Chief Financial Officer

0000950123-17-008017.txt : 20170814 0000950123-17-008017.hdr.sgml : 20170814 20170814165452 ACCESSION NUMBER: 0000950123-17-008017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 EFFECTIVENESS DATE: 20170814 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: 171031214 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 06-30-2017 06-30-2017 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 08-14-2017 0 91 2484332 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 8756 5000000 PRN SOLE 5000000 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 56421 39611000 PRN SOLE 39611000 0 0 ALLY FINL INC COM 02005N100 1449 69350 SH SOLE 69350 0 0 ALTABA INC COM 021346101 384567 7058872 SH SOLE 7058872 0 0 AMBAC FINL GROUP INC COM NEW 023139884 4417 254572 SH SOLE 254572 0 0 AT&T INC PUT 00206R952 10187 270000 SH Put SOLE 270000 0 0 BASIC ENERGY SVCS INC NEW COM NEW 06985P209 6563 263578 SH SOLE 263578 0 0 BLACKSTONE MTG TR INC NOTE 5.250%12/0 09257WAA8 16552 14300000 PRN SOLE 14300000 0 0 BONANZA CREEK ENERGY INC COM NEW 097793400 73549 2319411 SH SOLE 2319411 0 0 C&J ENERGY SVCS INC NEW COM 12674R100 86845 2534142 SH SOLE 2534142 0 0 CHIMERA INVT CORP PUT 16934Q958 18630 1000000 SH Put SOLE 1000000 0 0 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 6003 5000000 PRN SOLE 5000000 0 0 CLIFFS NAT RES INC COM 18683K101 3114 450000 SH SOLE 450000 0 0 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 520 2000000 PRN SOLE 2000000 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 4315 433241 SH SOLE 433241 0 0 COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 7434 9653923 PRN SOLE 9653923 0 0 COMSTOCK RES INC NOTE 9.500% 6/1 205768AN4 3919 5156479 PRN SOLE 5156479 0 0 CONSTELLIUM NV CL A N22035104 1198 173552 SH SOLE 173552 0 0 CORENERGY INFRASTRUCTURE TR NOTE 7.000% 6/1 21870UAA4 17123 15348000 PRN SOLE 15348000 0 0 COWEN INC NOTE 3.000% 223622AB7 5676 5538000 PRN SOLE 5538000 0 0 CTRIP COM INTL LTD NOTE 1.250%10/1 22943FAD2 35328 25000000 PRN SOLE 25000000 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 24384 399025 SH SOLE 399025 0 0 DYNEGY INC NEW DEL COM 26817R108 1637 198000 SH SOLE 198000 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 18148 17000000 PRN SOLE 17000000 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 4338 3376000 PRN SOLE 3376000 0 0 FIAT CHRYSLER AUTOMOBILES N CALL N31738902 1435 135000 SH Call SOLE 135000 0 0 FORD MTR CO DEL PUT 345370950 8057 720000 SH Put SOLE 720000 0 0 GENERAL MTRS CO CALL 37045V900 4192 120000 SH Call SOLE 120000 0 0 GENERAL MTRS CO PUT 37045V950 16766 480000 SH Put SOLE 480000 0 0 GNC HLDGS INC PUT 36191G957 4215 500000 SH Put SOLE 500000 0 0 GOGO INC COM 38046C109 8713 755662 SH SOLE 755662 0 0 GOGO INC NOTE 3.750% 3/0 38046CAB5 11789 13000000 PRN SOLE 13000000 0 0 GSV CAP CORP NOTE 5.250% 9/1 36191JAB7 8101 8245000 PRN SOLE 8245000 0 0 HARMONIC INC NOTE 4.000%12/0 413160AB8 13247 11500000 PRN SOLE 11500000 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 796 69253 SH SOLE 69253 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 7080 426750 SH SOLE 426750 0 0 IMMUNOGEN INC NOTE 4.500% 7/0 45253HAB7 14625 8000000 PRN SOLE 8000000 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 1537 92000 SH SOLE 92000 0 0 ISHARES TR CALL 464287905 32600 500000 SH Call SOLE 500000 0 0 ISHARES TR PUT 464287955 70460 500000 SH Put SOLE 500000 0 0 JAZZ US HLDGS INC NOTE 8.000%12/3 47216EAA8 26711 11049000 PRN SOLE 11049000 0 0 KEY ENERGY SVCS INC DEL COM 49309J103 13360 694398 SH SOLE 694398 0 0 LENDINGTREE INC NEW COM 52603B107 3527 