0001009012-13-000014.txt : 20130814
0001009012-13-000014.hdr.sgml : 20130814
20130814101434
ACCESSION NUMBER: 0001009012-13-000014
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130630
FILED AS OF DATE: 20130814
DATE AS OF CHANGE: 20130814
EFFECTIVENESS DATE: 20130814
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ZAZOVE ASSOCIATES LLC
CENTRAL INDEX KEY: 0001009012
IRS NUMBER: 363984373
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05338
FILM NUMBER: 131035507
BUSINESS ADDRESS:
STREET 1: 1033 SKOKIE BLVD., SUITE 310
CITY: NORTHBROOK
STATE: IL
ZIP: 60062
BUSINESS PHONE: 8472397100
MAIL ADDRESS:
STREET 1: 1033 SKOKIE BLVD., SUITE 310
CITY: NORTHBROOK
STATE: IL
ZIP: 60062
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001009012
XXXXXXXX
06-30-2013
06-30-2013
ZAZOVE ASSOCIATES LLC
1033 SKOKIE BLVD., SUITE 310
NORTHBROOK
IL
60062
13F HOLDINGS REPORT
028-05338
N
Steven M. Kleiman
Chief Operating Officer
847.239.7100
Steven M. KLeiman
Northbrook
IL
08-14-2013
0
142
3385753
false
INFORMATION TABLE
2
zazove13f063013.xml
BANK OF AMERICA
7.25 CNV PFD L
060505682
8640
7790
SH
SOLE
7790
0
0
EMMIS COM CORP
PFD CV SER A
291525202
5898
491510
SH
SOLE
491510
0
0
FIFTH THIRD BANCORP
CNV PFD DEP1/250
316773209
86785
556530
SH
SOLE
556530
0
0
STANLEY BLACK DECKER
UNIT 99/99/9999
854502309
167025
1296655
SH
SOLE
1296655
0
0
WELLS FARGO CO
PERP PFD CNV A
949746804
19223
16100
SH
SOLE
16100
0
0
ASPEN INSURANCE HDGS
SHS
G05384105
3978
107241
SH
SOLE
107241
0
0
AURICO GOLD INC.
COM
05155C105
450
102910
SH
SOLE
102910
0
0
BOSTON PROPERTIES
COM
101121101
53
503
SH
SOLE
503
0
0
CUMULUS MEDIA INC
CL A
231082108
182
53742
SH
SOLE
53742
0
0
DURECT CORPORATION
COM
266605104
917
873140
SH
SOLE
873140
0
0
EMMIS COMMUNICATION
CL A
291525103
1162
542942
SH
SOLE
542942
0
0
INTEL CORP.
COM
458140100
2186
90200
SH
SOLE
90200
0
0
INTERNATIONAL GAME TECH
COM
459902102
334
20000
SH
SOLE
20000
0
0
IRIDIUM COMMUNICATIONS
COM
46269C102
756
97422
SH
SOLE
97422
0
0
NEWMONT MINING
COM
651639106
277
9250
SH
SOLE
9250
0
0
RADIO ONE, INC.
CL D NON VTG
75040P405
2320
1000000
SH
SOLE
1000000
0
0
TEVA PHARM
ADR
881624209
1261
32174
SH
SOLE
32174
0
0
NEW YORK COM BANCORP TRUST
UNIT 99/99/9999
64944P307
40553
831864
SH
SOLE
831864
0
0
OWENS CORNING
*W EXP 10/31/201
690742127
45
45634
PRN
SOLE
0
0
0
GENERAL MOTORS CORP
*W EXP 07/10/201
37045V118
3590
149603
PRN
SOLE
0
0
0
KINDER MORGAN ENERGY PARTNERS
*W EXP 05/25/201
49456B119
44686
8727704
PRN
SOLE
0
0
0
JP MORGAN CHASE CO.
*W EXP 10/28/201
46634E114
4952
317463
PRN
SOLE
0
0
0
CAPITAL ONE FINANCIAL CORP
*W EXP 11/14/201
14040H139
7840
323554
PRN
SOLE
0
0
0
GENERAL MOTORS CORP.
