Chief Financial Officer

0000950123-21-002830.txt : 20210216 0000950123-21-002830.hdr.sgml : 20210216 20210216161708 ACCESSION NUMBER: 0000950123-21-002830 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210216 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: 21638706 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 500 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 500 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001257391 XXXXXXXX 12-31-2020 12-31-2020 false Whitebox Advisors LLC

3033 Excelsior Blvd. Suite 500 Minneapolis MN 55416

13F HOLDINGS REPORT 028-10715 N Robert Riepe Chief Financial Officer 612-253-6001 /S/Robert Riepe Minneapolis MN 02-15-2021 0 149 3184687 false INFORMATION TABLE 2 3001.xml INFORMATION TABLE FOR FORM 13F 7GC & CO HOLDINGS INC UNIT 12/23/2025 81786A206 1055 100000 SH SOLE 100000 0 0 ACE CONVERGENCE ACQU CORP CL A G0083D120 300 29394 SH SOLE 29394 0 0 ALTITUDE ACQUISITION CORP UNIT 11/30/2027 02156Y202 1035 100000 SH SOLE 100000 0 0 ALUSSA ENERGY ACQUISITION CO SHS CL A G0232J101 997 99100 SH SOLE 99100 0 0 AMERICAN AIRLS GROUP INC NOTE 6.500% 7/0 02376RAF9 87468 69775000 PRN SOLE 69775000 0 0 AMERICAN AIRLS GROUP INC PUT 02376R952 63080 4000000 SH Put SOLE 4000000 0 0 AMERICAN AXLE & MFG HLDGS IN COM 024061103 6855 821945 SH SOLE 821945 0 0 AMRYT PHARMA PLC SPONSORED ADS 03217L106 3757 265346 SH SOLE 265346 0 0 APACHE CORP COM 037411105 2761 194598 SH SOLE 194598 0 0 ATLAS CORP SHARES Y0436Q109 2376 219191 SH SOLE 219191 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 611 40310 SH SOLE 40310 0 0 BHP GROUP PLC SPONSORED ADR 05545E209 45724 862236 SH SOLE 862236 0 0 BILIBILI INC DEBT 1.250% 6/1 G10970AA2 34630 16000000 PRN SOLE 16000000 0 0 BILIBILI INC NOTE 1.375% 4/0 090040AB2 13853 4000000 PRN SOLE 4000000 0 0 BOWX ACQUISITION CORP CL A 103085106 1631 158980 SH SOLE 158980 0 0 BURGUNDY TECHNOLOGY ACQU COR CL A G1702T116 1041 100000 SH SOLE 100000 0 0 CALIFORNIA RES CORP COMMON STOCK 13057Q305 1783 75595 SH SOLE 75595 0 0 CARNIVAL CORP PUT 143658950 12996 600000 SH Put SOLE 600000 0 0 CF ACQUISITION CORP IV UNIT 12/31/2027 12520T201 1544 150000 SH SOLE 150000 0 0 CHEGG INC NOTE 0.125% 3/1 163092AD1 56940 31433000 PRN SOLE 31433000 0 0 CLEAR CHANNEL OUTDOOR HLDGS COM 18453H106 5247 3180114 SH SOLE 3180114 0 0 CLEVELAND-CLIFFS INC NEW DBCV 1.500% 1/1 185899AA9 1942 1000000 PRN SOLE 1000000 0 0 CLOVIS ONCOLOGY INC NOTE 4.500% 8/0 189464AE0 8015 9300000 PRN SOLE 9300000 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 1041 100000 SH SOLE 100000 0 0 COLONNADE ACQUISITION CORP UNIT 99/99/9999 G2283K128 379 25000 SH SOLE 25000 0 0 COMMSCOPE HLDG CO INC COM 20337X109 2211 165021 SH SOLE 165021 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 774 104184 SH SOLE 104184 0 0 CONSTELLIUM SE CL A SHS F21107101 3120 223019 SH SOLE 223019 0 0 CONTURA ENERGY INC COM 21241B100 6868 604082 SH SOLE 604082 0 0 CORNER GROWTH ACQUISITION CO UNIT 01/01/2027 G2425N121 1045 100000 SH SOLE 100000 0 0 CORNERSTONE BLDG BRANDS