0000950123-14-011800.txt : 20141114 0000950123-14-011800.hdr.sgml : 20141114 20141113174150 ACCESSION NUMBER: 0000950123-14-011800 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141113 EFFECTIVENESS DATE: 20141114 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: 141219509 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 09-30-2014 09-30-2014 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 11-13-2014 6 386 2578661 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 AES CORP COM 00130H105 1435 51267 SH SOLE 51267 0 0 AV HOMES INC NOTE 7.500% 2/1 00234PAB8 15541 14979000 PRN SOLE 14979000 0 0 ABAXIS INC COM 002567105 289 5700 SH SOLE 5700 0 0 ACXIOM CORP COM 005125109 793 47921 SH SOLE 47921 0 0 ADDUS HOMECARE CORP COM 006739106 2856 145714 SH SOLE 145714 0 0 ADEPTUS HEALTH INC CL A 006855100 2062 82814 SH SOLE 82814 0 0 ADVISORY BRD CO COM 00762W107 275 5900 SH SOLE 5900 0 0 AKORN INC NOTE 3.500% 6/0 009728AB2 14574 3524000 PRN SOLE 3524000 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 1512 498942 SH SOLE 498942 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 14066 84825 SH SOLE 84825 0 0 ALLEGIANT TRAVEL CO COM 01748X102 2466 19944 SH SOLE 19944 0 0 ALLIANCE HEALTHCARE SRVCS IN COM PAR $0.01 018606301 832 36797 SH SOLE 36797 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 5115 682000 SH SOLE 682000 0 0 ALLY FINL INC COM 02005N100 39213 1694615 SH SOLE 1694615 0 0 ALMOST FAMILY INC COM 020409108 878 32306 SH SOLE 32306 0 0 ALPHA NATURAL RESOURCES INC NOTE 4.875%12/1 02076XAF9 2904 4906000 PRN SOLE 4906000 0 0 AMBAC FINL GROUP INC COM NEW 023139884 33594 1520079 SH SOLE 1520079 0 0 AMBAC FINL GROUP INC CALL 023139904 263 2500 SH Call SOLE 2500 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 1813 51109 SH SOLE 51109 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 62607 2946202 SH SOLE 2946202 0 0 AMERICAN CAP LTD COM 02503Y103 68498 4837396 SH SOLE 4837396 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 3763 199938 SH SOLE 199938 0 0 AMERISOURCEBERGEN CORP COM 03073E105 6532 84500 SH SOLE 84500 0 0 AMERIS BANCORP COM 03076K108 3378 153883 SH SOLE 153883 0 0 AMGEN INC COM 031162100 16125 114802 SH SOLE 114802 0 0 ANGIES LIST INC COM 034754101 6053 950157 SH SOLE 950157 0 0 APOLLO GLOBAL MGMT LLC CL A SHS 037612306 1051 44092 SH SOLE 44092 0 0 ARCBEST CORP COM 03937C105 1501 40248 SH SOLE 40248 0 0 ARES COML REAL ESTATE CORP NOTE 7.000%12/1 04013VAB4 6143 6000000 PRN SOLE 6000000 0 0 ARMOUR RESIDENTIAL REIT INC COM 042315101 270 70000 SH SOLE 70000 0 0 ASHFORD HOSPITALITY TR INC COM SHS 044103109 1482 145040 SH SOLE 145040 0 0 ASPEN TECHNOLOGY INC COM 045327103 2186 57963 SH SOLE 57963 0 0 ATLAS AIR WORLDWIDE HLDGS IN COM NEW 049164205 2439 73854 SH SOLE 73854 0 0 ATMEL CORP COM 049513104 937 116004 SH SOLE 