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