0000950123-19-011085.txt : 20191114 0000950123-19-011085.hdr.sgml : 20191114 20191114090022 ACCESSION NUMBER: 0000950123-19-011085 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 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: 191216706 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 09-30-2019 09-30-2019 Whitebox Advisors LLC

3033 Excelsior Blvd. Suite 300 Minneapolis MN 55416

13F HOLDINGS REPORT 028-10715 N Robert Riepe 612-253-6001 /S/ Robert Riepe Minneapolis MN 11-14-2019 0 97 2753975 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 5281 6750000 PRN SOLE 6750000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 2424 126130 SH SOLE 126130 0 0 ALLERGAN PLC SHS G0177J108 57048 338987 SH SOLE 338987 0 0 ALTABA INC COM 021346101 147479 7570815 SH SOLE 7570815 0 0 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 5113 252866 SH SOLE 252866 0 0 AMAG PHARMACEUTICALS INC NOTE 3.250% 6/0 00163UAD8 28829 35050000 PRN SOLE 35050000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 238 8820 SH SOLE 8820 0 0 AMERICAN AXLE & MFG HLDGS IN COM 024061103 5342 649920 SH SOLE 649920 0 0 AMKOR TECHNOLOGY INC COM 031652100 141 15500 SH SOLE 15500 0 0 APELLIS PHARMACEUTICALS INC COM 03753U106 1268 52645 SH SOLE 52645 0 0 APHRIA INC PUT 03765K954 3114 600000 SH Put SOLE 600000 0 0 APOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 03762UAB1 38664 37906000 PRN SOLE 37906000 0 0 APOLLO COML REAL EST FIN INC NOTE 5.375%10/1 03762UAC9 13650 13348000 PRN SOLE 13348000 0 0 ARBOR RLTY TR INC NOTE 5.250% 7/0 038923AF5 57931 49300000 PRN SOLE 49300000 0 0 ARDAGH GROUP S A CL A L0223L101 1724 109956 SH SOLE 109956 0 0 AVIS BUDGET GROUP INC COM 053774105 5018 177553 SH SOLE 177553 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 4110 275846 SH SOLE 275846 0 0 BLACKSTONE MTG TR INC NOTE 4.375% 5/0 09257WAB6 71268 68445000 PRN SOLE 68445000 0 0 BLACKSTONE MTG TR INC NOTE 4.750% 3/1 09257WAC4 29959 28655000 PRN SOLE 28655000 0 0 BUNGE LIMITED COM G16962105 27252 481311 SH SOLE 481311 0 0 C&J ENERGY SVCS INC NEW COM 12674R100 11114 1035798 SH SOLE 1035798 0 0 CELGENE CORP COM 151020104 54862 552490 SH SOLE 552490 0 0 CINCINNATI BELL INC NEW COM NEW 171871502 454 89530 SH SOLE 89530 0 0 CLEAR CHANNEL OUTDOOR HLDGS COM 18453H106 17930 7115008 SH SOLE 7115008 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 1143 317393 SH SOLE 317393 0 0 CONSOLIDATED COMM HLDGS INC COM 209034107 606 127371 SH SOLE 127371 0 0 CONSTELLIUM SE CL A N22035104 1945 153019 SH SOLE 153019 0 0 CONTURA ENERGY INC COM 21241B100 49881 1784020 SH SOLE 1784020 0 0 DARDEN RESTAURANTS INC COM 237194105 234 1977 SH SOLE 1977 0 0 DBX ETF TR PUT 233051959 27090 1000000 SH Put SOLE 1000000 0 0 DBX ETF TR XTRACK HRVST CSI 233051879 1355 50000 SH SOLE 50000 0 0 DEERE & CO COM 244199105 250 1484 SH SOLE 1484 0 0 DELL TECHNOLOGIES INC CL C 24703L202 122404 2360281 SH SOLE 2360281 0 0 DENBURY RES INC DEL DEBT 6.375%12/3 U2481AAK4 9306 15994000 PRN SOLE 15994000 0 0 DONNELLEY R R & SONS CO COM 257867200 4807 1274977 SH SOLE 1274977 0 0 EASTMAN CHEMICAL CO COM 277432100 224 3040 SH SOLE 3040 0 0 ENCANA CORP COM 292505104 34983 7605040 SH SOLE 7605040 0 0 ENCORE CAP EUROPE FIN LTD NOTE 4.500% 9/0 29260UAA5 19808 19250000 PRN SOLE 19250000 0 0 ENCORE CAP GROUP INC NOTE 3.250% 3/1 292554AK8 18454 18250000 PRN SOLE 18250000 0 0 ENTERCOM COMMUNICATIONS CORP CL A 293639100 659 197367 SH SOLE 197367 0 0 FINISAR CORP NOTE 0.500%12/1 31787AAP6 19940 20000000 PRN SOLE 20000000 0 0 GAP INC COM 364760108 503 28952 SH SOLE 28952 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 625 43390 SH SOLE 43390 0 0 GREEN PLAINS INC NOTE 4.125% 9/0 393222AF1 2040 2500000 PRN SOLE 2500000 0 0 