General Counsel & Chief Compliance Officer

0001257391-24-000004.txt : 20240515 0001257391-24-000004.hdr.sgml : 20240515 20240515163651 ACCESSION NUMBER: 0001257391-24-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240515 DATE AS OF CHANGE: 20240515 EFFECTIVENESS DATE: 20240515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC CENTRAL INDEX KEY: 0001257391 ORGANIZATION NAME: 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: 24951908 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 500 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 500 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001257391 XXXXXXXX 03-31-2024 03-31-2024 WHITEBOX ADVISORS LLC

3033 EXCELSIOR BLVD. SUITE 500 MINNEAPOLIS MN 55416

13F HOLDINGS REPORT 028-10715 000121995 801-65882 N Lisa Conrad General Counsel & Chief Compliance Officer 612-701-7103 Lisa Conrad New York NY 05-15-2024 0 340 4027483031 false INFORMATION TABLE 2 wb13fdata1.xml ARMADA ACQUISITION CORP I *W EXP 99/99/999 04208V111 4245 50000 SH SOLE 0 0 0 AMERICAN AIRLINES GROUP INC NOTE 6.500% 7/0 02376RAF9 115285730 99470000 PRN SOLE 99470000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 57562500 3750000 SH Put SOLE 3750000 0 0 ATLANTIC COASTAL AQSTN CORP *W EXP 99/99/999 04845A116 699 12500 SH SOLE 0 0 0 ALBERTSONS COS INC COMMON STOCK 013091103 23992582 1119057 SH SOLE 1119057 0 0 ALTENERGY ACQUISITION CORP *W EXP 10/29/202 02157M116 3131 62500 SH SOLE 0 0 0 AEON BIOPHARMA INC *W EXP 07/21/202 00791X118 133400 92000 SH SOLE 0 0 0 AERIES TECHNOLOGY INC *W EXP 11/06/202 G0136H110 3943 60662 SH SOLE 0 0 0 ATLAS ENERGY SOLUTIONS INC COM NEW 642045108 49711743 2343788 SH SOLE 2343788 0 0 AURA FAT PROJS ACQUISITION C *W EXP 99/99/999 G06362126 2600 200000 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COM 86745K104 6130000 1000000 SH Put SOLE 1000000 0 0 NOVA VISION ACQUISITION CORP RIGHT 12/23/2023 G6759A134 21440 80000 SH SOLE 80000 0 0 NOVA VISION ACQUISITION CORP *W EXP 12/31/202 G6759A118 2376 80000 SH SOLE 0 0 0 NUVEEN PENNSYLVANIA QLT MUN COM 670972108 851974 72079 SH SOLE 72079 0 0 NORTHVIEW ACQUISITION CORP RIGHT 99/99/9999 66718N129 37500 250000 SH SOLE 250000 0 0 NORTHVIEW ACQUISITION CORP *W EXP 08/02/202 66718N111 4800 125000 SH SOLE 0 0 0 NOVAVAX INC NOTE 5.000%12/1 670002AD6 21000145 33750000 PRN SOLE 33750000 0 0 NOVA LTD NOTE 10/1 66980MAB2 58887600 24800000 PRN SOLE 24800000 0 0 NVNI GROUP LIMITED *W EXP 11/01/202 G50716110 7875 175000 SH SOLE 0 0 0 NWTN INC *W EXP 12/31/202 G6693P114 2910 50000 SH SOLE 0 0 0 NUVEEN NEW JERSEY QULT MUN F COM 67069Y102 1953239 161692 SH SOLE 161692 0 0 OAK WOODS ACQUISITION CORP CL A 67190B104 731000 68000 SH SOLE 68000 0 0 OAK WOODS ACQUISITION CORP RIGHT 03/23/2028 67190B120 13600 68000 SH SOLE 68000 0 0 OAK WOODS ACQUISITION CORP *W EXP 99/99/999 