0000950123-17-010684.txt : 20171114
0000950123-17-010684.hdr.sgml : 20171114
20171114120621
ACCESSION NUMBER: 0000950123-17-010684
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171114
DATE AS OF CHANGE: 20171114
EFFECTIVENESS DATE: 20171114
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: 171199627
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
09-30-2017
09-30-2017
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
11-14-2017
0
93
3416467
false
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
COMMUNITY HEALTH SYS INC NEW
COM
203668108
3869
503782
SH
SOLE
503782
0
0
GAP INC
DEL COM
364760108
260
8789
SH
SOLE
8789
0
0
GOODYEAR TIRE & RUBR CO
COM
382550101
269
8100
SH
SOLE
8100
0
0
GRIFOLS S A
SP ADR REP B NVT
398438408
4787
218665
SH
SOLE
218665
0
0
HUNTSMAN CORP
COM
447011107
3810
138958
SH
SOLE
138958
0
0
KOHLS CORP
COM
500255104
259
5684
SH
SOLE
5684
0
0
OASIS PETE INC NEW
COM
674215108
187
20559
SH
SOLE
20559
0
0
PENNEY J C INC
COM
708160106
588
154288
SH
SOLE
154288
0
0
PRICELINE GRP INC
COM NEW
741503403
6774
3700
SH
SOLE
3700
0
0
RYANAIR HLDGS PLC
SPONSORED ADR NE
783513203
15884
150678
SH
SOLE
150678
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
262
42800
SH
SOLE
42800
0
0
TIME WARNER INC
COM NEW
887317303
24631
240420
SH
SOLE
240420
0
0
ULTRA PETROLEUM CORP
COM NEW
903914208
48896
5639667
SH
SOLE
5639667
0
0
AES CORP
COM
00130H105
298
27019
SH
SOLE
27019
0
0
AT&T INC
PUT
00206R952
10576
270000
SH
Put
SOLE
270000
0
0
ALLEGHENY TECHNOLOGIES INC
NOTE 4.750% 7/0
01741RAG7
60593
33111000
PRN
SOLE
33111000
0
0
ALTABA INC
COM
021346101
373451
5637847
SH
SOLE
5637847
0
0
AMBAC FINL GROUP INC
COM NEW
023139884
1605
92969
SH
SOLE
92969
0
0
AMERICAN AXLE & MFG HLDGS IN
COM
024061103
501
28523
SH
SOLE
28523
0
0
AMKOR TECHNOLOGY INC
COM
031652100
527
49906
SH
SOLE
49906
0
0
ARBOR RLTY TR INC
NOTE 6.500%10/0
038923AA6
7477
7000000
PRN
SOLE
7000000
0
0
BASIC ENERGY SVCS INC NEW
COM NEW
06985P209
24405
1264508
SH
SOLE
1264508
0
0
BEAZER HOMES USA INC
COM NEW
07556Q881
630
33600
SH
SOLE
33600
0
0
BIOMARIN PHARMACEUTICAL INC
NOTE 0.599% 8/0
09061GAH4
5066
5000000
PRN
SOLE
5000000
0
0
BLACKSTONE MTG TR INC
NOTE 5.250%12/0
09257WAA8
16329
14300000
PRN
SOLE
14300000
0
0
BONANZA CREEK ENERGY INC
COM NEW
097793400
76556
2320588
SH
SOLE
2320588
0
0
C&J ENERGY SVCS INC NEW
COM
12674R100
78400
2615941
SH
SOLE
2615941
0
0
CAESARS ACQUISITION CO
CL A
12768T103
9886
460909
SH
SOLE
460909
0
0
CITRIX SYS INC
NOTE 0.500% 4/1
177376AD2
5800
5000000
PRN
SOLE
5000000
0
0
CLEVELAND CLIFFS INC
COM
185899101
3204
448100
SH
SOLE
448100
0
0
COBALT INTL ENERGY INC
NOTE 2.625%12/0
19075FAA4
500
2000000
PRN
SOLE
2000000
0
0
COMSTOCK RES INC
NOTE 7.750% 4/0
205768AM6
7723
9653923
PRN
SOLE
9653923
0
0
COMSTOCK RES INC
NOTE 9.500% 6/1
205768AN4
4074
5156479
PRN
SOLE
5156479
0
0
CORENERGY INFRASTRUCTURE TR
NOTE 7.000% 6/1
21870UAA4
17900
15448000
PRN
SOLE
15448000
0
0
COWEN INC
NOTE 3.000%
223622AB7
5811
5538000
PRN
SOLE
5538000
0
0
CTRIP COM INTL LTD
NOTE 1.250%10/1
22943FAD2
34516
25000000
PRN
SOLE
25000000
0
0
DELL TECHNOLOGIES INC
COM CL V
24703L103
51047
661140
SH
SOLE
661140
0
0
DEVON ENERGY CORP NEW
COM
25179M103
251
6840
SH
SOLE
6840
0
0
DISH NETWORK CORP
NOTE 3.375% 8/1
25470MAB5
8391
7500000
PRN
SOLE
7500000
0
0
DYNEGY INC NEW DEL
COM
26817R108
4017
410267
SH
SOLE
410267
0
0
ENCORE CAP GROUP INC
NOTE 3.000% 7/0
292554AF9
19444
17000000
PRN
SOLE
17000000
0
0
FORD MTR CO DEL
PUT
345370950
8618
720000
SH
Put
SOLE
720000
0
0
GNC HLDGS INC
PUT
36191G957
4420
500000
SH
Put
SOLE
500000
0
0
GSV CAP CORP
