Chief Financial Officer

0000950123-16-018558.txt : 20160727 0000950123-16-018558.hdr.sgml : 20160727 20160727115110 ACCESSION NUMBER: 0000950123-16-018558 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160727 DATE AS OF CHANGE: 20160727 EFFECTIVENESS DATE: 20160727 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: 161786057 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 06-30-2016 06-30-2016 WHITEBOX ADVISORS LLC

3033 EXCELSIOR BLVD. SUITE 300 MINNEAPOLIS MN 55416

13F HOLDINGS REPORT 028-10715 N Michael McCormick Chief Financial Officer 612-253-6001 /S/ Michael McCormick Minneapolis MN 07-27-2016 0 90 3780192 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ABBOTT LABS PUT 002824950 1966 50000 SH Put SOLE 50000 0 0 ADVANCED MICRO DEVICES INC CALL 007903907 3855 750000 SH Call SOLE 750000 0 0 AEGERION PHARMACEUTICALS INC NOTE 2.000% 8/1 00767EAB8 2229 3910000 PRN SOLE 3910000 0 0 AG MTG INVT TR INC COM 001228105 270 18709 SH SOLE 18709 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 38244 36250000 PRN SOLE 36250000 0 0 ALLERGAN PLC SHS G0177J108 11751 50849 SH SOLE 50849 0 0 ALLY FINL INC COM 02005N100 15200 890450 SH SOLE 890450 0 0 AMBAC FINL GROUP INC *W EXP 04/30/202 023139116 356 47701 SH SOLE 47701 0 0 AMBAC FINL GROUP INC COM NEW 023139884 2034 123546 SH SOLE 123546 0 0 AMERICAN AIRLS GROUP INC CALL 02376R902 7078 250000 SH Call SOLE 250000 0 0 AMERICAN CAP LTD COM 02503Y103 9773 617357 SH SOLE 617357 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 33797 2140385 SH SOLE 2140385 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 9344 471427 SH SOLE 471427 0 0 APOLLO RESIDENTIAL MTG INC COM 03763V102 9329 696165 SH SOLE 696165 0 0 ARMOUR RESIDENTIAL REIT INC COM NEW 042315507 15337 766827 SH SOLE 766827 0 0 BANK AMER CORP COM 060505104 1595 120200 SH SOLE 120200 0 0 BOYD GAMING CORP PUT 103304951 2024 110000 SH Put SOLE 110000 0 0 CASTLE A M & CO COM 148411101 201 122736 SH SOLE 122736 0 0 CITIGROUP INC COM NEW 172967424 1638 38636 SH SOLE 38636 0 0 CLIFFS NAT RES INC CALL 18683K901 5670 1000000 SH Call SOLE 1000000 0 0 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 23463 62567000 PRN SOLE 62567000 0 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 2352 161680 SH SOLE 161680 0 0 CONOCOPHILLIPS PUT 20825C954 8720 200000 SH Put SOLE 200000 0 0 CORENERGY INFRASTRUCTURE TR NOTE 7.000% 6/1 21870UAA4 25945 26125000 PRN SOLE 26125000 0 0 CORSICANTO LTD NOTE 3.500% 1/1 220480AB3 18657 18370000 PRN SOLE 18370000 0 0 COWEN GROUP INC NEW NOTE 3.000% 3/1 223622AB7 14360 16000000 PRN SOLE 16000000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 3890 368750 SH SOLE 368750 0 0 DENBURY RES INC COM NEW 247916208 4222 1176120 SH SOLE 1176120 0 0 E M C CORP MASS COM 268648102 52027 1914856 SH SOLE 1914856 0 0 ENCORE CAP GROUP INC NOTE 2.875% 3/1 292554AH5 8625 12212000 PRN SOLE 12212000 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 23542 30450000 PRN SOLE 30450000 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 30141 30776000 PRN SOLE 30776000 0 0 ENERNOC INC DBCV 2.250% 8/1 292764AB3 3206 4500000 PRN SOLE 4500000 0 0 FIVE OAKS INVT CORP COM 33830W106 65 11900 SH SOLE 11900 0 0 GAMING & LEISURE PPTYS INC PUT 36467J958 7586 220000 SH Put SOLE 220000 0 0 GENERAL CABLE CORP DEL NEW FRNT 4.500%11/1 369300AL2 2866 5000000 PRN SOLE 5000000 0 0 GOGO INC COM 38046C109 236 28146 SH SOLE 28146 0 0 GOGO INC NOTE 3.750% 3/0 38046CAB5 22479 33740000 PRN SOLE 33740000 0 0 GOL LINHAS AEREAS INTLG S A SPON ADR PFD NEW 38045R206 1493 141014 SH SOLE 141014 0 0 GREEN PLAINS INC NOTE 3.250%10/0 393222AD6 8925 8000000 PRN SOLE 8000000 0 0 GSV CAP CORP