116004 0 0 AUXILIUM PHARMACEUTICALS INC COM 05334D107 3704 124099 SH SOLE 124099 0 0 AVERY DENNISON CORP COM 053611109 1727 38668 SH SOLE 38668 0 0 AVON PRODS INC COM 054303102 213 16875 SH SOLE 16875 0 0 BARRETT BILL CORP COM 06846N104 1201 54474 SH SOLE 54474 0 0 BELLATRIX 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287 3600 SH SOLE 3600 0 0 CABELAS INC COM 126804301 2008 34098 SH SOLE 34098 0 0 CADENCE DESIGN SYSTEM INC NOTE 2.625% 6/0 127387AJ7 89585 39281000 PRN SOLE 39281000 0 0 CAL DIVE INTL INC DEL NOTE 5.000% 7/1 12802TAB7 1303 2000000 PRN SOLE 2000000 0 0 CALIX INC COM 13100M509 1500 156749 SH SOLE 156749 0 0 CALLAWAY GOLF CO NOTE 3.750% 8/1 131193AC8 14283 12753000 PRN SOLE 12753000 0 0 CAPITOL ACQUISITION CORP II UNIT 99/99/9999 14056V204 1569 153791 SH SOLE 153791 0 0 CARLISLE COS INC COM 142339100 3717 46240 SH SOLE 46240 0 0 CASTLE A M & CO NOTE 7.000%12/1 148411AF8 13308 12308000 PRN SOLE 12308000 0 0 CELGENE CORP COM 151020104 16909 178405 SH SOLE 178405 0 0 CEMEX SAB DE CV NOTE 3.250% 3/1 151290BB8 19027 13500000 PRN SOLE 13500000 0 0 CENTRUS ENERGY CORP CL A 15643U104 4928 482701 SH SOLE 482701 0 0 CENTURY CASINOS INC COM 156492100 923 179913 SH SOLE 179913 0 0 CHART INDS INC COM PAR $0.01 16115Q308 1277 20891 SH SOLE 20891 0 0 CHECKPOINT SYS INC COM 162825103 845 69087 SH SOLE 69087 0 0 CHERRY HILL MTG INVT CORP COM 164651101 3371 180276 SH SOLE 180276 0 0 CHEVRON CORP NEW COM 166764100 7539 63185 SH SOLE 63185 0 0 CISCO SYS INC COM 17275R102 5963 236924 SH SOLE 236924 0 0 CINTAS CORP COM 172908105 4678 66275 SH SOLE 66275 0 0 CIVITAS SOLUTIONS INC COM 17887R102 3631 232449 SH SOLE 232449 0 0 CLEARONE INC COM 18506U104 662 78465 SH SOLE 78465 0 0 COBALT INTL ENERGY INC COM 19075F106 1616 118828 SH SOLE 118828 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 1478 26982 SH SOLE 26982 0 0 COMPASS MINERALS INTL INC COM 20451N101 287 3400 SH SOLE 3400 0 0 CONNS INC COM 208242107 2460 81281 SH SOLE 81281 0 0 CONSUMER PORTFOLIO SVCS INC COM 210502100 1774 276717 SH SOLE 276717 0 0 CORNING INC COM 219350105 1523 78771 SH SOLE 78771 0 0 CORSICANTO LTD NOTE 3.500% 1/1 220480AB3 7202 10830000 PRN SOLE 10830000 0 0 COVANCE INC COM 222816100 3145 39961 SH SOLE 39961 0 0 CRANE CO COM 224399105 5193 82147 SH SOLE 82147 0 0 CRAWFORD & CO CL A 224633206 685 88533 SH SOLE 88533 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268648102 5852 200000 SH SOLE 200000 0 0 EQT CORP COM 26884L109 1389 15169 SH SOLE 15169 0 0 EATON VANCE NATL MUN OPPORT COM SHS 27829L105 1993 100000 SH SOLE 100000 0 0 EBAY INC COM 278642103 13732 242478 SH SOLE 242478 0 0 ELLINGTON FINANCIAL LLC COM 288522303 3333 150000 SH SOLE 150000 0 0 EMERSON ELEC CO COM 291011104 4316 68960 SH SOLE 68960 0 0 ENCORE CAP GROUP INC COM 292554102 6861 154838 SH SOLE 154838 