67190B112 1360 68000 SH SOLE 0 0 0 OCA ACQUISITION CORP *W EXP 01/14/202 670865112 1761 22724 SH SOLE 0 0 0 OCEAN BIOMEDICAL INC *W EXP 02/14/202 67644C112 14600 50000 SH SOLE 0 0 0 OCULIS HOLDING AG *W EXP 03/06/202 H5870P110 37033 16833 SH SOLE 0 0 0 VANECK ETF TRUST OIL SERVICES ETF 92189H607 16816500 50000 SH Put SOLE 50000 0 0 OMEROS CORP NOTE 5.250% 2/1 682143AG7 7940900 11000000 PRN SOLE 11000000 0 0 ON SEMICONDUCTOR CORP NOTE 5/0 682189AS4 78564750 53500000 PRN SOLE 53500000 0 0 ONEMEDNET CORP *W EXP 11/07/202 68270C111 1158 49700 SH SOLE 0 0 0 ONYX ACQUISITION CO I *W EXP 11/30/202 G6755Q117 375 12500 SH SOLE 0 0 0 OFFICE PPTYS INCOME TR COM SHS BEN INT 67623C109 1020000 500000 SH Call SOLE 0 0 0 SYNTEC OPTICS HLDGS INC *W EXP 99/99/999 87169M113 10500 75000 SH SOLE 0 0 0 PROSOMNUS INC *W EXP 04/20/202 50535E116 900 45000 SH SOLE 0 0 0 OSIRIS ACQUISITION CORP *W EXP 05/01/202 68829A111 2250 75000 SH SOLE 0 0 0 OVINTIV INC COM 69047Q102 1118445 21550 SH SOLE 21550 0 0 PARAMOUNT GLOBAL CLASS B COM 92556H206 1420910 120723 SH SOLE 120723 0 0 PSYENCE BIOMEDICAL LTD *W EXP 01/25/202 74449F118 3500 50000 SH SOLE 0 0 0 PROJECT ENERGY REIMAGINED AC *W EXP 99/99/999 G72556114 3750 25000 SH SOLE 0 0 0 PYROPHYTE ACQUISITION CORP *W EXP 05/03/202 G7308P127 628 25000 SH SOLE 0 0 0 PLUM ACQUISITION CORP I *W EXP 03/18/202 G7134L118 5538 14200 SH SOLE 0 0 0 PLUM ACQUISITION CORP III *W EXP 03/31/202 G63290103 3278 25000 SH SOLE 0 0 0 PINSTRIPES HOLDINGS INC *W EXP 09/30/202 06690B115 6806 27500 SH SOLE 0 0 0 PHP VENTURES ACQUISITION COR RIGHT 01/01/2023 69291C122 7348 55000 SH SOLE 55000 0 0 PHP VENTURES ACQUISITION COR *W EXP 08/16/202 69291C114 327 14198 SH SOLE 0 0 0 PAPAYA GRWT OPPORTUNITY CORP *W EXP 12/31/202 69882P110 1625 25000 SH SOLE 0 0 0 PEARL HOLDINGS ACQUISITN COR *W EXP 99/99/999 G44525114 1000 25000 SH SOLE 0 0 0 POLESTAR AUTOMOTIVE HLDG UK ADS C-1 731105102 13163 75000 SH SOLE 75000 0 0 PTC THERAPEUTICS INC NOTE 1.500% 9/1 69366JAD3 16231250 17500000 PRN SOLE 17500000 0 0 PONO CAP TWO INC *W EXP 99/99/999 73245B115 1225 35000 SH SOLE 0 0 0 POWERUP ACQUISITION CORP *W EXP 05/23/202 G7207P129 3763 125000 SH SOLE 0 0 0 QUETTA ACQUISITION CORP COM 74841A105 305400 30000 SH SOLE 30000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 11544260 26000 SH Put SOLE 26000 0 0 RYDER SYS INC COM 783549108 2225198 18514 SH SOLE 18514 0 0 RELATIVITY ACQUISITION CORP *W EXP 12/15/202 75944B114 5888 125000 SH SOLE 0 0 0 RCF ACQUISITION CORP *W EXP 99/99/999 G7330C110 1343 25000 SH SOLE 0 0 0 ROYAL CARIBBEAN GROUP NOTE 6.000% 8/1 780153BQ4 213292100 75050000 PRN SOLE 75050000 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 222416000 1600000 SH Put SOLE 1600000 0 0 REDFIN CORP NOTE 0.500% 4/0 75737FAE8 2576750 4685000 PRN SOLE 4685000 0 0 ROADZEN INC *W EXP 11/30/202 