Managing Member

0001398344-14-001081.txt : 20140214 0001398344-14-001081.hdr.sgml : 20140214 20140214152047 ACCESSION NUMBER: 0001398344-14-001081 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 EFFECTIVENESS DATE: 20140214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SILVERBACK ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001278960 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10791 FILM NUMBER: 14615583 BUSINESS ADDRESS: STREET 1: 1414 RALEIGH ROAD STREET 2: SUITE 250 CITY: CHAPEL HILL STATE: NC ZIP: 27517 BUSINESS PHONE: 919-969-9300 MAIL ADDRESS: STREET 1: 1414 RALEIGH ROAD STREET 2: SUITE 250 CITY: CHAPEL HILL STATE: NC ZIP: 27517 FORMER COMPANY: FORMER CONFORMED NAME: SILVERBACK ASET MANAGEMENT LLC DATE OF NAME CHANGE: 20040206 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001278960 XXXXXXXX 12-31-2013 12-31-2013 false SILVERBACK ASSET MANAGEMENT LLC

1414 Raleigh Road Suite 250 Chapel Hill NC 27517

13F HOLDINGS REPORT 028-10791 N Elliot Bossen Managing Member 919-969-9300 /s/ Elliot Bossen Chapel Hill NC 02-13-2014 0 62 1180578 INFORMATION TABLE 2 fp0009268_13fhr-table.xml 13F INFORMATION TABLE ADVAXIS INC COM NEW 007624208 636 150000 SH SOLE 150000 0 0 ADVAXIS INC *W EXP 07/15/201 007624117 477 112500 SH SOLE 112500 0 0 AK STL CORP NOTE 5.000%11/1 001546AP5 14116 8700000 PRN SOLE 8700000 0 0 ALBANY MOLECULAR RESH INC NOTE 2.250%11/1 012423AA7 2325 2500000 PRN SOLE 2500000 0 0 ALPHA NATURAL RESOURCES INC NOTE 3.750%12/1 02076XAE2 4673 4500000 PRN SOLE 4500000 0 0 AMERICAN EQTY INVT LIFE HLD COM 025676206 6595 250000 SH SOLE 250000 0 0 AMERICAN EQTY INVT LIFE HLD COM 025676206 317 12000 SH Call SOLE 12000 0 0 AMERICAN RLTY CAP PPTYS INC NOTE 3.000% 8/0 02917TAA2 17085 17000000 PRN SOLE 17000000 0 0 AMERICAN RLTY CAP PPTYS INC NOTE 3.750%12/1 02917TAB0 5083 5000000 PRN SOLE 5000000 0 0 ARRIS GROUP INC NEW COM 04270V106 1217 50000 SH Call SOLE 50000 0 0 BIOMARIN PHARMACEUTICAL INC NOTE 0.750%10/1 09061GAE1 5325 5000000 PRN SOLE 5000000 0 0 BLACKSTONE MTG TR INC NOTE 5.250%12/0 09257WAA8 6264 6000000 PRN SOLE 6000000 0 0 BPZ RESOURCES INC COM 055639108 81 44735 SH SOLE 44735 0 0 BPZ RESOURCES INC MTNF 6.500% 3/0 055639AB4 5850 6500000 PRN SOLE 6500000 0 0 BPZ RESOURCES INC NOTE 8.500%10/0 055639AC2 9371 10500000 PRN SOLE 10500000 0 0 CEMEX SAB DE CV NOTE 3.250% 3/1 151290BB8 26375 20000000 PRN SOLE 20000000 0 0 CENTRAL EUROPEAN MEDIA NOTE 5.000%11/1 153443AH9 13253 14564000 PRN SOLE 14564000 0 0 CHENIERE ENERGY INC COM NEW 16411R208 2053 47600 SH SOLE 47600 0 0 CHENIERE ENERGY INC COM NEW 16411R208 2147 49800 SH Call SOLE 49800 0 0 CHESAPEAKE ENERGY CORP NOTE 2.750%11/1 165167BW6 12600 12000000 PRN SOLE 12000000 0 0 CITIGROUP INC *W EXP 01/04/201 172967226 122567 2352081 SH SOLE 2352081 0 0 CITIGROUP INC *W EXP 10/28/201 172967234 93449 1793300 SH SOLE 1793300 0 0 COBALT INTL ENERGY INC COM 19075F106 4113 250000 SH Call SOLE 250000 0 0 COMTECH TELECOMMUNICATIONS C NOTE 3.000% 5/0 205826AF7 5238 5000000 