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 40310 27031000 PRN SOLE 27031000 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 32055 28180000 PRN SOLE 28180000 0 0 ENDEAVOUR INTL CORP COM NEW 29259G200 5 17414 SH SOLE 17414 0 0 ENERSYS NOTE 3.375% 6/0 29275YAA0 32362 21903000 PRN SOLE 21903000 0 0 ENNIS INC COM 293389102 2091 158791 SH SOLE 158791 0 0 EPAM SYS INC COM 29414B104 2444 55805 SH SOLE 55805 0 0 EPLUS INC COM 294268107 4653 83007 SH SOLE 83007 0 0 EQUINIX INC COM NEW 29444U502 425 2000 SH SOLE 2000 0 0 EXPEDIA INC DEL COM NEW 30212P303 2949 33654 SH SOLE 33654 0 0 EXTRA SPACE STORAGE INC COM 30225T102 294 5700 SH SOLE 5700 0 0 EXTREME NETWORKS INC COM 30226D106 2350 490563 SH SOLE 490563 0 0 EZCORP INC CL A NON VTG 302301106 4665 470709 SH SOLE 470709 0 0 EXXON MOBIL CORP COM 30231G102 9960 105901 SH SOLE 105901 0 0 FTI CONSULTING INC COM 302941109 287 8200 SH SOLE 8200 0 0 FEDERAL AGRIC MTG CORP CL C 313148306 2766 86064 SH SOLE 86064 0 0 FEDEX CORP COM 31428X106 291 1800 SH SOLE 1800 0 0 FINANCIAL INSTNS INC COM 317585404 1632 72595 SH SOLE 72595 0 0 FIVE BELOW INC COM 33829M101 1685 42538 SH SOLE 42538 0 0 FLUOR CORP NEW COM 343412102 3791 56762 SH SOLE 56762 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 1875 146348 SH SOLE 146348 0 0 FONAR CORP COM NEW 344437405 796 72256 SH SOLE 72256 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 5895 398612 SH SOLE 398612 0 0 FOREST CITY ENTERPRISES INC NOTE 3.625% 8/1 345550AR8 2573 2500000 PRN SOLE 2500000 0 0 FORTINET INC COM 34959E109 1421 56239 SH SOLE 56239 0 0 FORUM ENERGY TECHNOLOGIES IN COM 34984V100 269 8800 SH SOLE 8800 0 0 FREEPORT-MCMORAN INC CALL 35671D907 322 3620 SH Call SOLE 3620 0 0 GEO GROUP INC NEW COM 36162J106 1673 43766 SH SOLE 43766 0 0 GT ADVANCED TECHNOLOGIES INC NOTE 3.000%10/0 36191UAA4 9986 6500000 PRN SOLE 6500000 0 0 GASTAR EXPL INC NEW COM 36729W202 2316 394501 SH SOLE 394501 0 0 GENERAL CABLE CORP DEL NEW COM 369300108 1395 92480 SH SOLE 92480 0 0 GENERAL ELECTRIC CO CALL 369604903 204 3000 SH Call SOLE 3000 0 0 GENERAL MTRS CO COM 37045V100 15326 479828 SH SOLE 479828 0 0 GENTEX CORP COM 371901109 2180 81437 SH SOLE 81437 0 0 GILEAD SCIENCES INC COM 375558103 17287 162392 SH SOLE 162392 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 1399 124687 SH SOLE 124687 0 0 GOL LINHAS AEREAS INTLG S A SP ADR REP PFD 38045R107 20122 4183447 SH SOLE 4183447 0 0 GOOGLE INC CL A 38259P508 3532 6002 SH SOLE 6002 0 0 GRAN TIERRA ENERGY INC COM 38500T101 9481 1711411 SH SOLE 1711411 0 0 GRANITE CONSTR INC COM 387328107 3146 98899 SH SOLE 98899 0 0 GRAPHIC PACKAGING HLDG CO COM 388689101 2625 211219 SH SOLE 211219 0 0 GULF RESOURCES INC COM PAR $0.0005 40251W309 273 191237 SH SOLE 191237 0 0 HCI GROUP INC COM 40416E103 1457 40471 SH SOLE 40471 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 