G7606H116 1860 20000 SH SOLE 0 0 0 CARTESIAN GROWTH CORP II *W EXP 07/12/202 G19305120 3447 33333 SH SOLE 0 0 0 RF ACQUISITION CORP RIGHT 05/01/2028 74954L120 8750 100000 SH SOLE 100000 0 0 RF ACQUISITION CORP *W EXP 05/01/202 74954L112 1070 100000 SH SOLE 0 0 0 TRANSOCEAN INC DEB 4.625% 9/3 893830BW8 81751008 40533000 PRN SOLE 40533000 0 0 TRANSOCEAN LTD REGISTERED SHS H8817H100 2826000 450000 SH Put SOLE 450000 0 0 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 16425000 1500000 SH Put SOLE 1500000 0 0 REALOGY GRP LLC/REALOGY CO NOTE 0.250% 6/1 75606DAP6 12454930 15716000 PRN SOLE 15716000 0 0 ROYALTY MGMT HLDG CORP *W EXP 05/28/202 02369M110 1862 86204 SH SOLE 0 0 0 RMG ACQUISITION CORP III *W EXP 99/99/999 G76088122 3833 63883 SH SOLE 0 0 0 ROTH CH ACQUISITION V CO *W EXP 12/10/202 77867R118 2775 37500 SH SOLE 0 0 0 RIGEL RESOURCE ACQ CORP *W EXP 99/99/999 G7573M114 11780 50000 SH SOLE 0 0 0 SUNRUN INC COM 86771W105 16475000 1250000 SH Put SOLE 1250000 0 0 SPIRIT AIRLS INC COM 848577102 2420000 500000 SH Put SOLE 500000 0 0 SPIRIT AIRLS INC COM 848577102 605000 125000 SH SOLE 125000 0 0 WESTERN ASSET INTER MUNI FD COM 958435109 341677 43141 SH SOLE 43141 0 0 SDCL EDGE ACQUISITION CORP *W EXP 99/99/999 G79471127 3783 25000 SH SOLE 0 0 0 SEP ACQUISITION CORP *W EXP 99/99/999 589381110 21250 125000 SH SOLE 0 0 0 SK GROWTH OPPORTUNITIES CORP *W EXP 06/28/202 G8192N111 47000 100000 SH SOLE 0 0 0 SLAM CORP *W EXP 99/99/999 G8210L121 4140 23000 SH SOLE 0 0 0 SEMTECH CORP NOTE 1.625%11/0 816850AF8 61984455 63050000 PRN SOLE 63050000 0 0 VOLATO GROUP INC *W EXP 99/99/999 74349W112 14990 100000 SH SOLE 0 0 0 SABLE OFFSHORE CORP *W EXP 99/99/999 78574H112 77292 29958 SH SOLE 0 0 0 SPECTAIRE HLDGS INC *W EXP 10/17/202 84753T117 938 37500 SH SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 679991000 1300000 SH Put SOLE 1300000 0 0 SERVICE PPTYS TR COM SH BEN INT 81761L102 1546518 228100 SH SOLE 228100 0 0 SRIVARU HOLDING LIMITED *W EXP 12/08/202 G8403L110 553 35000 SH SOLE 0 0 0 AT&T INC COM 00206R102 3042107 172847 SH SOLE 172847 0 0 TECHNOLOGY & TELECOM ACQ COR *W EXP 04/15/202 G87119114 2225 125000 SH SOLE 0 0 0 TRIPLE FLAG PRECIOUS METAL COM 89679M104 51038071 3531954 SH SOLE 3531954 0 0 TARGET GLOBAL ACQUISI I CORP *W EXP 12/08/202 G8675N125 2150 33333 SH SOLE 0 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 5404546 51418 SH SOLE 51418 0 0 THUNDER BRDG CAP PRTNRS IV I *W EXP 04/30/202 88605L115 7801 53800 SH SOLE 0 0 0 TLGY ACQUISITION CORPORATION *W EXP 99/99/999 G8656T125 1084 37500 SH SOLE 0 0 0 TPI COMPOSITES INC NOTE 5.250% 3/1 87266JAB0 4191522 8951000 PRN SOLE 8951000 0 0 TAPESTRY INC COM 876030107 558840 11770 SH SOLE 11770 0 0 TORTOISEECOFIN ACQUISITION C *W EXP 07/22/202 G8956E117 4573 44137 SH SOLE 0 0 0 TESLA INC COM 88160R101 17579000 100000 