0000950123-13-006857.txt : 20130814 0000950123-13-006857.hdr.sgml : 20130814 20130814173028 ACCESSION NUMBER: 0000950123-13-006857 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: 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: 131038110 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001257391 XXXXXXXX 06-30-2013 06-30-2013 Whitebox Advisors LLC

3033 Excelsior Blvd. Suite 300 Minneapolis MN 55416

13F HOLDINGS REPORT 028-10715 N Mark Strefling 612-253-6001 /S/ Mark Strefling Minneapolis MN 08-14-2013 6 363 1905158 false 1 Whitebox Multi-Strategy Advisors, LLC 2 Whitebox Concentrated Convertible Arbitrage Advisors, LLC 3 Whitebox Credit Arbitrage Advisors, LLC 4 Whitebox Special Opportunities Advisors, LLC 5 Whitebox Asymmetric Advisors, LLC 6 Pandora Select Advisors, LLC INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F 3M CO COM 88579Y101 1611 14733 SH SOLE 0 14733 0 0 ABBOTT LABS COM 002824100 803 23017 SH SOLE 0 23017 0 0 ABM INDS INC COM 000957100 385 15728 SH SOLE 0 15728 0 0 ACETO CORP COM 004446100 600 43041 SH SOLE 0 43041 0 0 ADOBE SYS INC COM 00724F101 232 5100 SH SOLE 0 5100 0 0 ADVENT SOFTWARE INC COM 007974108 249 7100 SH SOLE 0 7100 0 0 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 1018 32014 SH SOLE 0 32014 0 0 AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 5468 590509 SH SOLE 0 590509 0 0 AERCAP HOLDINGS NV SHS N00985106 4474 256242 SH SOLE 0 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EXPRESS SCRIPTS HLDG CO COM 30219G108 996 16150 SH SOLE 0 16150 0 0 EXTREME NETWORKS INC COM 30226D106 747 216596 SH SOLE 0 216596 0 0 EXXON MOBIL CORP COM 30231G102 1235 13669 SH SOLE 0 13669 0 0 EZCORP INC CL A NON VTG 302301106 2543 150681 SH SOLE 0 150681 0 0 FEDERAL AGRIC MTG CORP CL C 313148306 2719 94146 SH SOLE 0 94146 0 0 FEDEX CORP COM 31428X106 999 10133 SH SOLE 0 10133 0 0 FIRST BANCORP P R COM NEW 318672706 756 106803 SH SOLE 0 106803 0 0 FLAGSTAR BANCORP INC COM PAR .001 337930705 2695 193051 SH SOLE 0 193051 0 0 FLUOR CORP NEW COM 343412102 2095 35315 SH SOLE 0 35315 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 943 55961 SH SOLE 0 55961 0 0 FOOT LOCKER INC COM 344849104 1150 32738 SH SOLE 0 32738 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 748 48334 SH SOLE 0 48334 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 816 29544 SH SOLE 0 29544 0 0 FTI CONSULTING INC COM 302941109 879 26740 SH SOLE 0 26740 0 0 GENERAL MLS INC COM 370334104 1251 25774 SH SOLE 0 25774 0 0 GENERAL 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872113 SH SOLE 0 872113 0 0 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 1060 66020 SH SOLE 0 66020 0 0 SAFEGUARD SCIENTIFICS INC DBCV 5.250% 5/1 786449AJ7 5518 5000000 PRN SOLE 0 5000000 0 0 SAFEWAY INC COM NEW 786514208 2156 91125 SH SOLE 0 91125 0 0 SALEM COMMUNICATIONS CORP DE CL A 794093104 221 29455 SH SOLE 0 29455 0 0 SALESFORCE COM INC NOTE 0.750% 1/1 79466LAB0 54243 29901000 PRN SOLE 0 29901000 0 0 SALIX PHARMACEUTICALS INC COM 795435106 2404 36336 SH SOLE 0 36336 0 0 SANDRIDGE ENERGY INC COM 80007P307 314 66068 SH SOLE 0 66068 0 0 SANOFI RIGHT 12/31/2020 80105N113 29849 15465993 SH