3217 232814 SH SOLE 232814 0 0 HARLEY DAVIDSON INC COM 412822108 2048 35186 SH SOLE 35186 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 1567 42076 SH SOLE 42076 0 0 HATTERAS FINL CORP COM 41902R103 268 14900 SH SOLE 14900 0 0 HAWAIIAN HOLDINGS INC NOTE 5.000% 3/1 419879AD3 25201 14228000 PRN SOLE 14228000 0 0 HEARTLAND EXPRESS INC COM 422347104 2710 113089 SH SOLE 113089 0 0 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 2645 119900 SH SOLE 119900 0 0 HEXCEL CORP NEW COM 428291108 8884 223782 SH SOLE 223782 0 0 HHGREGG INC PUT 42833L958 215 1100 SH Put SOLE 1100 0 0 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 1107 109031 SH SOLE 109031 0 0 HOOKER FURNITURE CORP COM 439038100 1014 66682 SH SOLE 66682 0 0 HORNBECK OFFSHORE SVCS INC N COM 440543106 4524 138225 SH SOLE 138225 0 0 HUBBELL INC CL B 443510201 4343 36036 SH SOLE 36036 0 0 HUTCHINSON TECHNOLOGY INC NOTE 8.500% 1/1 448407AG1 12225 12701000 PRN SOLE 12701000 0 0 ICAD INC COM NEW 44934S206 4547 461576 SH SOLE 461576 0 0 IGI LABS INC COM 449575109 245 26309 SH SOLE 26309 0 0 IPG PHOTONICS CORP COM 44980X109 1876 27273 SH SOLE 27273 0 0 ICONIX BRAND GROUP INC NOTE 2.500% 6/0 451055AE7 3153 2500000 PRN SOLE 2500000 0 0 INTEGRATED DEVICE TECHNOLOGY COM 458118106 1105 69263 SH SOLE 69263 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 3138 199635 SH SOLE 199635 0 0 ISHARES CALL 464286902 602 3023 SH Call SOLE 3023 0 0 ISHARES PUT 464286952 801 3023 SH Put SOLE 3023 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 46930 1129219 SH SOLE 1129219 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 14038 128374 SH SOLE 128374 0 0 ISHARES TR PUT 464287955 366 6000 SH Put SOLE 6000 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 2.750%10/0 464337AG9 44066 18228000 PRN SOLE 18228000 0 0 J G WENTWORTH CO CL A 46618D108 12775 1031085 SH SOLE 1031085 0 0 JETBLUE AIRWAYS CORP DBCV 5.500%10/1 477143AE1 99265 41061000 PRN SOLE 41061000 0 0 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AF8 18554 8550000 PRN SOLE 8550000 0 0 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AG6 54871 24259000 PRN SOLE 24259000 0 0 JOHNSON & JOHNSON COM 478160104 5613 52658 SH SOLE 52658 0 0 JOHNSON CTLS INC COM 478366107 1957 44481 SH SOLE 44481 0 0 KAR AUCTION SVCS INC COM 48238T109 5184 181068 SH SOLE 181068 0 0 KKR & CO L P DEL COM UNITS 48248M102 5168 231733 SH SOLE 231733 0 0 KB HOME COM 48666K109 2046 136935 SH SOLE 136935 0 0 KILROY RLTY CORP COM 49427F108 5944 100000 SH SOLE 100000 0 0 LKQ CORP COM 501889208 1957 73588 SH SOLE 73588 0 0 LAM RESEARCH CORP COM 512807108 6069 81244 SH SOLE 81244 0 0 LEUCADIA NATL CORP COM 527288104 6952 291626 SH SOLE 291626 0 0 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 288 6300 SH SOLE 6300 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 