SH Put SOLE 100000 0 0 TEVOGEN BIO HLDGS INC *W EXP 02/14/202 88165K119 7655 92787 SH SOLE 0 0 0 TWO HARBORS INVENTMENT CORPO NOTE 6.250% 1/1 90187BAB7 8768655 9279000 PRN SOLE 9279000 0 0 UNITED AIRLS HLDGS INC COM 910047109 36867600 770000 SH Put SOLE 770000 0 0 UNITED HOMES GROUP INC *W EXP 03/30/202 91060H116 24500 25000 SH SOLE 0 0 0 URGENTLY INC COM 916931108 522995 278189 SH SOLE 278189 0 0 WHEELS UP EXPERIENCE INC COM CL A 96328L205 186550 65000 SH Put SOLE 65000 0 0 UPSTART HLDGS INC NOTE 0.250% 8/1 91680MAB3 23309497 29861000 PRN SOLE 29861000 0 0 UPSTART HLDGS INC COM 91680M107 8067000 300000 SH Put SOLE 300000 0 0 ROTH CH ACQUISITION CO *W EXP 99/99/999 G88935120 353 25000 SH SOLE 0 0 0 VALARIS LTD CL A G9460G101 38834536 516005 SH SOLE 516005 0 0 INNOVATE CORP NOTE 7.500% 8/0 404139AG2 2675554 8387000 PRN SOLE 8387000 0 0 10X CAPITAL VENTURE ACQ III *W EXP 06/30/202 G87077114 1248 25000 SH SOLE 0 0 0 VERITONE INC NOTE 1.750%11/1 92347MAB6 2787571 7650000 PRN SOLE 7650000 0 0 VERDE CLEAN FUELS INC *W EXP 02/15/202 923372114 45205 190419 SH SOLE 0 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 806207 90585 SH SOLE 90585 0 0 INVESCO PA VALUE MUN INC TR COM 46132K109 416447 40629 SH SOLE 40629 0 0 VISION SENSING ACQUISITION C *W EXP 99/99/999 92838J111 5873 225000 SH SOLE 0 0 0 VAST RENEWABLES LIMITED *W EXP 07/01/202 Q9379E113 2625 37500 SH SOLE 0 0 0 INVESCO TR INVT GRADE NEW YO COM 46131T101 393321 36588 SH SOLE 36588 0 0 WAYFAIR INC NOTE 1.000% 8/1 94419LAF8 2769300 3000000 PRN SOLE 3000000 0 0 WAYFAIR INC NOTE 3.250% 9/1 94419LAP6 50298750 38250000 PRN SOLE 38250000 0 0 WESTERN ACQSTN VENTURES CORP *W EXP 99/99/999 95758L115 5285 175000 SH SOLE 0 0 0 WARNER BROS DISCOVERY INC COM SER A 934423104 2198493 251832 SH SOLE 251832 0 0 WESTROCK COFFEE CO *W EXP 08/29/202 96145W111 115000 50000 SH SOLE 0 0 0 WOLFSPEED INC NOTE 1.875%12/0 977852AD4 43312500 77000000 PRN SOLE 77000000 0 0 WOLFSPEED INC COM 977852102 29500000 1000000 SH Put SOLE 1000000 0 0 WW INTL INC COM 98262P101 370000 200000 SH Put SOLE 200000 0 0 EXCELFIN ACQUISITION CORP *W EXP 10/25/202 30069X110 1350 25000 SH SOLE 0 0 0 SELECT SECTOR SPDR TR INDL 81369Y704 62980000 500000 SH Put SOLE 500000 0 0 XOMETRY INC NOTE 1.000% 2/0 98423FAB5 22772852 29985000 PRN SOLE 29985000 0 0 YS BIOPHARMA CO LTD *W EXP 03/15/202 G9845F117 8950 125000 SH SOLE 0 0 0 ZILLOW GROUP INC NOTE 1.375% 9/0 98954MAG6 68732588 55795000 PRN SOLE 55795000 0 0 ZOOMCAR HLDGS INC *W EXP 05/31/202 45784G119 2850 100000 SH SOLE 0 0 0 ZEO ENERGY CORP *W EXP 03/13/202 98944F117 6000 50000 SH SOLE 0 0 0 ZALATORIS II ACQUISITION COR *W EXP 99/99/999 G9831X122 1417 40482 SH SOLE 0 0 0 ZSCALER INC NOTE 0.125% 7/0 98980GAB8 22028100 16168000 PRN SOLE 16168000 0 0 ZURA BIO LTD *W EXP 99/99/999 G9TY5A119 20250 75000 SH SOLE 0 0 0