0000950123-17-000572.txt : 20170130
0000950123-17-000572.hdr.sgml : 20170130
20170130150316
ACCESSION NUMBER: 0000950123-17-000572
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170130
DATE AS OF CHANGE: 20170130
EFFECTIVENESS DATE: 20170130
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: 17556904
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
12-31-2016
12-31-2016
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
01-30-2017
0
76
2533203
false
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
AK STL CORP
NOTE 5.000%11/1
001546AP5
10309
5000000
PRN
SOLE
5000000
0
0
ALIBABA GROUP HLDG LTD
PUT
01609W952
10757
122500
SH
Put
SOLE
122500
0
0
ALLEGHENY TECHNOLOGIES INC
NOTE 4.750% 7/0
01741RAG7
65142
48750000
PRN
SOLE
48750000
0
0
ALLY FINL INC
COM
02005N100
7561
397550
SH
SOLE
397550
0
0
AMERICAN CAP LTD
COM
02503Y103
11314
631357
SH
SOLE
631357
0
0
AMTRUST FINL SVCS INC
NOTE 2.750%12/1
032359AG6
10178
12000000
PRN
SOLE
12000000
0
0
ARCH COAL INC
CL A
039380407
8747
112070
SH
SOLE
112070
0
0
B/E AEROSPACE INC
COM
073302101
5092
84600
SH
SOLE
84600
0
0
BASIC ENERGY SVCS INC NEW
COM NEW
06985P209
63588
1798813
SH
SOLE
1798813
0
0
BLACKSTONE MTG TR INC
NOTE 5.250%12/0
09257WAA8
15945
14300000
PRN
SOLE
14300000
0
0
BOYD GAMING CORP
PUT
103304951
2219
110000
SH
Put
SOLE
110000
0
0
CABELAS INC
COM
126804301
14489
247470
SH
SOLE
247470
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
90
12841
SH
SOLE
12841
0
0
CLIFFS NAT RES INC
COM
18683K101
6766
804492
SH
SOLE
804492
0
0
COBALT INTL ENERGY INC
NOTE 2.625%12/0
19075FAA4
22807
58107000
PRN
SOLE
58107000
0
0
COBALT INTL ENERGY INC
NOTE 3.125% 5/1
19075FAB2
4390
15679000
PRN
SOLE
15679000
0
0
COMMUNITY HEALTH SYS INC NEW
COM
203668108
891
159400
SH
SOLE
159400
0
0
COMPANHIA BRASILEIRA DE
DIST SPN ADR PFD CL A
20440T201
1176
71068
SH
SOLE
71068
0
0
COMSTOCK RES INC
NOTE 7.750% 4/0
205768AM6
1774
2039000
PRN
SOLE
2039000
0
0
CORENERGY INFRASTRUCTURE TR
NOTE 7.000% 6/1
21870UAA4
18330
16348000
PRN
SOLE
16348000
0
0
COWEN GROUP INC NEW
NOTE 3.000% 3/1
223622AB7
10512
10538000
PRN
SOLE
10538000
0
0
DELL TECHNOLOGIES INC
COM CL V
24703L103
10593
192704
SH
SOLE
192704
0
0
ENCORE CAP GROUP INC
NOTE 2.875% 3/1
292554AH5
6520
7462000
PRN
SOLE
7462000
0
0
ENCORE CAP GROUP INC
NOTE 3.000% 7/0
292554AF9
20076
21500000
PRN
SOLE
21500000
0
0
ENCORE CAP GROUP INC
NOTE 3.000%11/2
292554AD4
30808
28776000
PRN
SOLE
28776000
0
0
ENERNOC INC
DBCV 2.250% 8/1
292764AB3
3358
4250000
PRN
SOLE
4250000
0
0
FLOTEK INDS INC DEL
COM
343389102
156
16600
SH
SOLE
16600
0
0
GOGO INC
COM
38046C109
2221
240864
SH
SOLE
240864
0
0
GOGO INC
NOTE 3.750% 3/0
38046CAB5
16532
22225000
PRN
SOLE
22225000
0
0
GREEN PLAINS INC
NOTE 3.250%10/0
393222AD6
8633
6000000
PRN
SOLE
6000000
0
0
GSV CAP CORP
NOTE 5.250% 9/1
36191JAB7
7637
8245000
PRN
SOLE
8245000
0
0
HARMAN INTL INDS INC
COM
413086109
5113
46000
SH
SOLE
46000
0
0
HARMONIC INC
NOTE 4.000%12/0
413160AB8
15636
14000000
PRN
SOLE
14000000
0
0
HEWLETT PACKARD ENTERPRISE C
COM
42824C109
53591
2315947
SH
SOLE
2315947
0
0