18871 29201000 PRN SOLE 29201000 0 0 LIFE TIME FITNESS INC COM 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COM 64828T102 2298 394148 SH SOLE 394148 0 0 NEWCASTLE INVT CORP NEW COM NEW 65105M504 50818 4007734 SH SOLE 4007734 0 0 NEWMONT MINING CORP COM 651639106 10391 450797 SH SOLE 450797 0 0 NEWTEK BUSINESS SVCS INC COM 652526104 747 271796 SH SOLE 271796 0 0 NIKE INC CL B 654106103 321 3600 SH SOLE 3600 0 0 NOKIA CORP SPONSORED ADR 654902204 295 34900 SH SOLE 34900 0 0 NORCRAFT COS INC COM 65557Y105 2859 179263 SH SOLE 179263 0 0 NORTEK INC COM NEW 656559309 323 4330 SH SOLE 4330 0 0 NORTHROP GRUMMAN CORP COM 666807102 303 2300 SH SOLE 2300 0 0 NORTHWEST BIOTHERAPEUTICS IN COM PAR $0.001 66737P600 101 20000 SH SOLE 20000 0 0 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 2107 156210 SH SOLE 156210 0 0 NUVEEN CAL AMT-FREE MUN INC COM 670651108 1393 100000 SH SOLE 100000 0 0 NUVEEN DIV ADVANTAGE MUN FD COM 67070F100 1393 100000 SH SOLE 100000 0 0 OI S.A. SPN ADR REP PFD 670851203 3455 4935237 SH SOLE 4935237 0 0 OFG BANCORP COM 67103X102 2044 136452 SH SOLE 136452 0 0 OCH ZIFF CAP MGMT GROUP CL A 67551U105 1871 174724 SH SOLE 174724 0 0 OCWEN FINL CORP COM NEW 675746309 10604 405061 SH SOLE 405061 0 0 OFFICE DEPOT INC COM 676220106 1623 315704 SH SOLE 315704 0 0 OMNICARE INC NOTE 3.750% 4/0 681904AP3 45026 28828000 PRN SOLE 28828000 0 0 OMNOVA SOLUTIONS INC COM 682129101 783 145813 SH SOLE 145813 0 0 ON ASSIGNMENT INC COM 682159108 1878 69926 SH SOLE 69926 0 0 OPPENHEIMER HLDGS INC CL A NON VTG 683797104 745 36795 SH SOLE 36795 0 0 ORACLE CORP COM 68389X105 12711 332066 SH SOLE 332066 0 0 PBF ENERGY INC CL A 69318G106 8866 369418 SH SOLE 369418 0 0 PDL BIOPHARMA INC NOTE 3.750% 5/0 69329YAC8 34697 27374000 PRN SOLE 27374000 0 0 PACIFIC PREMIER BANCORP COM 69478X105 1595 113503 SH SOLE 113503 0 0 PACIRA PHARMACEUTICALS INC NOTE 3.250% 2/0 695127AB6 53331 13657000 PRN SOLE 13657000 0 0 PANTRY INC COM 698657103 3412 168659 SH SOLE 168659 0 0 PAR PETE CORP COM NEW 69888T207 116151 8616576 SH SOLE 8616576 0 0 PARKWAY PPTYS INC COM 70159Q104 192 10200 SH SOLE 10200 0 0 PATTERSON COMPANIES INC COM 703395103 2678 64644 SH SOLE 64644 0 0 PENN VA CORP COM 707882106 1659 130550 SH SOLE 130550 0 0 PEPSICO INC COM 713448108 4060 43616 SH SOLE 43616 0 0 PETSMART INC COM 716768106 3450 49222 SH SOLE 49222 0 0 PIER 1 IMPORTS INC COM 720279108 8346 701895 SH SOLE 701895 0 0 PINNACLE WEST CAP CORP COM 723484101 284 5200 SH SOLE 5200 0 0 POWERSECURE INTL INC COM 73936N105 2250 234869 SH SOLE 234869 0 0 POZEN INC COM 73941U102 1613 219694 SH SOLE 219694 0 0 PREFERRED APT CMNTYS INC COM 74039L103 1553 186691 SH SOLE 186691 0 0 PRICELINE GRP INC COM NEW 741503403 1727 1491 SH SOLE 1491 0 0 PROVIDENCE SVC CORP COM 743815102 4210 87026 SH SOLE 87026 0 0 