0000950123-17-005366.txt : 20170515 0000950123-17-005366.hdr.sgml : 20170515 20170515171511 ACCESSION NUMBER: 0000950123-17-005366 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 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: 17845794 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 03-31-2017 03-31-2017 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 05-15-2017 0 75 2591622 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F AK STL CORP NOTE 5.000%11/1 001546AP5 11069 7000000 PRN SOLE 7000000 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 58773 39611000 PRN SOLE 39611000 0 0 ALLY FINL INC COM 02005N100 3443 169350 SH SOLE 169350 0 0 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 3496 95000 SH SOLE 95000 0 0 AMAZON COM INC COM 023135106 887 1000 SH SOLE 1000 0 0 AMBAC FINL GROUP INC COM NEW 023139884 1171 62080 SH SOLE 62080 0 0 APPLE INC COM 037833100 2155 15000 SH SOLE 15000 0 0 BASIC ENERGY SVCS INC NEW COM NEW 06985P209 10045 301104 SH SOLE 301104 0 0 BLACKSTONE MTG TR INC NOTE 5.250%12/0 09257WAA8 16382 14300000 PRN SOLE 14300000 0 0 C&J ENERGY SVCS INC NEW COM 12674R100 105779 3106589 SH SOLE 3106589 0 0 CHESAPEAKE ENERGY CORP COM 165167107 582 97940 SH SOLE 97940 0 0 CLIFFS NAT RES INC COM 18683K101 3695 450000 SH SOLE 450000 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 3697 416853 SH SOLE 416853 0 0 COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 7002 8274000 PRN SOLE 8274000 0 0 COMSTOCK RES INC NOTE 9.500% 6/1 205768AN4 3398 3968000 PRN SOLE 3968000 0 0 CONSTELLIUM NV CL A N22035104 448 68966 SH SOLE 68966 0 0 CORENERGY INFRASTRUCTURE TR NOTE 7.000% 6/1 21870UAA4 17094 15348000 PRN SOLE 15348000 0 0 COWEN GROUP INC NEW NOTE 3.000% 3/1 223622AB7 7117 7038000 PRN SOLE 7038000 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 12348 192704 SH SOLE 192704 0 0 ENCORE CAP GROUP INC NOTE 2.875% 3/1 292554AH5 3893 4462000 PRN SOLE 4462000 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 19334 20500000 PRN SOLE 20500000 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 4827 4376000 PRN SOLE 4376000 0 0 ENERNOC INC DBCV 2.250% 8/1 292764AB3 1860 2250000 PRN SOLE 2250000 0 0 FACEBOOK INC CL A 30303M102 670 4716 SH SOLE 4716 0 0 GNC HLDGS INC NOTE 1.500% 8/1 36191GAB3 6129 10257000 PRN SOLE 10257000 0 0 GNC HLDGS INC PUT 36191G957 3680 500000 SH Put SOLE 500000 0 0 GOGO INC COM 38046C109 3584 325789 SH SOLE 325789 0 0 GOGO INC NOTE 3.750% 3/0 38046CAB5 17839 21525000 PRN SOLE 21525000 0 0 GREEN PLAINS INC NOTE 3.250%10/0 393222AD6 7928 6000000 PRN SOLE 6000000 0 0 GSV CAP CORP NOTE 5.250% 9/1 36191JAB7 8142 8245000 PRN SOLE 8245000 0 0 HARMONIC INC NOTE 4.000%12/0 413160AB8 14318 11500000 PRN SOLE 11500000 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 5263 5500000 PRN SOLE 5500000 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 67628 2853500 SH SOLE 2853500 0 0 HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 48116 74025000 PRN SOLE 74025000 0 0 INVACARE CORP NOTE 5.000% 2/1 461203AF8 5541 5500000 PRN SOLE 5500000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 15692 130000 SH SOLE 130000 0 0 ISHARES TR PUT 464287955 82488 600000 SH Put SOLE 600000 0 0 JAKKS PAC INC COM 47012E106 279 50744 SH SOLE 50744 0 0 JAZZ US HLDGS INC NOTE 8.000%12/3 47216EAA8 25675 11049000 PRN SOLE 11049000 0 0 KEY ENERGY SVCS INC DEL COM 49309J103 12555 540698 SH SOLE 540698 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 14445 23632000 PRN SOLE 23632000 0 0 MCCLATCHY CO CL A NEW 579489303 484 50000 SH SOLE 50000 0 0 MTGE INVT CORP COM 55378A105 18575 1108976 SH SOLE 1108976 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 41328 2433900 SH SOLE 2433900 0 0 NEW YORK MTG TR INC NOTE 6.250% 1/1 649604AD7 23891 24410000 PRN SOLE 24410000 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 8209 17895000 PRN SOLE 17895000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 21218 205000 SH SOLE 205000 0 0 OASIS PETE INC NEW COM 674215108 642 45044 SH SOLE 45044 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 115708 7016859 SH SOLE 7016859 0 0 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 17928 20461000 PRN SOLE 20461000 0 0 RYANAIR HLDGS PLC SPONSORED ADR NE 783513203 7383 88970 SH SOLE 88970 0 0 SAEXPLORATION HLDGS INC COM NEW 78636X204 15550 2609039 SH SOLE 2609039 0 0 SAFEGUARD SCIENTIFICS INC DBCV 5.250% 5/1 786449AK4 7417 7316000 PRN SOLE 7316000 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 5930 320716 SH SOLE 320716 0 0 SANOFI RIGHT 12/31/2020 80105N113 3232 7181707 SH SOLE 7181707 0 0 SINA CORP ORD G81477104 23064 319796 SH SOLE 319796 0 0 SOUTHWESTERN ENERGY CO COM 845467109 350 42800 SH SOLE 42800 0 0 SPDR S&P 500 ETF TR CALL 78462F903 82509 350000 SH Call SOLE 350000 0 0 SPDR S&P 500 ETF TR PUT 78462F953 1119765 4750000 SH Put SOLE 4750000 0 0 SPDR SERIES TRUST PUT 78464A958 18615 500000 SH Put SOLE 500000 0 0 STARWOOD PPTY TR INC NOTE 4.375% 4/0 85571BAH8 1993 2000000 PRN SOLE 2000000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 2355 132951 SH SOLE 132951 0 0 TESLA INC NOTE 1.500% 6/0 88160RAA9 55106 24718000 PRN SOLE 24718000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 4168 4000000 PRN SOLE 4000000 0 0 TESLA INC PUT 88160R951 6958 25000 SH Put SOLE 25000 0 0 TITAN MACHY INC NOTE 3.750% 5/0 88830RAB7 1914 2000000 PRN SOLE 2000000 0 0 TRANSOCEAN LTD PUT H8817H950 2490 200000 SH Put SOLE 200000 0 0 TWITTER INC NOTE 0.250% 9/1 90184LAB8 4694 5000000 PRN SOLE 5000000 0 0 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 21462 20900000 PRN SOLE 20900000 0 0 VANECK VECTORS ETF TR PUT 92189F958 42318 1373500 SH Put SOLE 1373500 0 0 VEDANTA LTD SPONSORED ADR 92242Y100 602 35036 SH SOLE 35036 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 353 53108 SH SOLE 53108 0 0 WINDSTREAM HLDGS INC COM NEW 97382A200 1247 228744 SH SOLE 228744 0 0 YAHOO INC COM 984332106 237169 5110303 SH SOLE 5110303 0 0 YAHOO INC NOTE 12/0 984332AF3 38528 37180000 PRN SOLE 37180000 0 0