NOTE 5.250% 9/1 36191JAB7 7503 8245000 PRN SOLE 8245000 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 16979 929325 SH SOLE 929325 0 0 HUMANA INC COM 444859102 6297 35007 SH SOLE 35007 0 0 HUTCHINSON TECHNOLOGY INC NOTE 8.500%10/3 448407AL0 41831 37500000 PRN SOLE 37500000 0 0 IMPERIAL HLDGS INC NOTE 8.500% 2/1 452834AE4 5379 6300000 PRN SOLE 6300000 0 0 INTEROIL CORP COM 460951106 13391 297567 SH SOLE 297567 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 9344 682545 SH SOLE 682545 0 0 ISHARES TR CALL 464287904 6844 200000 SH Call SOLE 200000 0 0 ISHARES TR CALL 464287905 57485 500000 SH Call SOLE 500000 0 0 ISHARES TR PUT 464287954 25665 750000 SH Put SOLE 750000 0 0 ISHARES TR PUT 464287955 126467 1100000 SH Put SOLE 1100000 0 0 JAZZ US HLDGS INC NOTE 8.000%12/3 47216EAA8 12554 8779000 PRN SOLE 8779000 0 0 JINKOSOLAR HLDG CO LTD DEBT 4.000% 2/0 G51385AA3 3332 3600000 PRN SOLE 3600000 0 0 LAYNE CHRISTENSEN CO NOTE 8.000% 5/0 521050AD6 5753 5700000 PRN SOLE 5700000 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 13229 22907000 PRN SOLE 22907000 0 0 LINKEDIN CORP NOTE 0.500%11/0 53578AAB4 49344 50000000 PRN SOLE 50000000 0 0 MEDIA GEN INC NEW COM 58441K100 3082 179300 SH SOLE 179300 0 0 MGM RESORTS INTERNATIONAL PUT 552953951 4526 200000 SH Put SOLE 200000 0 0 MYLAN N V CALL N59465909 3027 70000 SH Call SOLE 70000 0 0 NATIONSTAR MTG HLDGS INC COM 63861C109 6127 544146 SH SOLE 544146 0 0 NII HLDGS INC COM PAR $0.001 62913F508 4904 1542257 SH SOLE 1542257 0 0 NVIDIA CORP NOTE 1.000%12/0 67066GAC8 11301 4850000 PRN SOLE 4850000 0 0 OCWEN FINL CORP COM NEW 675746309 610 356849 SH SOLE 356849 0 0 OFFICE DEPOT INC COM 676220106 12194 3683893 SH SOLE 3683893 0 0 PACIRA PHARMACEUTICALS INC NOTE 3.250% 2/0 695127AB6 15560 10500000 PRN SOLE 10500000 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 120358 7846023 SH SOLE 7846023 0 0 PDL BIOPHARMA INC NOTE 4.000% 2/0 69329YAF1 26274 27730000 PRN SOLE 27730000 0 0 POWERSHARES QQQ TRUST PUT 73935A954 91409 850000 SH Put SOLE 850000 0 0 RETRACTABLE TECHNOLOGIES INC COM 76129W105 430 170801 SH SOLE 170801 0 0 SAFEGUARD SCIENTIFICS INC DBCV 5.250% 5/1 786449AK4 7247 7316000 PRN SOLE 7316000 0 0 SANOFI RIGHT 12/31/2020 80105N113 3879 16160449 SH SOLE 16160449 0 0 SPDR S&P 500 ETF TR CALL 78462F903 743832 3550000 SH Call SOLE 3550000 0 0 SPDR S&P 500 ETF TR PUT 78462F953 1470461 7017900 SH Put SOLE 7017900 0 0 SPDR SERIES TRUST PUT 78464A958 16770 500000 SH Put SOLE 500000 0 0 ST JUDE MED INC COM 790849103 14826 190075 SH SOLE 190075 0 0 STONEGATE MTG CORP COM 86181Q300 68 20146 SH SOLE 20146 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 61679 36483000 PRN SOLE 36483000 0 0 TESLA MTRS INC PUT 88160R951 5307 25000 SH Put SOLE 25000 0 0 TETRALOGIC PHARMACEUTICALS C NOTE 8.000% 6/1 88165UAB5 1634 10804000 PRN SOLE 10804000 0 0 TITAN MACHY INC NOTE 3.750% 5/0 88830RAB7 10406 13008000 PRN SOLE 13008000 0 0 TRINA SOLAR LIMITED NOTE 4.000%10/1 89628EAE4 4263 5000000 PRN SOLE 5000000 0 0 TWITTER INC NOTE 0.250% 9/1 90184LAB8 5498 6000000 PRN SOLE 6000000 0 0 TWO HBRS INVT CORP COM 90187B101 41375 4833470 SH SOLE 4833470 0 0 USA TECHNOLOGIES INC CONV PFD SER A 90328S203 270 15493 SH SOLE 15493 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 12207 4850000 PRN SOLE 4850000 0 0 WHITING PETE CORP NEW DBCV 1.250% 4/0 966387AU6 50159 56200000 PRN SOLE 56200000 0 0 WHITING PETE CORP NEW NOTE 5.750% 3/1 966387AV4 18423 19495000 PRN SOLE 19495000 0 0 XILINX INC NOTE 2.625% 6/1 983919AF8 40788 25344000 PRN SOLE 25344000 0 0 YAHOO INC COM 984332106 107240 2855162 SH SOLE 2855162 0 0 YAHOO INC PUT 984332956 28170 750000 SH Put SOLE 750000 0 0