PZENA INVESTMENT MGMT INC CLASS A 74731Q103 360 37651 SH SOLE 37651 0 0 QUALCOMM INC COM 747525103 4483 59963 SH SOLE 59963 0 0 QUALITY DISTR INC FLA COM 74756M102 890 69622 SH SOLE 69622 0 0 QUANTUM CORP COM DSSG 747906204 3579 3085090 SH SOLE 3085090 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 5611 755184 SH SOLE 755184 0 0 RCI HOSPITALITY HLDGS INC COM 74934Q108 1948 176749 SH SOLE 176749 0 0 RF MICRODEVICES INC COM 749941100 1582 137097 SH SOLE 137097 0 0 RADIAN GROUP INC COM 750236101 2996 210089 SH SOLE 210089 0 0 RANGE RES CORP COM 75281A109 1370 20197 SH SOLE 20197 0 0 REGIONAL MGMT CORP COM 75902K106 4661 259670 SH SOLE 259670 0 0 RENEWABLE ENERGY GROUP INC COM NEW 75972A301 2467 243050 SH SOLE 243050 0 0 REPUBLIC AWYS HLDGS INC COM 760276105 9156 824152 SH SOLE 824152 0 0 RITE AID CORP COM 767754104 10201 2107600 SH SOLE 2107600 0 0 ROADRUNNER TRNSN SVCS HLDG I COM 76973Q105 1868 81971 SH SOLE 81971 0 0 ROCK-TENN CO CL A 772739207 4483 94211 SH SOLE 94211 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 297 3900 SH SOLE 3900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 39591 200951 SH SOLE 200951 0 0 SPDR S&P 500 ETF TR CALL 78462F903 1899 19500 SH Call SOLE 19500 0 0 SPDR S&P 500 ETF TR PUT 78462F953 3500 18904 SH Put SOLE 18904 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 837 7200 SH SOLE 7200 0 0 SPDR GOLD TRUST CALL 78463V907 191 1000 SH Call SOLE 1000 0 0 SPDR GOLD TRUST PUT 78463V957 1060 1000 SH Put SOLE 1000 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 748 3000 SH SOLE 3000 0 0 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 1619 87987 SH SOLE 87987 0 0 SAFEGUARD SCIENTIFICS INC DBCV 5.250% 5/1 786449AK4 9364 7640000 PRN SOLE 7640000 0 0 SANFILIPPO JOHN B & SON INC COM 800422107 2450 75702 SH SOLE 75702 0 0 SANOFI RIGHT 12/31/2020 80105N113 13469 28958852 SH SOLE 28958852 0 0 SEACOR HOLDINGS INC NOTE 2.500%12/1 811904AM3 7270 6700000 PRN SOLE 6700000 0 0 SEALED AIR CORP NEW COM 81211K100 1463 41956 SH SOLE 41956 0 0 SEARS HLDGS CORP COM 812350106 401 15900 SH SOLE 15900 0 0 SEARS HLDGS CORP PUT 812350956 500 1000 SH Put SOLE 1000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 9080 100200 SH SOLE 100200 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 7873 148124 SH SOLE 148124 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 8149 204247 SH SOLE 204247 0 0 SELECT COMFORT CORP COM 81616X103 8715 416601 SH SOLE 416601 0 0 SHIRE PLC SPONSORED ADR 82481R106 19132 73855 SH SOLE 73855 0 0 SHORETEL INC COM 825211105 73 11000 SH SOLE 11000 0 0 SILVER WHEATON CORP COM 828336107 2261 113429 SH SOLE 113429 0 0 SIRONA DENTAL SYSTEMS INC COM 82966C103 291 3800 SH SOLE 3800 0 0 SKILLED HEALTHCARE GROUP INC CL A 83066R107 2243 339850 SH SOLE 339850 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 