Executive Partner

0001009012-21-000008.txt : 20210722 0001009012-21-000008.hdr.sgml : 20210722 20210722150615 ACCESSION NUMBER: 0001009012-21-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210722 DATE AS OF CHANGE: 20210722 EFFECTIVENESS DATE: 20210722 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: 211107410 BUSINESS ADDRESS: STREET 1: 520 LAKE COOK ROAD STREET 2: SUITE 178 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 8472397100 MAIL ADDRESS: STREET 1: 520 LAKE COOK ROAD STREET 2: SUITE 178 CITY: DEERFIELD STATE: IL ZIP: 60015 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001009012 XXXXXXXX 06-30-2021 06-30-2021 ZAZOVE ASSOCIATES LLC

520 LAKE COOK ROAD SUITE 178 DEERFIELD IL 60015

13F HOLDINGS REPORT 028-05338 N STEVEN M KLEIMAN Executive Partner 8472397100 STEVEN M KLEIMAN Deerfield IL 07-22-2021 0 151 1115 false INFORMATION TABLE 2 13F06302021.xml SCHEDULE 13F GENESIS ENERGY L.P. UNIT LTD PARTN 371927104 238 20500 SH SOLE 20500 0 0 NEW YORK COMMUNITY BANCORP TRUST UNIT 11/01/2051 64944P307 1764 34230 SH SOLE 34230 0 0 SIMPLIFY INTEREST RATE HEDGE SIMPLIFY INTERST 82889N855 2169 52380 SH SOLE 52380 0 0 EATON VANCE SENIOR INCOME TRUST SH BEN INT 27826S103 188 27689 SH SOLE 27689 0 0 SALIENT MIDSTREAM & MLP FUND SH BEN INT 79471V105 934 156650 SH SOLE 156650 0 0 WEATHERFORD INT'L ORD SHS G48833118 173 9512 SH SOLE 9512 0 0 USA COMPRESSION PARTNERS COMUNIT LTDPAR 90290N109 2500 151715 SH SOLE 151715 0 0 BLUEKNIGHT ENERGY PARTNERS COM UNIT 09625U109 8791 2325616 SH SOLE 2325616 0 0 NUVEEN CREDIT STRATEGIES INCOME FUND COM SHS 67073D102 1965 291105 SH SOLE 291105 0 0 NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND COM SHS 6706EN100 451 46255 SH SOLE 46255 0 0 CUMULUS MEDIA INC COM CL A 231082801 14963 1019252 SH SOLE 1019252 0 0 WILLSCOT MOBILE MINI HOLDINGS COM CL A 971378104 236 8470 SH SOLE 8470 0 0 ANTERO MIDSTREAM COM 03676B102 2338 225000 SH SOLE 225000 0 0 APOLLO SENIOR FLOATING RATE COM 037636107 229 14507 SH SOLE 14507 0 0 BLACKROCK FLOATING RATE INCOME STRATEGIES FUND COM 09255X100 507 38276 SH SOLE 38276 0 0 BRAEMAR HOTELS & RESORTS COM 10482B101 10595 1706124 SH SOLE 1706124 0 0 CLEAR CHANNEL HOLDINGS, INC COM 18453H106 5879 2227044 SH SOLE 2227044 0 0 CURO GROUP COM 23131L107 1437 84537 SH SOLE 84537 0 0 EATON VANCE LIMITED DURATION INCOME FUND COM 27828H105 2880 217221 SH SOLE 217221 0 0 EATON