INC COM 21925D109 2037 219481 SH SOLE 219481 0 0 COUPA SOFTWARE INC NOTE 0.125% 6/1 22266LAC0 40353 18500000 PRN SOLE 18500000 0 0 DEVON ENERGY CORP NEW COM 25179M103 751 47500 SH SOLE 47500 0 0 DEXCOM INC NOTE 0.750%12/0 252131AH0 24853 10931000 PRN SOLE 10931000 0 0 DISH NETWORK CORPORATION NOTE 3.375% 8/1 25470MAB5 33172 34800000 PRN SOLE 34800000 0 0 DMY TECHNOLOGY GROUP INC III UNIT 99/99/9999 233278209 493 43259 SH SOLE 43259 0 0 DONNELLEY R R & SONS CO COM 257867200 6591 2916395 SH SOLE 2916395 0 0 DUNE ACQUISITION CORP UNIT 10/29/2027 265334201 4080 400000 SH SOLE 400000 0 0 DXC TECHNOLOGY CO COM 23355L106 1181 45861 SH SOLE 45861 0 0 EDTECHX HOLDINGS ACQU CORP I UNIT 08/31/2027 28139A201 2580 250000 SH SOLE 250000 0 0 ENCORE CAP EUROPE FIN LTD NOTE 4.500% 9/0 29260UAA5 29144 25850000 PRN SOLE 25850000 0 0 ENCORE CAP GROUP INC NOTE 3.250% 3/1 292554AK8 11107 10250000 PRN SOLE 10250000 0 0 ENCORE CAP GROUP INC NOTE 3.250%10/0 292554AM4 25204 21550000 PRN SOLE 21550000 0 0 ENTERCOM COMMUNICATIONS CORP CL A 293639100 689 279075 SH SOLE 279075 0 0 FINTECH ACQUISITION CORP V UNIT 99/99/9999 31810Q305 268 25000 SH SOLE 25000 0 0 GOGO INC NOTE 6.000% 5/1 38046CAD1 30087 17725000 PRN SOLE 17725000 0 0 GOLDEN FALCON ACQUISITION CO UNIT 99/99/9999 38102H208 520 50000 SH SOLE 50000 0 0 GOLDEN NUGGET ONLINE GAMIN *W EXP 05/09/202 38113L115 945 105000 SH SOLE 105000 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 1149 105356 SH SOLE 105356 0 0 GORES HOLDINGS VI INC UNIT 08/24/2027 38286R204 530 50000 SH SOLE 50000 0 0 GRANITE CONSTR INC NOTE 2.750%11/0 387328AB3 13989 13000000 PRN SOLE 13000000 0 0 GRIFOLS S A SP ADR REP B NVT 398438408 57651 3126410 SH SOLE 3126410 0 0 H I G ACQUISITION CORP UNIT 99/99/9999 G44898115 522 50000 SH SOLE 50000 0 0 HEALTHCARE SERVICES ACQU COR UNIT 11/18/2023 42227K203 1278 125000 SH SOLE 125000 0 0 HIGHLAND TRANSCEND PARTNERS UNIT 99/99/9999 G44690116 525 50000 SH SOLE 50000 0 0 HOPE BANCORP INC NOTE 2.000% 5/1 43940TAB5 3010 3235000 PRN SOLE 3235000 0 0 HUAZHU GROUP LTD NOTE 0.375%11/0 16949NAC3 12559 11000000 PRN SOLE 11000000 0 0 HUDSON EXECUTIVE INVT CORP COM CL A 443761101 872 80626 SH SOLE 80626 0 0 HYCROFT MINING HOLDING CORP *W EXP 02/12/202 44862P117 1296 913017 SH SOLE 913017 0 0 HYCROFT MINING HOLDING CORP COM CL A 44862P109 93833 11953217 SH SOLE 11953217 0 0 IAC INTERACTIVECORP NEW COM 44891N109 6416 33884 SH SOLE 33884 0 0 IHEARTMEDIA INC COM CL A 45174J509 227 17458 SH SOLE 17458 0 0 INFINERA CORP NOTE 2.125% 9/0 45667GAC7 12398 10000000 PRN SOLE 10000000 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 17847 23150000 PRN SOLE 23150000 0 0 INTREXON CORP NOTE 3.500% 7/0 46122TAA0 12533 15100000 PRN SOLE 15100000 0 0 INVACARE CORP NOTE 5.000%11/1 461203AL5 3169 3325000 PRN SOLE 3325000 0 0 INVESTINDUSTRIAL ACQUISITION UNIT 99/99/9999 G4771L121 2647 257500 SH SOLE 257500 0 0 IQIYI INC NOTE 2.000% 4/0 46267XAD0 21576 24487000 PRN SOLE 24487000 0 0 IQIYI INC NOTE 3.750%12/0 46267XAB4 5071 5000000 PRN SOLE 5000000 0 0 IQIYI