GRIFOLS S A SP ADR REP B NVT 398438408 43844 2187827 SH SOLE 2187827 0 0 HALLIBURTON CO COM 406216101 276 14646 SH SOLE 14646 0 0 HEICO CORP NEW CL A 422806208 25245 259426 SH SOLE 259426 0 0 HI CRUSH INC PUT 428337959 1653 950000 SH Put SOLE 950000 0 0 IAC INTERACTIVECORP COM 44919P508 59532 273121 SH SOLE 273121 0 0 IHEARTMEDIA INC COM CL A 45174J509 1948 129888 SH SOLE 129888 0 0 INFINERA CORPORATION NOTE 2.125% 9/0 45667GAC7 4384 5053000 PRN SOLE 5053000 0 0 INTELSAT S A NOTE 4.500% 6/1 45790VAB6 112095 76348000 PRN SOLE 76348000 0 0 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 498 35072 SH SOLE 35072 0 0 INTL PAPER CO COM 460146103 450 10755 SH SOLE 10755 0 0 INTREXON CORP NOTE 3.500% 7/0 46122TAA0 6710 11000000 PRN SOLE 11000000 0 0 INVACARE CORP NOTE 5.000% 2/1 461203AF8 3107 3325000 PRN SOLE 3325000 0 0 ISHARES TR IBOXX INV CP ETF 464287242 25274 198256 SH SOLE 198256 0 0 ISTAR INC COM 45031U101 210 16081 SH SOLE 16081 0 0 KROGER CO COM 501044101 310 12018 SH SOLE 12018 0 0 MACYS INC COM 55616P104 391 25193 SH SOLE 25193 0 0 MARATHON PETE CORP COM 56585A102 47434 780800 SH SOLE 780800 0 0 MBIA INC COM 55262C100 1535 166260 SH SOLE 166260 0 0 MCDERMOTT INTL INC PUT 580037953 505 250000 SH Put SOLE 250000 0 0 MESA AIR GROUP INC COM NEW 590479135 4210 624158 SH SOLE 624158 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 40080 21125000 PRN SOLE 21125000 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 18294 1166718 SH SOLE 1166718 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 1736 81700 SH SOLE 81700 0 0 NIO INC DEBT 4.500% 2/0 G6525FAA0 8518 30500000 PRN SOLE 30500000 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 18410 44095000 PRN SOLE 44095000 0 0 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 9180 12400000 PRN SOLE 12400000 0 0 PACIFIC DRILLING SA LUXEMBOU COM L7257P205 17506 4477111 SH SOLE 4477111 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 9358 409351 SH SOLE 409351 0 0 PARKER DRILLING CO COM 701081507 6424 339530 SH SOLE 339530 0 0 PITNEY BOWES INC COM 724479100 1784 390323 SH SOLE 390323 0 0 QUDIAN INC DEBT 1.000% 7/0 G7314VAA8 19756 21000000 PRN SOLE 21000000 0 0 REDWOOD TR INC NOTE 5.625% 7/1 758075AD7 10782 10620000 PRN SOLE 10620000 0 0 RH COM 74967X103 2586 15137 SH SOLE 15137 0 0 RYDER SYS INC COM 783549108 620 11983 SH SOLE 11983 0 0 SAEXPLORATION HLDGS INC COM PAR 78636X873 297 160480 SH SOLE 160480 0 0 SANOFI RIGHT 12/31/2020 80105N113 3965 6956279 SH SOLE 6956279 0 0 SCIENTIFIC GAMES CORP COM 80874P109 5295 260172 SH SOLE 260172 0 0 SPDR GOLD TRUST CALL 78463V907 52784 380100 SH Call SOLE 380100 0 0 SPDR S&P 500 ETF TR PUT 78462F953 1023858 3450000 SH Put SOLE 3450000 0 0 TAILORED BRANDS INC COM 87403A107 448 101906 SH SOLE 101906 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 5661 255916 SH SOLE 255916 0 0 TENNECO INC CL A VTG COM STK 880349105 4871 389071 SH SOLE 389071 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 48293 49500000 PRN SOLE 49500000 0 0 TESLA INC NOTE 2.000% 5/1 88160RAG6 100044 98500000 PRN SOLE 98500000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 31839 31393000 PRN SOLE 31393000 0 0 TESLA INC PUT 88160R951 12044 50000 SH Put SOLE 50000 0 0 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 14487 16000000 PRN SOLE 16000000 0 0 TILRAY INC DEBT 5.000%10/0 U8961EAA4 4796 7400000 PRN SOLE 7400000 0 0 UNITED NAT FOODS INC COM 911163103 725 62900 SH SOLE 62900 0 0 UNITED RENTALS INC COM 911363109 640 5138 SH SOLE 5138 0 0 UNITED TECHNOLOGIES CORP COM 913017109 21134 154808 SH SOLE 154808 0 0 VEDANTA LTD SPONSORED ADR 92242Y100 9679 1115050 SH SOLE 1115050 0 0 VERASTEM INC NOTE 5.000%11/0 92337CAA2 2000 4500000 PRN SOLE 4500000 0 0