HORNBECK OFFSHORE SVCS INC
N NOTE 1.500% 9/0
440543AN6
50240
70823000
PRN
SOLE
70823000
0
0
INTEROIL CORP
COM
460951106
30355
637971
SH
SOLE
637971
0
0
ISHARES TR
PUT
464287955
215760
1600000
SH
Put
SOLE
1600000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
5394
40000
SH
SOLE
40000
0
0
JAZZ US HLDGS INC
NOTE 8.000%12/3
47216EAA8
18531
9506000
PRN
SOLE
9506000
0
0
JONES ENERGY INC
COM CL A
48019R108
3341
668150
SH
SOLE
668150
0
0
KEY ENERGY SVCS INC DEL
COM
49309J103
20902
657085
SH
SOLE
657085
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
10297
182695
SH
SOLE
182695
0
0
LIBERTY MEDIA CORP
DEB 4.000%11/1
530715AG6
13630
22907000
PRN
SOLE
22907000
0
0
MEDIA GEN INC NEW
COM
58441K100
5012
266193
SH
SOLE
266193
0
0
MGM RESORTS INTERNATIONAL
PUT
552953951
5766
200000
SH
Put
SOLE
200000
0
0
MTGE INVT CORP
COM
55378A105
22211
1414713
SH
SOLE
1414713
0
0
NII HLDGS INC
COM PAR $0.001
62913F508
1860
865158
SH
SOLE
865158
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
20092
205000
SH
SOLE
205000
0
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
104073
7157688
SH
SOLE
7157688
0
0
PDL BIOPHARMA INC
NOTE 2.750%12/0
69329YAG9
22456
27961000
PRN
SOLE
27961000
0
0
REYNOLDS AMERICAN INC
COM
761713106
10311
184000
SH
SOLE
184000
0
0
RYANAIR HLDGS PLC
SPONSORED ADR NE
783513203
4645
55792
SH
SOLE
55792
0
0
SAEXPLORATION HLDGS INC
COM NEW
78636X204
19046
2609039
SH
SOLE
2609039
0
0
SAFEGUARD SCIENTIFICS INC
DBCV 5.250% 5/1
786449AK4
7572
7316000
PRN
SOLE
7316000
0
0
SANDRIDGE ENERGY INC
COM NEW
80007P869
1634
69386
SH
SOLE
69386
0
0
SANDRIDGE ENERGY INC
NOTE 10/0
80007PBC2
14325
11500000
PRN
SOLE
11500000
0
0
SANOFI
RIGHT 12/31/2020
80105N113
4252
11189907
SH
SOLE
11189907
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
1214
25000
SH
SOLE
25000
0
0
SINA CORP
ORD
G81477104
8189
134706
SH
SOLE
134706
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
463
42800
SH
SOLE
42800
0
0
SPDR S&P 500 ETF TR
CALL
78462F903
424707
1900000
SH
Call
SOLE
1900000
0
0
SPDR S&P 500 ETF TR
PUT
78462F953
639296
2860000
SH
Put
SOLE
2860000
0
0
SPDR SERIES TRUST
PUT
78464A958
16925
500000
SH
Put
SOLE
500000
0
0
SUCAMPO PHARMACEUTICALS INC
DBCV 3.250%12/1
864909AA4
3025
2840000
PRN
SOLE
2840000
0
0
TESLA MTRS INC
NOTE 1.500% 6/0
88160RAA9
29770
17146000
PRN
SOLE
17146000
0
0
TESLA MTRS INC
PUT
88160R951
5342
25000
SH
Put
SOLE
25000
0
0
TIME WARNER INC
COM NEW
887317303
5454
56500
SH
SOLE
56500
0
0
TITAN MACHY INC
NOTE 3.750% 5/0
88830RAB7
13482
15191000
PRN
SOLE
15191000
0
0
TRANSOCEAN LTD
PUT
H8817H950
2948
200000
SH
Put
SOLE
200000
0
0
TRINA SOLAR LIMITED
NOTE 4.000%10/1
89628EAE4
4619
5000000
PRN
SOLE
5000000
0
0
TWITTER INC
NOTE 0.250% 9/1
90184LAB8
6545
7000000
PRN
SOLE
7000000
0
0
VANECK VECTORS ETF TR
PUT
92189F958
33350
1000000
SH
Put
SOLE
1000000
0
0
VEDANTA LTD
SPONSORED ADR
92242Y100
932
75036
SH
SOLE
75036
0
0
YAHOO INC
COM
984332106
190744
4932603
SH
SOLE
4932603
0
0
YAHOO INC
NOTE 12/0
984332AF3
32539
32930000
PRN
SOLE
32930000
0
0
YAHOO INC
PUT
984332956
29003
750000
SH
Put
SOLE
750000
0
0