*W EXP 07/10/201
37045V126
2446
149603
PRN
SOLE
0
0
0
ZIONS BANCORPORATION
*W EXP 05/22/202
989701115
270
46190
PRN
SOLE
0
0
0
AMERICAN INTERNATIONAL GROUP
*W EXP 01/19/202
026874156
16335
895566
PRN
SOLE
0
0
0
APACHE CORPORATION
PFD CONV SER D
037411808
3911
81882
PRN
SOLE
0
0
0
THOMPSON CREEK METALS CO
UNIT 99/99/9999
884768300
6299
385943
PRN
SOLE
0
0
0
AGCO CORP
NOTE 1.250 12/1
001084AM4
43028
34561000
PRN
SOLE
0
0
0
AFFILIATED MANAGERS GROUP
NOTE 3.950 8/1
008252AL2
52395
40015000
PRN
SOLE
0
0
0
AFFYMETRIX, INC
NOTE 4.000 7/0
00826TAH1
8009
8100000
PRN
SOLE
0
0
0
AIRTRAN HOLDINGS, INC
NOTE 5.250 11/0
00949PAD0
305
215000
PRN
SOLE
0
0
0
ALCOA INC
NOTE 5.250 3/1
013817AT8
111094
87605000
PRN
SOLE
0
0
0
ALLEGHENY TECHNOLOGIES
NOTE 4.250 6/0
01741RAD4
105149
101466000
PRN
SOLE
0
0
0
ALLIANCE ONE INTERNATIONAL
NOTE 5.500 7/1
018772AQ6
3015
2963000
PRN
SOLE
0
0
0
JOHNSON JOHNSON
SDCV 7/2
02261WAB5
184448
156810000
PRN
SOLE
0
0
0
ANGLOGOLD LIMITED
MAND BD CV 13
03512Q206
276
16000
PRN
SOLE
0
0
0
ANNALY MORTGAGE MANAGEMENT
NOTE 4.000 2/1
035710AA0
57916
51624000
PRN
SOLE
0
0
0
ANNALY MORTGAGE MANAGEMENT
NOTE 5.000 5/1
035710AB8
657
650000
PRN
SOLE
0
0
0
ARCELORMITTAL
NOTE 5.000 5/1
03938LAK0
8875
8680000
PRN
SOLE
0
0
0
ARCHER-DANIELS-MIDLAND CO
NOTE 0.875 2/1
039483AW2
10818
10700000
PRN
SOLE
0
0
0
ARES CAPITAL CORP
NOTE 5.125 6/0
04010LAD5
705
660000
PRN
SOLE
0
0
0
ARRIS GROUP INC.
NOTE 2.000 11/1
04269QAC4
3140
3037000
PRN
SOLE
0
0
0
BGC PARTNERS, INC.
NOTE 4.500 7/1
05541TAD3
11784
11639000
PRN
SOLE
0
0
0
CMS ENERGY CORP
NOTE 5.500 6/1
125896BD1
3988
2000000
PRN
SOLE
0
0
0
CACI INTERNATIONAL INC
NOTE 2.125 5/0
127190AD8
25458
21215000
PRN
SOLE
0
0
0
CADENCE DESIGN SYSTEMS
NOTE 2.625 6/0
127387AJ7
2918
1500000
PRN
SOLE
0
0
0
CHEMED CORPORATION
NOTE 1.875 5/1
16359RAC7
8522
8087000
PRN
SOLE
0
0
0
CHESAPEAKE ENERGY CORP
NOTE 2.500 5/1
165167BZ9
2485
2625000
PRN
SOLE
0
0
0
CHESAPEAKE ENERGY CORP
NOTE 2.500 5/1
165167CA3
44796
47946000
PRN
SOLE
0
0
0
COLONY FINANCIAL INC
NOTE 5.000 4/1
19624RAA4
4397
4290000
PRN
SOLE
0
0
0
COMTECH TELECOM CORP
NOTE 3.000 5/0
205826AF7
3105
3000000
PRN
SOLE
0
0
0
UNITED CONTINENTAL HLDGS
NOTE 4.500 1/1
210795PU8
2059
1175000
PRN
SOLE
0
0
0
AMARIN CORPORATION PLC
NOTE 3.500 1/1
220480AC1
1074
1000000
PRN
SOLE
0
0
0
CUBIST PHARMACEUTICALS
NOTE 2.500 11/0
229678AD9
4389
2500000
PRN
SOLE
0
0
0
DENDREON CORP
NOTE 2.875 1/1
24823QAC1
9331
12695000
PRN
SOLE
0
0
0