1193 20551 SH SOLE 20551 0 0 SOTHEBYS COM 835898107 8889 248843 SH SOLE 248843 0 0 SPARTANNASH CO COM 847215100 2295 117979 SH SOLE 117979 0 0 SPEEDWAY MOTORSPORTS INC COM 847788106 1474 86407 SH SOLE 86407 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 918 24122 SH SOLE 24122 0 0 STAPLES INC COM 855030102 7884 651563 SH SOLE 651563 0 0 STONEGATE MTG CORP COM 86181Q300 11103 854758 SH SOLE 854758 0 0 STRYKER CORP COM 863667101 2324 28778 SH SOLE 28778 0 0 SUMMER INFANT INC COM 865646103 248 70801 SH SOLE 70801 0 0 SUNPOWER CORP DBCV 4.500% 3/1 867652AE9 6070 4000000 PRN SOLE 4000000 0 0 SUNPOWER CORP DBCV 0.750% 6/0 867652AG4 3695 2500000 PRN SOLE 2500000 0 0 SUPER MICRO COMPUTER INC COM 86800U104 938 31880 SH SOLE 31880 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 3687 424291 SH SOLE 424291 0 0 SYKES ENTERPRISES INC COM 871237103 2000 100120 SH SOLE 100120 0 0 SYMANTEC CORP COM 871503108 5266 224000 SH SOLE 224000 0 0 SYNERGETICS USA INC COM 87160G107 1089 319263 SH SOLE 319263 0 0 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 6426 63464 SH SOLE 63464 0 0 TARGET CORP COM 87612E106 1825 29120 SH SOLE 29120 0 0 TASEKO MINES LTD COM 876511106 1376 809548 SH SOLE 809548 0 0 TELECOMMUNICATION SYS INC CL A 87929J103 1182 423537 SH SOLE 423537 0 0 TELEFLEX INC NOTE 3.875% 8/0 879369AA4 873 500000 PRN SOLE 500000 0 0 TELENAV INC COM 879455103 670 100000 SH SOLE 100000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 1557 26218 SH SOLE 26218 0 0 TENNECO INC COM 880349105 3615 69103 SH SOLE 69103 0 0 TEREX CORP NEW NOTE 4.000% 6/0 880779AV5 13834 7000000 PRN SOLE 7000000 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 73527 36456000 PRN SOLE 36456000 0 0 TEXAS ROADHOUSE INC COM 882681109 2215 79551 SH SOLE 79551 0 0 TOWER INTL INC COM 891826109 557 22117 SH SOLE 22117 0 0 TRAVELCENTERS OF AMERICA LLC COM 894174101 3689 373357 SH SOLE 373357 0 0 TREEHOUSE FOODS INC COM 89469A104 298 3700 SH SOLE 3700 0 0 TRIANGLE CAP CORP COM 895848109 230 9100 SH SOLE 9100 0 0 TRIMAS CORP COM NEW 896215209 1301 53478 SH SOLE 53478 0 0 TRIMBLE NAVIGATION LTD COM 896239100 1613 52889 SH SOLE 52889 0 0 TRINITY BIOTECH PLC SPON ADR NEW 896438306 12915 706909 SH SOLE 706909 0 0 TRUEBLUE INC COM 89785X101 1895 75014 SH SOLE 75014 0 0 TURTLE BEACH CORP COM 900450107 443 57946 SH SOLE 57946 0 0 TUTOR PERINI CORP COM 901109108 1456 55142 SH SOLE 55142 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 6966 209117 SH SOLE 209117 0 0 TWO HBRS INVT CORP COM 90187B101 14474 1496780 SH SOLE 1496780 0 0 USA TECHNOLOGIES INC CONV PFD SER A 90328S203 1012 49487 SH SOLE 49487 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 984 109933 SH SOLE 109933 0 0 ULTRA PETROLEUM CORP COM 903914109 3108 133622 SH SOLE 133622 0 0 UNITED TECHNOLOGIES CORP COM 913017109 3531 33439 