR CALL 81369Y906 9083 150000 SH Call SOLE 150000 0 0 SKECHERS U S A INC CL A 830566105 1196 39591 SH SOLE 39591 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 11010 54000 SH SOLE 54000 0 0 SPDR S&P 500 ETF TR CALL 78462F903 611670 3000000 SH Call SOLE 3000000 0 0 SPDR S&P 500 ETF TR PUT 78462F953 721771 3540000 SH Put SOLE 3540000 0 0 ST JUDE MED INC COM 790849103 2476 40077 SH SOLE 40077 0 0 STERICYCLE INC COM 858912108 2077 17221 SH SOLE 17221 0 0 STONEGATE MTG CORP COM 86181Q300 1228 225319 SH SOLE 225319 0 0 SUCAMPO PHARMACEUTICALS INC CL A 864909106 1147 66337 SH SOLE 66337 0 0 SUNPOWER CORP DBCV 0.750% 6/0 867652AG4 3266 2500000 PRN SOLE 2500000 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 1014 75415 SH SOLE 75415 0 0 SUPERVALU INC COM 868536103 1445 213068 SH SOLE 213068 0 0 SWIFT TRANSN CO CL A 87074U101 1038 75094 SH SOLE 75094 0 0 TELEFLEX INC NOTE 3.875% 8/0 879369AA4 84383 39547000 PRN SOLE 39547000 0 0 TESARO INC NOTE 3.000%10/0 881569AA5 4203 2500000 PRN SOLE 2500000 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 101671 51956000 PRN SOLE 51956000 0 0 TESLA MTRS INC NOTE 1.250% 3/0 88160RAC5 5333 5820000 PRN SOLE 5820000 0 0 TETRALOGIC PHARMACEUTICALS C NOTE 8.000% 6/1 88165UAB5 4328 10804000 PRN SOLE 10804000 0 0 TEXAS ROADHOUSE INC COM 882681109 3743 104632 SH SOLE 104632 0 0 TILE SHOP HLDGS INC COM 88677Q109 1191 72600 SH SOLE 72600 0 0 TIME WARNER CABLE INC COM 88732J207 39219 211320 SH SOLE 211320 0 0 TITAN MACHY INC NOTE 3.750% 5/0 88830RAB7 10793 16750000 PRN SOLE 16750000 0 0 TOWER INTL INC COM 891826109 1795 62826 SH SOLE 62826 0 0 TRINA SOLAR LIMITED NOTE 4.000%10/1 89628EAE4 4828 5000000 PRN SOLE 5000000 0 0 TWO HBRS INVT CORP COM 90187B101 25634 3164718 SH SOLE 3164718 0 0 UNION PAC CORP COM 907818108 2741 35046 SH SOLE 35046 0 0 UNITED CONTL HLDGS INC COM 910047109 5117 89295 SH SOLE 89295 0 0 UNITED TECHNOLOGIES CORP COM 913017109 3833 39902 SH SOLE 39902 0 0 UNITEDHEALTH GROUP INC COM 91324P102 5990 50921 SH SOLE 50921 0 0 USA TECHNOLOGIES INC CONV PFD SER A 90328S203 1102 71104 SH SOLE 71104 0 0 VARIAN MED SYS INC COM 92220P105 2610 32296 SH SOLE 32296 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 12419 4850000 PRN SOLE 4850000 0 0 WHIRLPOOL CORP COM 963320106 4299 29274 SH SOLE 29274 0 0 XEROX CORP COM 984121103 3716 349618 SH SOLE 349618 0 0 YAHOO INC COM 984332106 84555 2542252 SH SOLE 2542252 0 0 YUM BRANDS INC COM 988498101 1702 23304 SH SOLE 23304 0 0