DOMINION RESOURCES INC
NOTE 2.125 12/1
25746UAT6
6492
3836000
PRN
SOLE
0
0
0
DRYSHIPS INC
NOTE 5.000 12/0
262498AB4
30088
33618000
PRN
SOLE
0
0
0
EMC CORP
NOTE 1.750 12/0
268648AM4
155983
105608000
PRN
SOLE
0
0
0
ELECTRONIC ARTS
NOTE 0.750 7/1
285512AA7
2366
2275000
PRN
SOLE
0
0
0
ENCORE CAPITAL GROUP
NOTE 3.000 11/2
292554AC6
2425
2000000
PRN
SOLE
0
0
0
ENDEAVOR INTL CORP
NOTE 5.500 7/1
29257MAE0
29312
48853000
PRN
SOLE
0
0
0
ENDO PHARMACEUTICALS HLDGS
NOTE 1.750 4/1
29264FAB2
2005
1500000
PRN
SOLE
0
0
0
ENERSYS
NOTE 3.375 6/0
29275YAA0
2631
2000000
PRN
SOLE
0
0
0
ENPRO INDUSTRIES, INC
DBCV 3.938 10/1
29355XAB3
99466
62656000
PRN
SOLE
0
0
0
EQUINIX, INC
NOTE 4.750 6/1
29444UAH9
4551
2000000
PRN
SOLE
0
0
0
FORD MOTOR CO
NOTE 4.250 11/1
345370CN8
912
504000
PRN
SOLE
0
0
0
GT ADVANCED TECH
NOTE 3.000 10/0
36191UAA4
6145
7160000
PRN
SOLE
0
0
0
GENCORP
SDCV 4.062 12/3
368682AN0
3706
2000000
PRN
SOLE
0
0
0
GENCO SHIPPING TRADING
NOTE 5.000 8/1
36869MAA3
7777
28805000
PRN
SOLE
0
0
0
GENERAL CABLE CORP
FRNT 4.500 11/1
369300AL2
2767
2500000
PRN
SOLE
0
0
0
GILEAD SCIENCES, INC.
NOTE 1.625 5/0
375558AP8
4530
2000000
PRN
SOLE
0
0
0
GMX RESOURCES INC
NOTE 4.500 5/0
38011MAJ7
510
8863000
PRN
SOLE
0
0
0
GOLDCORP, INC
NOTE 2.000 8/0
380956AB8
116465
115241000
PRN
SOLE
0
0
0
GREEN PLAINS RENEWABLE ENERGY INC
NOTE 5.750 11/0
393222AB0
10973
9480000
PRN
SOLE
0
0
0
GREENBRIER COMPANIES
NOTE 3.500 4/0
393657AH4
858
830000
PRN
SOLE
0
0
0
HAWAIIAN HOLDINGS, INC
NOTE 5.000 3/1
419879AD3
16600
15206000
PRN
SOLE
0
0
0
HEADWATERS INCORPORATED
NOTE 2.500 2/0
42210PAD4
1801
1815000
PRN
SOLE
0
0
0
HELIX ENERGY SOLUTIONS GROUP INC
NOTE 3.250 3/1
42330PAG2
478
381000
PRN
SOLE
0
0
0
HOLOGIC INC
FRNT 2.000 12/1
436440AB7
616
550000
PRN
SOLE
0
0
0
HOLOGIC INC
DEBT 2.000 3/0
436440AC5
3410
3440000
PRN
SOLE
0
0
0
HOME INNS HOTELS
NOTE 2.000 12/1
43713WAB3
16016
18200000
PRN
SOLE
0
0
0
HUTCHINSON TECHNOLOGY INC
NOTE 8.500 1/1
448407AG1
2244
2267000
PRN
SOLE
0
0
0
ICONIX BRAND GROUP, INC
NOTE 2.500 6/0
451055AE7
10884
9506000
PRN
SOLE
0
0
0
INTEL CORP
SDCV 2.950 12/1
458140AD2
945
865000
PRN
SOLE
0
0
0
INTEL CORPORATION
SDCV 3.250 8/0
458140AF7
145354
114223000
PRN
SOLE
0
0
0
INTERNATIONAL GAME TECH
NOTE 3.250 5/0
459902AQ5
95841
89890000
PRN
SOLE
0
0
0
JAMES RIVER COAL COMPANY
NOTE 3.125 3/1
470355AH1
967
3455000
PRN
SOLE
0
0
0
JEFFERIES GROUP, INC
DBCV 3.875 11/0
472319AG7
18773
17565000
PRN
SOLE
0
0
0
KNIGHT CAPITAL GROUP, INC.