SOLE 0 15465993 0 0 SBA COMMUNICATIONS CORP NOTE 4.000%10/0 78388JAM8 25198 10238000 PRN SOLE 0 10238000 0 0 SCHWEITZER-MAUDUIT INTL INC COM 808541106 2907 58275 SH SOLE 0 58275 0 0 SEALED AIR CORP NEW COM 81211K100 1018 42500 SH SOLE 0 42500 0 0 SELECT COMFORT CORP COM 81616X103 2155 85990 SH SOLE 0 85990 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 3933 92379 SH SOLE 0 92379 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 8547 279391 SH SOLE 0 279391 0 0 SELECT SECTOR SPDR TR CALL 81369Y900 298 5000 SH Put SOLE 0 5000 0 0 SELECT SECTOR SPDR TR CALL 81369Y903 327 25233 SH Put SOLE 0 25233 0 0 SELECT SECTOR SPDR TR CALL 81369Y904 600 25000 SH Put SOLE 0 25000 0 0 SELECT SECTOR SPDR TR PUT 81369Y950 1245 5000 SH Call SOLE 0 5000 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 887 83800 SH SOLE 0 83800 0 0 SILVER BAY RLTY TR CORP COM 82735Q102 381 22997 SH SOLE 0 22997 0 0 SILVER WHEATON CORP COM 828336107 1436 73014 SH SOLE 0 73014 0 0 SIRONA DENTAL SYSTEMS INC COM 82966C103 889 13500 SH SOLE 0 13500 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 2474 113000 SH SOLE 0 113000 0 0 SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 1119 15400 SH SOLE 0 15400 0 0 SOTHEBYS COM 835898107 667 17605 SH SOLE 0 17605 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 30030 187675 SH SOLE 0 187675 0 0 SPDR S&P 500 ETF TR CALL 78462F903 289 994 SH Put SOLE 0 994 0 0 SPDR S&P 500 ETF TR PUT 78462F953 1474 3577 SH Call SOLE 0 3577 0 0 SPECTRUM BRANDS HLDGS INC COM 84763R101 2629 46234 SH SOLE 0 46234 0 0 SPIRIT AIRLS INC COM 848577102 1228 38642 SH SOLE 0 38642 0 0 STAPLES INC COM 855030102 2799 176499 SH SOLE 0 176499 0 0 STARBUCKS CORP COM 855244109 979 14956 SH SOLE 0 14956 0 0 STEINER LEISURE LTD ORD P8744Y102 1172 22176 SH SOLE 0 22176 0 0 STEWART INFORMATION SVCS COR COM 860372101 1098 41914 SH SOLE 0 41914 0 0 STILLWATER MNG CO COM 86074Q102 269 25000 SH SOLE 0 25000 0 0 STONE ENERGY CORP COM 861642106 460 20885 SH SOLE 0 20885 0 0 STONERIDGE INC COM 86183P102 475 40835 SH SOLE 0 40835 0 0 STRATEGIC HOTELS & RESORTS I COM 86272T106 694 78300 SH SOLE 0 78300 0 0 STRYKER CORP COM 863667101 1197 18509 SH SOLE 0 18509 0 0 SUNPOWER CORP DBCV 4.500% 3/1 867652AE9 4721 4000000 PRN SOLE 0 4000000 0 0 SUNSTONE HOTEL INVS INC NEW COM 867892101 546 45186 SH SOLE 0 45186 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 1102 42500 SH SOLE 0 42500 0 0 SUPERVALU INC COM 868536103 3354 539169 SH SOLE 0 539169 0 0 SUPERVALU INC PUT 868536953 440 5031 SH Call SOLE 0 5031 0 0 SUSQUEHANNA BANCSHARES INC P COM 869099101 234 18200 SH SOLE 0 18200 0 0 SYNAPTICS INC COM 87157D109 1089 28250 SH SOLE 0 28250 0 0 TEARLAB CORP COM 878193101 4838 455558 SH SOLE 0 455558 0 0 TECH DATA CORP COM 878237106 775 16450 SH SOLE 0 16450 0 0 TENNECO INC COM 880349105 1135 25058 SH SOLE 0 25058 0 0 TEXAS ROADHOUSE INC COM 882681109 1729 69088 SH SOLE 0 69088 0 0 TITAN MACHY INC COM 88830R101 549 27991 SH SOLE 0 27991 0 0 TOTAL SYS SVCS INC COM 891906109 245 10000 SH SOLE 0 10000 0 0 TOWER GROUP INTL LTD COM G8988C105 516 25169 SH SOLE 0 25169 0 0 TOWER INTL INC COM 891826109 1509 76237 SH SOLE 0 76237 0 0 TRAVELCENTERS