INC NOTE 4.000%12/1 46267XAE8 20404 20500000 PRN SOLE 20500000 0 0 JAWS SPITFIRE ACQUISITION CO UNIT 99/99/9999 G50740128 774 70000 SH SOLE 70000 0 0 KINGSWOOD ACQUISITION CORP UNIT 99/99/9999 496861204 1686 162100 SH SOLE 162100 0 0 KINS TECHNOLOGY GROUP INC UNIT 10/14/2025 49714K208 772 75000 SH SOLE 75000 0 0 LANDCADIA HOLDINGS III INC UNIT 99/99/9999 51476H209 465 41600 SH SOLE 41600 0 0 LIBERTY MEDIA CORP DEL DEB 4.000%11/1 530715AG6 2651 3466000 PRN SOLE 3466000 0 0 LIVE OAK ACQUISITION CORP II UNIT 99/99/9999 53804W205 543 50000 SH SOLE 50000 0 0 LONGVIEW ACQUISITION CORP *W EXP 05/27/202 543195119 330 50000 SH SOLE 50000 0 0 MACYS INC PUT 55616P954 7313 650000 SH Put SOLE 650000 0 0 MARATHON PETE CORP CALL 56585A902 20680 500000 SH Call SOLE 500000 0 0 MARATHON PETE CORP COM 56585A102 67389 1629319 SH SOLE 1629319 0 0 MARQUEE RAINE ACQUISITION CO UNIT 12/01/2025 G58442115 433 40000 SH SOLE 40000 0 0 MEDTECH ACQUISITION CORP UNIT 12/18/2025 58507N204 420 40000 SH SOLE 40000 0 0 MERIDA MERGER CORP I COM 58953M106 273 26768 SH SOLE 26768 0 0 MFA FINL INC COM 55272X102 260 66954 SH SOLE 66954 0 0 MOTIVE CAPITAL CORP UNIT 99/99/9999 G6293A129 738 70000 SH SOLE 70000 0 0 MP MATERIALS CORP *W EXP 05/04/202 553368119 1383 90000 SH SOLE 90000 0 0 MUDRICK CAPITAL ACQU CORP II UNIT 99/99/9999 62477L206 3120 300000 SH SOLE 300000 0 0 NABORS INDS INC NEW NOTE 0.750% 1/1 62957HAB1 20782 40524000 PRN SOLE 40524000 0 0 NEBULA CARAVEL ACQUISITION C UNIT 12/09/2023 629070202 270 25000 SH SOLE 25000 0 0 NEXTERA ENERGY INC UNIT 99/99/9999 65339F739 29538 575000 SH SOLE 575000 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN 65341B106 3788 56500 SH SOLE 56500 0 0 NIO INC DEBT 4.500% 2/0 G6525FAA0 119122 23000000 PRN SOLE 23000000 0 0 NIO INC SPON ADS 62914V106 703 14415 SH SOLE 14415 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 67651 54184000 PRN SOLE 54184000 0 0 O-I GLASS INC COM 67098H104 3059 257018 SH SOLE 257018 0 0 OASIS PETROLEUM INC COM NEW 674215207 21485 579728 SH SOLE 579728 0 0 OMEROS CORP NOTE 5.250% 2/1 682143AG7 15940 15100000 PRN SOLE 15100000 0 0 OVINTIV INC COM 69047Q102 3673 255764 SH SOLE 255764 0 0 PBF ENERGY INC PUT 69318G956 2130 300000 SH Put SOLE 300000 0 0 PEBBLEBROOK HOTEL TR COM 70509V100 4649 247306 SH SOLE 247306 0 0 PG&E CORP UNIT 99/99/9999 69331C140 24568 200000 SH SOLE 200000 0 0 PINDUODUO INC NOTE 12/0 722304AC6 26516 21500000 PRN SOLE 21500000 0 0 PROPTECH INVESTMENT CORP II UNIT 99/99/9999 743497208 806 75000 SH SOLE 75000 0 0 PROS HOLDINGS INC NOTE 1.000% 5/1 74346YAH6 6885 6500000 PRN SOLE 6500000 0 0 PROTALIX BIOTHERAPEUTICS INC NOTE 7.500%11/1 74365AAD3 4727 5000000 PRN SOLE 5000000 0 0 REDBALL ACQUISITION CORP COM CL A G7417R105 2178 200000 SH SOLE 200000 0 0 REVOLUTION ACCELERTN ACQU CO UNIT 12/01/2025 76156P205 625 60000 SH SOLE 60000 0 0 RMG ACQUISITION CORP II UNIT 12/09/2025 G76083115 1673 150000 SH SOLE 150000 0 0 ROMAN DBDR TECH ACQUISITION UNIT 99/99/9999 77584N200 399 38400 SH SOLE 38400 0 0 ROMEO POWER INC *W EXP 02/21/202 