NOTE 3.500 3/1
499005AE6
2263
2260000
PRN
SOLE
0
0
0
KCAP FINANCIAL INC
NOTE 8.750 3/1
500233AB7
41462
29510000
PRN
SOLE
0
0
0
L-3 COMMUNICATIONS HOLDINGS
DEBT 3.000 8/0
502413AW7
3663
3600000
PRN
SOLE
0
0
0
LABORATORY CORP OF AMER HLDGS
NOTE 9/1
50540RAG7
13317
9910000
PRN
SOLE
0
0
0
LAM RESEARCH CORP
NOTE 0.500 5/1
512807AJ7
3971
3720000
PRN
SOLE
0
0
0
LEVEL 3 COMMUNICATIONS
NOTE 7.000 3/1
52729NBP4
60211
51850000
PRN
SOLE
0
0
0
LEVEL 3 COMMUNICATIONS
NOTE 6.500 10/0
52729NBR0
2917
2155000
PRN
SOLE
0
0
0
LIFEPOINT HOSPITALS, INC
NOTE 3.500 5/1
53219LAH2
2277
2092000
PRN
SOLE
0
0
0
LINEAR TECHNOLOGY CORP
NOTE 3.000 5/0
535678AC0
3776
3600000
PRN
SOLE
0
0
0
MASSEY ENERGY COMPANY
NOTE 3.250 8/0
576203AJ2
2846
3300000
PRN
SOLE
0
0
0
METLIFE INC.
UNIT 99/99/9999
59156R116
6138
112400
PRN
SOLE
0
0
0
MICROCHIP TECHNOLOGY
SDCV 2.125 12/1
595017AB0
7136
4915000
PRN
SOLE
0
0
0
MICRON TECHNOLOGY, INC
NOTE 1.500 8/0
595112AQ6
5219
3400000
PRN
SOLE
0
0
0
MOLSON COORS BREWING CO
NOTE 2.500 7/3
60871RAA8
21652
21585000
PRN
SOLE
0
0
0
MOLYCORP, INC.
NOTE 3.250 6/1
608753AA7
11586
16730000
PRN
SOLE
0
0
0
MOLYCORP, INC.
NOTE 6.000 9/0
608753AF6
17993
23386000
PRN
SOLE
0
0
0
MOLYCORP, INC.