PRN SOLE 5000000 0 0 COVANTA HLDG CORP NOTE 3.250% 6/0 22282EAC6 14068 12024000 PRN SOLE 12024000 0 0 CUBIST PHARMACEUTICALS INC RIGHT 99/99/9999 229678123 3646 2700945 SH SOLE 2700945 0 0 D R HORTON INC NOTE 2.000% 5/1 23331ABB4 22344 13000000 PRN SOLE 13000000 0 0 ELECTRONIC ARTS INC NOTE 0.750% 7/1 285512AA7 16821 15750000 PRN SOLE 15750000 0 0 ENDO HEALTH SOLUTIONS INC NOTE 1.750% 4/1 29264FAB2 77233 33290000 PRN SOLE 33290000 0 0 EXELIXIS INC NOTE 4.250% 8/1 30161QAC8 4613 3770000 PRN SOLE 3770000 0 0 EXTERRAN HLDGS INC NOTE 4.250% 6/1 30225XAA1 22403 15000000 PRN SOLE 15000000 0 0 GENCORP INC SDCV 4.062%12/3 368682AN0 40356 20000000 PRN SOLE 20000000 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 20420 499628 SH SOLE 499628 0 0 GREEN PLAINS RENEWABLE ENERG NOTE 5.750%11/0 393222AB0 14977 10340000 PRN SOLE 10340000 0 0 GROUP 1 AUTOMOTIVE INC FRNT 2.250% 6/1 398905AE9 19276 15250000 PRN SOLE 15250000 0 0 HOLOGIC INC COM 436440101 3679 164700 SH SOLE 164700 0 0 ISTAR FINL INC COM 45031U101 5708 400000 SH Call SOLE 400000 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 68904 1914000 SH SOLE 1914000 0 0 L-3 COMMUNICATIONS CORP DEBT 3.000% 8/0 502413AW7 23852 19786000 PRN SOLE 19786000 0 0 MERRIMACK PHARMACEUTICALS IN NOTE 4.500% 7/1 590328AA8 4200 4000000 PRN SOLE 4000000 0 0 MICRON TECHNOLOGY INC NOTE 2.375% 5/0 595112AW3 35991 15500000 PRN SOLE 15500000 0 0 MOLYCORP INC DEL COM 608753109 1218 216700 SH SOLE 216700 0 0 MOLYCORP INC DEL NOTE 5.500% 2/0 608753AH2 1410 1500000 PRN SOLE 1500000 0 0 MOLYCORP INC DEL NOTE 6.000% 9/0 608753AF6 10244 13050000 PRN SOLE 13050000 0 0 NAVISTAR INTL CORP NEW NOTE 3.000%10/1 63934EAL2 18604 18150000 PRN SOLE 18150000 0 0 PENNEY J C INC COM 708160106 1830 200000 SH SOLE 200000 0 0 PENNEY J C INC COM 708160106 1830 200000 SH Put SOLE 200000 0 0 PHH CORP NOTE 4.000% 9/0 693320AN3 16896 15791000 PRN SOLE 15791000 0 0 RF MICRODEVICES INC NOTE 1.000% 4/1 749941AJ9 17022 17022000 PRN SOLE 17022000 0 0 SANOFI RIGHT 12/31/2020 80105N113 736 2163509 SH SOLE 2163509 0 0 SOLARCITY CORP NOTE 2.750%11/0 83416TAA8 5933 5000000 PRN SOLE 5000000 0 0 SOLARFUN POWER HOLDINGS CO L NOTE 3.500% 1/1 83415UAB4 5975 6425000 PRN SOLE 6425000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 149359 808700 SH Call SOLE 808700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 27704 150000 SH Call SOLE 150000 0 0 STARWOOD PPTY TR INC NOTE 4.000% 1/1 85571BAB1 32306 29000000 PRN SOLE 29000000 0 0 STILLWATER MNG CO NOTE 1.750%10/1 86074QAL6 19193 17000000 PRN SOLE 17000000 0 0 TAKE-TWO INTERACTIVE SOFTWAR NOTE 1.750%12/0 874054AC3 11570 10000000 PRN SOLE 10000000 0 0 USEC INC NOTE 3.000%10/0 90333EAC2 16810 48028000 PRN SOLE 48028000 0 0 VECTOR GROUP LTD FRNT 1/1 92240MAY4 15477 13000000 PRN SOLE 13000000 0 0 VRINGO INC COM 92911N104 681 229968 SH SOLE 229968 0 0 WESTERN REFNG INC NOTE 5.750% 6/1 959319AC8 37515 8458000 PRN SOLE 8458000 0 0 XILINX INC SDCV 3.125% 3/1 983919AD3 28567 17995000 PRN SOLE 17995000 0 0