VANCE SHORT DURATION DIVERSIFIED INC FUND COM 27828V104 53 4000 SH SOLE 4000 0 0 ENTERPRISE PRODUCTS PARTNERS, L.P. COM 293792107 355 14710 SH SOLE 14710 0 0 FLEXION THERAPEUTICS COM 33938J106 2387 289990 SH SOLE 289990 0 0 KAYNE ANDERSON MIDSTREAM/ENERGY FUND COM 48661E108 2234 295073 SH SOLE 295073 0 0 KAYNE ANDERSON MLP INVESTMENT COMPANY COM 486606106 3850 433088 SH SOLE 433088 0 0 LANDSEA HOMES COM 51509P103 2668 318796 SH SOLE 318796 0 0 NUVEEN FLOATING RATE INCOME FUND COM 67072T108 10 1000 SH SOLE 1000 0 0 NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND COM 67074X107 45 3007 SH SOLE 3007 0 0 PIONEER FLOATING RATE TRUST COM 72369J102 78 6511 SH SOLE 6511 0 0 REVANCE THERAPEUTICS COM 761330109 1548 52235 SH SOLE 52235 0 0 SKILLZ COM 83067L109 3258 150003 SH SOLE 150003 0 0 SUNRUN COM 86771W105 189 3392 SH SOLE 3392 0 0 UBER TECHNOLOGIES COM 90353T100 341 6804 PRN SOLE 6804 0 0 URBAN ONE CLASS D CL D NON VTG 91705J204 12057 2401845 SH SOLE 2401845 0 0 HOSTESS BRANDS *W EXP 11/04/202 44109J114 3290 1362131 SH SOLE 1362131 0 0 US ECOLOGY *W EXP 10/17/202 91734M111 1508 217965 SH SOLE 217965 0 0 CURIOSITYSTREAM *W EXP 10/14/202 23130Q115 673 147357 SH SOLE 147357 0 0 MUDRICK CAPITAL ACQUISITION *W EXP 09/10/202 62477L115 92 21800 SH SOLE 21800 0 0 STEM *W EXP 08/11/202 85859N110 3565 150064 SH SOLE 150064 0 0 CHURCHILL CAPITAL CORP IV *W EXP 08/04/202 171439110 1233 77500 SH SOLE 77500 0 0 OCCIDENTAL PETROLEUM *W EXP 08/03/202 674599162 6923 500000 SH SOLE 500000 0 0 PERSHING SQUARE TONTINE *W EXP 07/24/202 71531R117 41 6600 SH SOLE 6600 0 0 SKILLSOFT *W EXP 06/11/202 83066P119 3 1500 SH SOLE 1500 0 0 CANO HEALTH *W EXP 06/03/202 13781Y111 487 129450 SH SOLE 129450 0 0 SOFI TECHNOLOGIES *W EXP 05/28/202 83406F110 240 27970 SH SOLE 27970 0 0 FOLEY TRASIMENE ACQUISITION *W EXP 05/26/202 34431F112 1432 690340 SH SOLE 690340 0 0 EOS ENERGY ENTERPRISES *W EXP 05/06/202 29415C119 1816 253067 SH SOLE 253067 0 0 LION ELECTRIC *W EXP 05/06/202 536221112 23 3405 SH SOLE 3405 0 0 CLOVER HEALTH INVESTMENTS *W EXP 04/21/202 18914F111 3260 641635 SH SOLE 641635 0 0 FINANCE OF AMERICA COMPANIES *W EXP 04/08/202 31738L115 1351 1012171 SH SOLE 1012171 0 0 PAYSAFE *W EXP 03/30/202 G6964L115 1461 404123 SH SOLE 404123 0 0 DASEKE *W EXP 02/27/202 23753F115 73 628209 SH SOLE 628209 0 0 AUSTERLITZ ACQUISITION *W EXP 02/19/202 G0633D125 852 486936 SH