NOTE 5.250% 9/1
36191JAB7
8276
8245000
PRN
SOLE
8245000
0
0
GENERAL MTRS CO
PUT
37045V950
19382
480000
SH
Put
SOLE
480000
0
0
GOGO INC
COM
38046C109
11234
951262
SH
SOLE
951262
0
0
GOGO INC
NOTE 3.750% 3/0
38046CAB5
6881
7525000
PRN
SOLE
7525000
0
0
HARMONIC INC
NOTE 4.000%12/0
413160AB8
8843
9950000
PRN
SOLE
9950000
0
0
HERTZ GLOBAL HLDGS INC
COM
42806J106
404
18053
SH
SOLE
18053
0
0
IAC INTERACTIVECORP
COM
44919P508
870
7400
SH
SOLE
7400
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
751
43833
SH
SOLE
43833
0
0
KEY ENERGY SVCS INC DEL
COM
49309J103
9781
742706
SH
SOLE
742706
0
0
LIBERTY MEDIA CORP
DEB 4.000%11/1
530715AG6
9073
12779000
PRN
SOLE
12779000
0
0
MTGE INVT CORP
COM
55378A105
7723
398072
SH
SOLE
398072
0
0
MACYS INC
COM
55616P104
337
15446
SH
SOLE
15446
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1.625% 2/1
595017AD6
17668
10125000
PRN
SOLE
10125000
0
0
NETFLIX INC
PUT
64110L956
9068
50000
SH
Put
SOLE
50000
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
13864
828668
SH
SOLE
828668
0
0
NEW RESIDENTIAL INVT CORP
CALL
64828T901
16730
1000000
SH
Call
SOLE
1000000
0
0
NEW YORK MTG TR INC
NOTE 6.250% 1/1
649604AD7
17743
17810000
PRN
SOLE
17810000
0
0
NOVAVAX INC
NOTE 3.750% 2/0
670002AB0
16553
35549000
PRN
SOLE
35549000
0
0
PDL BIOPHARMA INC
NOTE 2.750%12/0
69329YAG9
24177
22309000
PRN
SOLE
22309000
0
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
110938
5333567
SH
SOLE
5333567
0
0
POWERSHARES QQQ TRUST
PUT
73935A954
43635
300000
SH
Put
SOLE
300000
0
0
RAIT FINANCIAL TRUST
NOTE 4.000%10/0
749227AB0
1840
2000000
PRN
SOLE
2000000
0
0
RH
PUT
74967X953
31468
447500
SH
Put
SOLE
447500
0
0
RENEWABLE ENERGY GROUP INC
NOTE 4.000% 6/1
75972AAC7
40460
30900000
PRN
SOLE
30900000
0
0
SPDR S&P 500 ETF TR
CALL
78462F903
489899
1950000
SH
Call
SOLE
1950000
0
0
SPDR S&P 500 ETF TR
PUT
78462F953
1117974
4450000
SH
Put
SOLE
4450000
0
0
SPDR SERIES TRUST
PUT
78464A958
19910
500000
SH
Put
SOLE
500000
0
0
SAEXPLORATION HLDGS INC
COM NEW
78636X204
6549
2609039
SH
SOLE
2609039
0
0
SAFEGUARD SCIENTIFICS INC
DBCV 5.250% 5/1
786449AK4
5565
5416000
PRN
SOLE
5416000
0
0
SANOFI
RIGHT 12/31/2020
80105N113
2585
7181707
SH
SOLE
7181707
0
0
SOLARCITY CORP
NOTE 2.750%11/0
83416TAA8
13904
14000000
PRN
SOLE
14000000
0
0
TEGNA INC
COM
87901J105
261
19600
SH
SOLE
19600
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
5908
359582
SH
SOLE
359582
0
0
TESLA INC
PUT
88160R951
10233
30000
SH
Put
SOLE
30000
0
0
TESLA INC
NOTE 0.250% 3/0
88160RAB7
34042
31000000
PRN
SOLE
31000000
0
0
TESLA INC
NOTE 1.250% 3/0
88160RAC5
42798
38000000
PRN
SOLE
38000000
0
0
TESLA INC
NOTE 2.375% 3/1
88160RAD3
84741
69000000
PRN
SOLE
69000000
0
0
TWITTER INC
NOTE 0.250% 9/1
90184LAB8
5685
6000000
PRN
SOLE
6000000
0
0
UNISYS CORP
NOTE 5.500% 3/0
909214BS6
5784
5000000
PRN
SOLE
5000000
0
0
VALEANT PHARMACEUTICALS INTL
COM
91911K102
952
66414
SH
SOLE
66414
0
0
VANECK VECTORS ETF TR
CALL
92189F906
22960
1000000
SH
Call
SOLE
1000000
0
0
VEDANTA LTD
SPONSORED ADR
92242Y100
485
25036
SH
SOLE
25036
0
0
WESTERN ASSET MTG CAP CORP
NOTE 6.750%10/0
95790DAA3
8505
8500000
PRN
SOLE
8500000
0
0
YAHOO INC
NOTE 12/0
984332AF3
37099
28593000
PRN
SOLE
28593000
0
0
ENSCO PLC
SHS CLASS A
G3157S106
25084
4201705
SH
SOLE
4201705
0
0
NABORS INDUSTRIES LTD
SHS
G6359F103
385
47699
SH
SOLE
47699
0
0
SINA CORP
ORD
G81477104
57520
501702
SH
SOLE
501702
0
0
TRANSOCEAN LTD
PUT
H8817H950
2152
200000
SH
Put
SOLE
200000
0
0
CONSTELLIUM NV
CL A
N22035104
1369
133552
SH
SOLE
133552
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
33927
300000
SH
SOLE
300000
0
0