SH SOLE 33439 0 0 UNITED THERAPEUTICS CORP DEL NOTE 1.000% 9/1 91307CAF9 27791 10329000 PRN SOLE 10329000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 12819 148631 SH SOLE 148631 0 0 VALERO ENERGY CORP NEW COM 91913Y100 11119 240311 SH SOLE 240311 0 0 VARIAN MED SYS INC COM 92220P105 3338 41666 SH SOLE 41666 0 0 VENAXIS INC COM 92262A107 706 425306 SH SOLE 425306 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 8117 162381 SH SOLE 162381 0 0 VERTEX ENERGY INC COM 92534K107 2929 420840 SH SOLE 420840 0 0 VONAGE HLDGS CORP COM 92886T201 10007 3050800 SH SOLE 3050800 0 0 VOYA FINL INC COM 929089100 1339 34238 SH SOLE 34238 0 0 VRINGO INC COM 92911N104 1282 1356816 SH SOLE 1356816 0 0 WABCO HLDGS INC COM 92927K102 1905 20945 SH SOLE 20945 0 0 WASHINGTON PRIME GROUP INC COM 939647103 299 17100 SH SOLE 17100 0 0 WASTE MGMT INC DEL COM 94106L109 299 6300 SH SOLE 6300 0 0 WESTMORELAND COAL CO COM 960878106 962 25715 SH SOLE 25715 0 0 WHIRLPOOL CORP COM 963320106 11242 77186 SH SOLE 77186 0 0 WIDEPOINT CORP COM 967590100 782 456151 SH SOLE 456151 0 0 XCERRA CORP COM 98400J108 2823 288315 SH SOLE 288315 0 0 XERIUM TECHNOLOGIES INC COM NEW 98416J118 2326 159222 SH SOLE 159222 0 0 ZAGG INC COM 98884U108 1399 250690 SH SOLE 250690 0 0 ZHONE TECHNOLOGIES INC NEW COM NEW 98950P884 1938 717780 SH SOLE 717780 0 0 AIRCASTLE LTD COM G0129K104 1049 64090 SH SOLE 64090 0 0 ASSURED GUARANTY LTD COM G0585R106 5298 239090 SH SOLE 239090 0 0 COSAN LTD SHS A G25343107 719 66793 SH SOLE 66793 0 0 COVIDIEN PLC SHS G2554F113 52438 606146 SH SOLE 606146 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 3739 60951 SH SOLE 60951 0 0 HERBALIFE LTD COM USD SHS G4412G101 388 8859 SH SOLE 8859 0 0 HERBALIFE LTD PUT G4412G951 225 1000 SH Put SOLE 1000 0 0 MAIDEN HOLDINGS LTD SHS G5753U112 3044 274708 SH SOLE 274708 0 0 VANTAGE DRILLING COMPANY ORD SHS G93205113 3839 3023054 SH SOLE 3023054 0 0 TRANSOCEAN LTD REG SHS H8817H100 8012 250620 SH SOLE 250620 0 0 PERION NETWORK LTD SHS M78673106 2158 388059 SH SOLE 388059 0 0 SILICOM LTD ORD M84116108 877 30079 SH SOLE 30079 0 0 SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 7116 241295 SH SOLE 241295 0 0 AERCAP HOLDINGS NV SHS N00985106 1408 34420 SH SOLE 34420 0 0 STEINER LEISURE LTD ORD P8744Y102 925 24600 SH SOLE 24600 0 0 PLANET PAYMENT INC SHS U72603118 896 457180 SH SOLE 457180 0 0 AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 5305 578539 SH SOLE 578539 0 0 DRYSHIPS INC SHS Y2109Q101 1863 754279 SH SOLE 754279 0 0 DYNAGAS LNG PARTNERS LP COM UNIT LTD PT Y2188B108 1453 61536 SH SOLE 61536 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 3173 307490 SH SOLE 307490 0 0 NAVIOS MARITIME HOLDINGS INC COM Y62196103 1076 179308 SH SOLE 179308 0 0 SAFE BULKERS INC COM 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