SOLE 486936 0 0 BUTTERFLY NETWORK *W EXP 02/12/202 124155110 245 50211 SH SOLE 50211 0 0 PURECYCLE TECHNOLOGIES *W EXP 01/28/202 74623V111 1556 128138 SH SOLE 128138 0 0 LANDSEA HOMES *W EXP 01/07/202 51509P111 868 2916304 SH SOLE 2916304 0 0 AIR TRANSPORT SERVICES GROUP NOTE 1.125%10/1 00922RAB1 24057 23571000 PRN SOLE 0 0 0 AKAMAI TECH NOTE 0.125% 5/0 00971TAJ0 10891 8310000 PRN SOLE 0 0 0 AKAMAI TECH NOTE 0.375% 9/0 00971TAL5 70292 60565000 PRN SOLE 0 0 0 ALGONQUIN POWER AND UTILITIES $7.75 UNIT 99/99/9999 015857873 1372 27700 PRN SOLE 0 0 0 APOLLO COMMERCIAL REAL ESTATE FINANCE, INC. NOTE 5.375%10/1 03762UAC9 1176 1150000 PRN SOLE 0 0 0 ATLAS AIR WORLDWIDE HOLDINGS, INC NOTE 1.875% 6/0 049164BJ4 11547 9032000 PRN SOLE 0 0 0 BAOZUN NOTE 1.625% 5/0 06684LAB9 3135 3100000 PRN SOLE 0 0 0 BOOKING HOLDINGS NOTE 0.750% 5/0 09857LAN8 958 678000 PRN SOLE 0 0 0 BURLINGTON STORES NOTE 2.250% 4/1 122017AB2 13414 8420000 PRN SOLE 0 0 0 CSG SYSTEMS INTERNATIONAL, INC NOTE 4.250% 3/1 126349AF6 6521 6297000 PRN SOLE 0 0 0 CNX RESOURCES NOTE 2.250% 5/0 12653CAG3 12806 9860000 PRN SOLE 0 0 0 CHEESECAKE FACTORY NOTE 0.375% 6/1 163072AA9 1265 1280000 PRN SOLE 0 0 0 COLONY CAPITAL NOTE 5.000% 4/1 19624RAA4 1918 1853000 PRN SOLE 0 0 0 ATLANTICUS HOLDINGS NOTE 5.875%11/3 20478NAD2 1471 887000 PRN SOLE 0 0 0 CONMED CORP NOTE 2.625% 2/0 207410AF8 323 200000 PRN SOLE 0 0 0 CORENERGY INFRASTRUCTURE TRUST NOTE 5.875% 8/1 21870UAC0 1457 1575000 PRN SOLE 0 0 0 COUPA SOFTWARE NOTE 0.375% 6/1 22266LAF3 11994 10350000 PRN SOLE 0 0 0 CYBERARK SOFTWARE NOTE 11/1 23248VAB1 9445 8705000 PRN SOLE 0 0 0 DEXCOM INC NOTE 0.250%11/1 252131AK3 52 50000 PRN SOLE 0 0 0 DISH NETWORK NOTE 2.375% 3/1 25470MAD1 973 1000000 PRN SOLE 0 0 0 EURONET WORLDWIDE INC NOTE 0.750% 3/1 298736AL3 8459 7340000 PRN SOLE 0 0 0 EVENTBRITE NOTE 5.000%12/0 29975EAB5 1756 1000000 PRN SOLE 0 0 0 FLEXION THERAPEUTICS NOTE 3.375% 5/0 33938JAB2 14237 15688000 PRN SOLE 0 0 0 FORUM ENERGY TECHNOLOGIES NOTE 9.000% 8/0 34984VAC4 92 92399 PRN SOLE 0 0 0 GREENBRIER COMPANIES NOTE 2.875% 2/0 393657AK7 4227 3950000 PRN SOLE 0 0 0 HC2 HOLDINGS NOTE 7.500% 8/0 404139AG2 14450 12363000 PRN SOLE 0 0 0 HARMONIC INC DBCV 2.000% 9/0 413160AD4 1788 1500000 PRN SOLE 0 0 0 HELIX ENERGY SOLUTIONS GROUP NOTE 4.250% 5/0 42330PAH0 748 750000 PRN SOLE 0 0 0 HELIX ENERGY SOLUTIONS GROUP NOTE 6.750% 2/1 42330PAK3 12597 10179000 PRN SOLE 