NOTE 5.500 2/0
608753AH2
9764
9900000
PRN
SOLE
0
0
0
NEWMONT MINING CORP
NOTE 1.250 7/1
651639AH9
98907
97626000
PRN
SOLE
0
0
0
NEWMONT MINING CORP
NOTE 1.625 7/1
651639AJ5
43168
40295000
PRN
SOLE
0
0
0
NORTHGATE MINERALS CORP
NOTE 3.500 10/0
666416AB8
31720
33365000
PRN
SOLE
0
0
0
LAM RESEARCH CORP
NOTE 2.625 5/1
670008AD3
69973
49473000
PRN
SOLE
0
0
0
OMNICOM GROUP
NOTE 7/3
681919AV8
26149
22701000
PRN
SOLE
0
0
0
PHH CORPORATION
NOTE 4.000 9/0
693320AN3
76154
71801000
PRN
SOLE
0
0
0
PRICELINE.COM
DEBT 1.000 3/1
741503AQ9
24284
20800000
PRN
SOLE
0
0
0
PROLOGIS, INC
NOTE 3.250 3/1
74340XAT8
10264
8940000
PRN
SOLE
0
0
0
PROSPECT CAPITAL CORPORATION
NOTE 6.250 12/1
74348TAC6
113512
104020000
PRN
SOLE
0
0
0
PROSPECT CAPITAL CORPORATION
NOTE 5.500 8/1
74348TAD4
156
150000
PRN
SOLE
0
0
0
PROSPECT CAPITAL CORPORATION
MTNF 5.375 10/1
74348TAK8
10660
10275000
PRN
SOLE
0
0
0
PULSE ELECTRONICS CORP
NOTE 7.000 12/1
74586WAA4
990
1320000
PRN
SOLE
0
0
0
RTI INTERNATIONAL METALS
NOTE 1.625 10/1
74973WAB3
7073
7445000
PRN
SOLE
0
0
0
RAMBUS INC
NOTE 5.000 6/1
750917AC0
515
500000
PRN
SOLE
0
0
0
RAYONIER INC
NOTE 4.500 8/1
75508AAC0
10608
6319000
PRN
SOLE
0
0
0
RITE AID CORP
NOTE 8.500 5/1
767754BU7
35439
25179000
PRN
SOLE
0
0
0
ROYAL GOLD, INC
NOTE 2.875 6/1
780287AA6
26752
29311000
PRN
SOLE
0
0
0
SAFEGUARD SCIENTIFICS
DBCV 5.250 5/1
786449AJ7
3889
3500000
PRN
SOLE
0
0
0
STEEL DYNAMICS, INC
NOTE 5.125 6/1
858119AP5
81279
75258000
PRN
SOLE
0
0
0
STERLITE INDUSTRIES LTD
NOTE 4.000 10/3
859737AB4
106319
109325000
PRN
SOLE
0
0
0
STILLWATER MINING CO.
NOTE 1.750 10/1
86074QAL6
48825
46835000
PRN
SOLE
0
0
0
TTM TECHNOLOGIES, INC
NOTE 3.250 5/1
87305RAC3
6784
6750000
PRN
SOLE
0
0
0
TELEFLEX INCORPORATED
NOTE 3.875 8/0
879369AA4
24152
17890000
PRN
SOLE
0
0
0
TEVA PHARM
DBCV 0.250 2/0
88163VAE9
127644
121612000
PRN
SOLE
0
0
0
TIBCO SOFTWARE INC.
NOTE 2.250 5/0
88632QAB9
3121
3185000
PRN
SOLE
0
0
0
TOWER GROUP, INC.
NOTE 5.000 9/1
891777AC8
2659
2500000
PRN
SOLE
0
0
0
TYSON FOODS, INC
NOTE 3.250 10/1
902494AP8
76598
50023000
PRN
SOLE
0
0
0
UNITED STATES STEEL CORP
NOTE 4.000 5/1
912909AE8
2054
2000000
PRN
SOLE
0
0
0
UNITED THERAPEUTICS CORP
NOTE 1.000 9/1
91307CAF9
3641
2500000
PRN
SOLE
0
0
0
VECTOR GROUP LTD
FRNT 1/1
92240MAY4
1195
1000000
PRN
SOLE
0
0
0
VIROPHARMA INC
NOTE 2.000 3/1
928241AH1
3283
2000000
PRN
SOLE
0
0
0
VOLCANO CORPORATION
NOTE 1.750 12/0
928645AB6
8710
9500000
PRN
SOLE
0
0
0
WELLS FARGO CO.
MTNF 0.125 3/0
94986RCZ2
1932
1760000
PRN
SOLE
0
0
0
XPO LOGISTICS, INC.
NOTE 4.500 10/0
983793AA8
17934
14470000
PRN
SOLE
0
0
0
XILINX, INC
NOTE 2.625 6/1
983919AF8
112814
78650000
PRN
SOLE
0
0
0