776153116 233 25000 SH SOLE 25000 0 0 RUSH STREET INTERACTIVE INC *W EXP 02/21/202 782011118 613 80000 SH SOLE 80000 0 0 RYANAIR HOLDINGS PLC SPONSORED ADS 783513203 6150 55922 SH SOLE 55922 0 0 RYDER SYS INC COM 783549108 1189 19258 SH SOLE 19258 0 0 SAILPOINT TECHNOLOGIES HLDGS NOTE 0.125% 9/1 78781PAB1 15579 8000000 PRN SOLE 8000000 0 0 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 29843 12172000 PRN SOLE 12172000 0 0 SCION TECH GROWTH I UNIT 12/17/2025 G31067120 776 75000 SH SOLE 75000 0 0 SEA LTD DEBT 2.375%12/0 G7948TAE9 120704 52358000 PRN SOLE 52358000 0 0 SEA LTD NOTE 1.000%12/0 81141RAD2 110810 28000000 PRN SOLE 28000000 0 0 SEAPORT GLOBAL ACQUISITN COR COM CL A 812227106 756 75000 SH SOLE 75000 0 0 SEAPORT GLOBAL ACQUISITN COR UNIT 99/99/9999 812227205 784 75000 SH SOLE 75000 0 0 SEVEN OAKS ACQUISITION CORP UNIT 12/18/2025 81787X205 5175 500000 SH SOLE 500000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 615 50000 SH SOLE 50000 0 0 SPARTACUS ACQUISITION CORP UNIT 10/31/2027 84677L208 232 21900 SH SOLE 21900 0 0 SPDR S&P 500 ETF TR PUT 78462F953 177593 475000 SH Put SOLE 475000 0 0 SPIRIT AIRLS INC NOTE 4.750% 5/1 848577AA0 68363 31746000 PRN SOLE 31746000 0 0 SPLUNK INC NOTE 0.500% 9/1 848637AC8 11615 8903000 PRN SOLE 8903000 0 0 SPLUNK INC NOTE 1.125% 9/1 848637AD6 15571 11500000 PRN SOLE 11500000 0 0 SQUARE INC NOTE 0.500% 5/1 852234AD5 243480 86833000 PRN SOLE 86833000 0 0 SUSTAINABLE OPPORTNTS ACQ CO ORD SHS A G8598Y109 538 50000 SH SOLE 50000 0 0 TATTOOED CHEF INC *W EXP 10/15/202 87663X110 1673 147000 SH SOLE 147000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 4367 109372 SH SOLE 109372 0 0 TENNECO INC CL A VTG COM STK 880349105 2321 219002 SH SOLE 219002 0 0 TESLA INC NOTE 2.000% 5/1 88160RAG6 309975 27264000 PRN SOLE 27264000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 21528 2000000 PRN SOLE 2000000 0 0 TESLA INC PUT 88160R951 176418 250000 SH Put SOLE 250000 0 0 TILRAY INC NOTE 5.000%10/0 88688TAB6 5066 6031000 PRN SOLE 6031000 0 0 TREPONT ACQUISITION CORP I UNIT 99/99/9999 G9095M119 1037 100000 SH SOLE 100000 0 0 TS INNOVATION ACQUISITN CORP UNIT 99/99/9999 87284T209 6467 613600 SH SOLE 613600 0 0 UNITED STATES STL CORP NEW NOTE 5.000%11/0 912909AT5 26127 17475000 PRN SOLE 17475000 0 0 UNITED STATES STL CORP NEW PUT 912909958 36894 2200000 SH Put SOLE 2200000 0 0 VEDANTA LIMITED SPONSORED ADR 92242Y100 3038 346000 SH SOLE 346000 0 0 VEONEER INC NOTE 4.000% 6/0 92336XAA7 19650 16350000 PRN SOLE 16350000 0 0 WAYFAIR INC NOTE 1.000% 8/1 94419LAF8 99702 59493000 PRN SOLE 59493000 0 0 WAYFAIR INC NOTE 1.125%11/0 94419LAD3 16284 8000000 PRN SOLE 8000000 0 0 WHITING PETE CORP NEW COM NEW 966387508 7818 312738 SH SOLE 312738 0 0 WIX COM LTD NOTE 7/0 92940WAB5 78642 42608000 PRN SOLE 42608000 0 0 ZENDESK INC NOTE 0.250% 3/1 98936JAB7 7541 3304000 PRN SOLE 3304000 0 0 ZILLOW GROUP INC NOTE 0.750% 9/0 98954MAE1 119525 40000000 PRN SOLE 40000000 0 0 ZILLOW GROUP INC NOTE 1.375% 9/0 98954MAG6 84962 28250000 PRN SOLE 28250000 0 0