0 0 0 HOPE BANCORP NOTE 2.000% 5/1 43940TAB5 6306 6386000 PRN SOLE 0 0 0 ISTAR INC NOTE 3.125% 9/1 45031UCB5 2952 1950000 PRN SOLE 0 0 0 ILLUMINA INC NOTE 8/1 452327AK5 16862 13290000 PRN SOLE 0 0 0 INSMED NOTE 1.750% 1/1 457669AA7 347 330000 PRN SOLE 0 0 0 INSMED NOTE 0.750% 6/0 457669AB5 8112 7325000 PRN SOLE 0 0 0 INTEGRA LIFESCIENCES HOLDINGS NOTE 0.500% 8/1 457985AM1 1654 1500000 PRN SOLE 0 0 0 INTERCEPT PHARMACEUTICALS NOTE 3.250% 7/0 45845PAA6 906 1000000 PRN SOLE 0 0 0 INTERDIGITAL, INC NOTE 2.000% 6/0 45867GAB7 36146 32526000 PRN SOLE 0 0 0 JAZZ INVESTMENTS I NOTE 1.500% 8/1 472145AD3 7105 6470000 PRN SOLE 0 0 0 JAZZ INVESTMENTS I NOTE 2.000% 6/1 472145AF8 34517 25830000 PRN SOLE 0 0 0 KBR NOTE 2.500%11/0 48242WAB2 6697 4277000 PRN SOLE 0 0 0 KAMAN CORPORATION NOTE 3.250% 5/0 483548AF0 71283 67134000 PRN SOLE 0 0 0 KNOWLES CORP NOTE 3.250%11/0 49926DAB5 1388 1250000 PRN SOLE 0 0 0 LENDINGTREE NOTE 0.625% 6/0 52603BAA5 4185 3500000 PRN SOLE 0 0 0 LIBERTY LATIN AMERICA NOTE 2.000% 7/1 53069QAB5 808 800000 PRN SOLE 0 0 0 LIBERTY INTERACTIVE LLC (PCS) DEB 3.750% 2/1 530715AL5 962 1266000 PRN SOLE 0 0 0 LIBERTY MEDIA (LSXMA) NOTE 1.375%10/1 531229AB8 63048 46893000 PRN SOLE 0 0 0 LUMENTUM HOLDINGS NOTE 0.500%12/1 55024UAD1 25801 23807000 PRN SOLE 0 0 0 MFA FINANCIAL NOTE 6.250% 6/1 55272XAA0 526 518000 PRN SOLE 0 0 0 MARRIOTT VACATIONS WORLDWIDE CORP NOTE 1.500% 9/1 57164YAB3 1577 1319000 PRN SOLE 0 0 0 MERITOR NOTE 3.250%10/1 59001KAF7 1607 1500000 PRN SOLE 0 0 0 MESA LABORATORIES NOTE 1.375% 8/1 59064RAA7 13031 11307000 PRN SOLE 0 0 0 NRG ENERGY, INC DBCV 2.750% 6/0 629377CG5 13846 11890000 PRN SOLE 0 0 0 NABORS INDUSTRIES INC NOTE 0.750% 1/1 62957HAB1 931 1250000 PRN SOLE 0 0 0 NATIONAL VISION HOLDINGS NOTE 2.500% 5/1 63845RAB3 2207 1250000 PRN SOLE 0 0 0 NEOGENOMICS NOTE 0.250% 1/1 64049MAB6 5936 6080000 PRN SOLE 0 0 0 NEVRO CORP (144A-SEASONED) NOTE 2.750% 4/0 64157FAC7 2608 1500000 PRN SOLE 0 0 0 NISOURCE UNIT 12/01/2023 65473P121 1497 14560 PRN SOLE 0 0 0 NUVASIVE, INC NOTE 0.375% 3/1 670704AJ4 1698 1710000 PRN SOLE 0 0 0 OIL STATES INTERNATIONAL INC. NOTE 1.500% 2/1 678026AH8 1272 1350000 PRN SOLE 0 0 0 OKTA NOTE 0.375% 6/1 679295AF2 8174 6556000 PRN SOLE 0 0 0 OMEROS NOTE 5.250% 2/1 682143AG7 1117 1000000 PRN SOLE 0 0 0 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 773 777000 PRN SOLE 0 0 0 PALO ALTO NETWORKS NOTE 0.750% 