OF AMERICA LLC COM 894174101 1078 98521 SH SOLE 0 98521 0 0 TRINA SOLAR LIMITED NOTE 4.000% 7/1 89628EAA2 1716 1704000 PRN SOLE 0 1704000 0 0 TRINITY BIOTECH PLC SPON ADR NEW 896438306 3187 189162 SH SOLE 0 189162 0 0 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 460 6917 SH SOLE 0 6917 0 0 TUTOR PERINI CORP COM 901109108 3300 182394 SH SOLE 0 182394 0 0 U S AIRWAYS GROUP INC COM 90341W108 10485 638545 SH SOLE 0 638545 0 0 U S AIRWAYS GROUP INC PUT 90341W958 643 1904 SH Call SOLE 0 1904 0 0 ULTRA PETROLEUM CORP COM 903914109 502 25315 SH SOLE 0 25315 0 0 UNIFIRST CORP MASS COM 904708104 949 10400 SH SOLE 0 10400 0 0 UNITED CONTL HLDGS INC COM 910047109 356 11372 SH SOLE 0 11372 0 0 UNITED INS HLDGS CORP COM 910710102 885 126578 SH SOLE 0 126578 0 0 UNITED PARCEL SERVICE INC PUT 911312956 314 800 SH Call SOLE 0 800 0 0 UNITED RENTALS INC COM 911363109 3644 73010 SH SOLE 0 73010 0 0 UNITED TECHNOLOGIES CORP CALL 913017909 225 500 SH Put SOLE 0 500 0 0 UNITED TECHNOLOGIES CORP PUT 913017959 610 1000 SH Call SOLE 0 1000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2005 30620 SH SOLE 0 30620 0 0 USA TECHNOLOGIES INC *W EXP 12/31/201 90328S195 16 19700 SH SOLE 0 19700 0 0 USA TECHNOLOGIES INC CONV PFD SER A 90328S203 316 16656 SH SOLE 0 16656 0 0 USEC INC NOTE 3.000%10/0 90333EAC2 7126 32761000 PRN SOLE 0 32761000 0 0 VALASSIS COMMUNICATIONS INC COM 918866104 1404 57084 SH SOLE 0 57084 0 0 VALE S A ADR 91912E105 157 11925 SH SOLE 0 11925 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 232 2700 SH SOLE 0 2700 0 0 VALMONT INDS INC COM 920253101 982 6862 SH SOLE 0 6862 0 0 VANTAGE DRILLING COMPANY ORD SHS G93205113 2904 1423451 SH SOLE 0 1423451 0 0 VASCULAR SOLUTIONS INC COM 92231M109 1151 78231 SH SOLE 0 78231 0 0 VECTOR GROUP LTD FRNT 11/1 92240MAS7 383 300000 PRN SOLE 0 300000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 877 17416 SH SOLE 0 17416 0 0 VIROPHARMA INC COM 928241108 942 32866 SH SOLE 0 32866 0 0 VITAMIN SHOPPE INC COM 92849E101 735 16401 SH SOLE 0 16401 0 0 VITESSE SEMICONDUCTOR CORP DBCV 8.000% 6/1 928497AE6 14495 13650324 PRN SOLE 0 13650324 0 0 VONAGE HLDGS CORP COM 92886T201 565 199488 SH SOLE 0 199488 0 0 VRINGO INC COM 92911N104 1159 365730 SH SOLE 0 365730 0 0 WABASH NATL CORP COM 929566107 982 96500 SH SOLE 0 96500 0 0 WABCO HLDGS INC COM 92927K102 1230 16467 SH SOLE 0 16467 0 0 WATTS WATER TECHNOLOGIES INC CL A 942749102 1115 24586 SH SOLE 0 24586 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 672 12106 SH SOLE 0 12106 0 0 WELLPOINT INC COM 94973V107 628 7671 SH SOLE 0 7671 0 0 WESTERN REFNG INC NOTE 5.750% 6/1 959319AC8 91691 31549000 PRN SOLE 0 31549000 0 0 WESTERN UN CO COM 959802109 618 36120 SH SOLE 0 36120 0 0 WESTLAKE CHEM CORP COM 960413102 241 2500 SH SOLE 0 2500 0 0 WRIGHT MED GROUP INC RIGHT 03/01/2019 98235T115 693 255650 SH SOLE 0 255650 0 0 WSFS FINL CORP COM 929328102 449 8567 SH SOLE 0 8567 0 0 YRC WORLDWIDE INC NOTE 10.000% 3/3 984249AB8 27275 27055534 PRN SOLE 0 27055534 0 0 ZEP INC COM 98944B108 840 53075 SH SOLE 0 53075 0 0 ZIX CORP COM 98974P100 630 149000 SH SOLE 0 149000 0 0 ZYNGA INC CL A 98986T108 1613 580263 SH SOLE 0 580263 0 0