20480 SH SOLE 20480 0 0 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 5049 85150 SH SOLE 85150 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 16202 24182000 PRN SOLE 24182000 0 0 MCCLATCHY CO CL A NEW 579489303 467 50000 SH SOLE 50000 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 15232 10125000 PRN SOLE 10125000 0 0 MTGE INVT CORP COM 55378A105 21874 1163518 SH SOLE 1163518 0 0 NABORS INDUSTRIES LTD SHS G6359F103 182 22400 SH SOLE 22400 0 0 NETFLIX INC PUT 64110L956 7471 50000 SH Put SOLE 50000 0 0 NEW RESIDENTIAL INVT CORP CALL 64828T901 15560 1000000 SH Call SOLE 1000000 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 12894 828668 SH SOLE 828668 0 0 NEW YORK MTG TR INC NOTE 6.250% 1/1 649604AD7 18044 17910000 PRN SOLE 17910000 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 10545 24595000 PRN SOLE 24595000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 52939 483685 SH SOLE 483685 0 0 OASIS PETE INC NEW COM 674215108 166 20559 SH SOLE 20559 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 122153 6771243 SH SOLE 6771243 0 0 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 22663 25181000 PRN SOLE 25181000 0 0 PENNEY J C INC COM 708160106 717 154288 SH SOLE 154288 0 0 POWERSHARES QQQ TRUST PUT 73935A954 82584 600000 SH Put SOLE 600000 0 0 RENEWABLE ENERGY GROUP INC NOTE 4.000% 6/1 75972AAC7 47529 34900000 PRN SOLE 34900000 0 0 RYANAIR HLDGS PLC SPONSORED ADR NE 783513203 15951 148232 SH SOLE 148232 0 0 SAEXPLORATION HLDGS INC COM NEW 78636X204 8466 2609039 SH SOLE 2609039 0 0 SAFEGUARD SCIENTIFICS INC DBCV 5.250% 5/1 786449AK4 5514 5416000 PRN SOLE 5416000 0 0 SANOFI RIGHT 12/31/2020 80105N113 2729 7181707 SH SOLE 7181707 0 0 SINA CORP ORD G81477104 34389 404721 SH SOLE 404721 0 0 SOLARCITY CORP NOTE 2.750%11/0 83416TAA8 2987 3000000 PRN SOLE 3000000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 260 42800 SH SOLE 42800 0 0 SPDR S&P 500 ETF TR CALL 78462F903 120900 500000 SH Call SOLE 500000 0 0 SPDR S&P 500 ETF TR PUT 78462F953 411060 1700000 SH Put SOLE 1700000 0 0 SPDR SERIES TRUST PUT 78464A958 19265 500000 SH Put SOLE 500000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 5844 302151 SH SOLE 302151 0 0 TERRAFORM GLOBAL INC CL A 88104M101 580 114845 SH SOLE 114845 0 0 TESLA INC NOTE 0.250% 3/0 88160RAB7 23993 21000000 PRN SOLE 21000000 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 28875 25000000 PRN SOLE 25000000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 37688 30000000 PRN SOLE 30000000 0 0 TESLA INC PUT 88160R951 10848 30000 SH Put SOLE 30000 0 0 TIME WARNER INC COM NEW 887317303 27655 275420 SH SOLE 275420 0 0 TRANSOCEAN LTD PUT H8817H950 1646 200000 SH Put SOLE 200000 0 0 TWITTER INC NOTE 0.250% 9/1 90184LAB8 4722 5000000 PRN SOLE 5000000 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 16470 18000000 PRN SOLE 18000000 0 0 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 28375 26976000 PRN SOLE 26976000 0 0 ULTRA PETROLEUM CORP COM NEW 903914208 61190 5639667 SH SOLE 5639667 0 0 UNISYS CORP NOTE 5.500% 3/0 909214BS6 9917 6500000 PRN SOLE 6500000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 12395 500000 SH SOLE 500000 0 0 VANECK VECTORS ETF TR PUT 92189F958 12395 500000 SH Put SOLE 500000 0 0 VEDANTA LTD SPONSORED ADR 92242Y100 544 35036 SH SOLE 35036 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 5225 1350108 SH SOLE 1350108 0 0 WEIBO CORP SPONSORED ADR 948596101 1538 23139 SH SOLE 23139 0 0 WINDSTREAM HLDGS INC COM NEW 97382A200 1665 429050 SH SOLE 429050 0 0 YAHOO INC NOTE 12/0 984332AF3 70691 62180000 PRN SOLE 62180000 0 0