7/0 697435AD7 16688 11435000 PRN SOLE 0 0 0 PALO ALTO NETWORKS NOTE 0.375% 6/0 697435AF2 2721 2000000 PRN SOLE 0 0 0 PEBBLEBROOK HOTEL TRUST NOTE 1.750%12/1 70509VAA8 27920 24540000 PRN SOLE 0 0 0 PINDUODUO NOTE 12/0 722304AC6 19152 18605000 PRN SOLE 0 0 0 PIONEER NATURAL RESOURCES NOTE 0.250% 5/1 723787AP2 60290 37705000 PRN SOLE 0 0 0 BOOKING HOLDINGS NOTE 0.900% 9/1 741503AX4 67885 62223000 PRN SOLE 0 0 0 PROOFPOINT NOTE 0.250% 8/1 743424AF0 1886 1500000 PRN SOLE 0 0 0 PROSPECT CAPITAL CORPORATION NOTE 6.375% 3/0 74348TAT9 6538 5890000 PRN SOLE 0 0 0 REVANCE THERAPEUTICS NOTE 1.750% 2/1 761330AB5 18551 15910000 PRN SOLE 0 0 0 RINGCENTRAL NOTE 3/0 76680RAF4 4458 4037000 PRN SOLE 0 0 0 SSR MINING NOTE 2.500% 4/0 784730AB9 2380 2000000 PRN SOLE 0 0 0 SHIP FINANCE INTERNATIONAL NOTE 4.875% 5/0 824689AG8 1216 1225000 PRN SOLE 0 0 0 SHOPIFY NOTE 0.125%11/0 82509LAA5 3813 2920000 PRN SOLE 0 0 0 SILICON LABORATORIES NOTE 0.625% 6/1 826919AD4 18087 13000000 PRN SOLE 0 0 0 SMART GLOBAL HOLDINGS NOTE 2.250% 2/1 83205YAB0 38044 27580000 PRN SOLE 0 0 0 SOUTHWEST AIRLINES NOTE 1.250% 5/0 844741BG2 4719 3110000 PRN SOLE 0 0 0 SPIRIT AIRLINES NOTE 1.000% 5/1 848577AB8 2434 2545000 PRN SOLE 0 0 0 SPLUNK NOTE 0.500% 9/1 848637AC8 2974 2550000 PRN SOLE 0 0 0 SPLUNK NOTE 1.125% 9/1 848637AD6 2188 1790000 PRN SOLE 0 0 0 SPLUNK NOTE 1.125% 6/1 848637AF1 20235 20715000 PRN SOLE 0 0 0 SUMMIT HOTEL PROPERTIES NOTE 1.500% 2/1 866082AA8 9763 9440000 PRN SOLE 0 0 0 SUPERNUS PHARMACEUTICALS NOTE 0.625% 4/0 868459AD0 494 500000 PRN SOLE 0 0 0 SIXTH STREET SPECIALTY LENDING NOTE 4.500% 8/0 87265KAD4 11322 9595000 PRN SOLE 0 0 0 TEAM NOTE 5.000% 8/0 878155AE0 1008 1046000 PRN SOLE 0 0 0 TEEKAY NOTE 5.000% 1/1 87900YAE3 5364 5446000 PRN SOLE 0 0 0 THERAVANCE BIOPHARMA NOTE 3.250%11/0 88339KAA0 3031 3182000 PRN SOLE 0 0 0 TWITTER NOTE 1.000% 9/1 90184LAD4 1021 1000000 PRN SOLE 0 0 0 UGI UNIT 99/99/9999 902681113 1596 15000 PRN SOLE 0 0 0 VAREX IMAGING NOTE 4.000% 6/0 92214XAB2 8504 5736000 PRN SOLE 0 0 0 VISHAY INTERTECHNOLOGY, INC. NOTE 2.250% 6/1 928298AP3 1593 1500000 PRN SOLE 0 0 0 WESTERN DIGITAL CORP NOTE 1.500% 2/0 958102AP0 24196 22600000 PRN SOLE 0 0 0 WINNEBAGO INDUSTRIES NOTE 1.500% 4/0 974637AB6 14495 11264000 PRN SOLE 0 0 0 JOYY INC NOTE 3.000% 6/1 98426TAD8 1377 1360000 PRN SOLE 0 0 0 TRIP.COM GROUP (REG S) DEBT 1.500% 7/0 G9066FAA9 1213 850000 PRN SOLE 0 0 0