Chief Compliance Officer

0001009012-23-000007.txt : 20230807 0001009012-23-000007.hdr.sgml : 20230807 20230807114652 ACCESSION NUMBER: 0001009012-23-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230807 DATE AS OF CHANGE: 20230807 EFFECTIVENESS DATE: 20230807 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ZAZOVE ASSOCIATES LLC CENTRAL INDEX KEY: 0001009012 IRS NUMBER: 363984373 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05338 FILM NUMBER: 231146334 BUSINESS ADDRESS: STREET 1: 1001 TAHOE BLVD. CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 BUSINESS PHONE: 77529897500 MAIL ADDRESS: STREET 1: 1001 TAHOE BLVD. CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false true false 0001009012 XXXXXXXX 06-30-2023 06-30-2023 ZAZOVE ASSOCIATES LLC

1001 TAHOE BLVD. INCLINE VILLAGE NV 89451

13F HOLDINGS REPORT 028-05338 N Sam Ginocchio Chief Compliance Officer 7752987513 Sam Ginocchio Cincinnati OH 08-07-2023 0 135 1097029 false INFORMATION TABLE 2 13F_06_30_2023.xml AMPRIUS TECHNOLOGIES *W EXP 09/14/202 03214Q116 31 62719 SH SOLE 62719 0 0 ANTERO MIDSTREAM COM 03676B102 2610 225000 SH SOLE 225000 0 0 APOLLO SENIOR FLOATING RATE COM 037636107 187 14507 SH SOLE 14507 0 0 ARKO *W EXP 12/22/202 041242116 355 251013 SH SOLE 251013 0 0 BRC COM CL A 05601U105 708 137123 SH SOLE 137123 0 0 BETTER WORLD ACQUISITION *W EXP 11/15/202 08772B112 11 638248 SH SOLE 638248 0 0 BLACKROCK FLOATING RATE INCOME STRATEGIES FUND COM 09255X100 467 38276 SH SOLE 38276 0 0 BRAEMAR HOTELS & RESORTS COM 10482B101 8448 2101511 SH SOLE 2101511 0 0 BUTTERFLY NETWORK COM CL A 124155102 115 50000 SH SOLE 50000 0 0 CVR PARTNERS COM 126633205 6188 76700 SH SOLE 76700 0 0 CANO HEALTH COM CL A 13781Y103 35 25000 SH SOLE 25000 0 0 CANO HEALTH *W EXP 06/03/202 13781Y111 1178 5234094 SH SOLE 5234094 0 0 CLEAR CHANNEL HOLDINGS COM 18453H106 5545 4047637 SH SOLE 4047637 0 0 CUMULUS MEDIA COM CL A 231082801 5980 1458428 SH SOLE 1458428 0 0 DIGITAL WORLD ACQUISITION *W EXP 06/30/202 25400Q113 1016 384865 SH SOLE 384865 0 0 ENERGY TRANSFER COM UT LTD PTN 29273V100 190 15000 SH SOLE 15000 0 0 ENTERPRISE PRODUCTS PARTNERS COM 293792107 388 14710 SH SOLE 14710 0 0 FINANCE OF AMERICA COMPANIES *W EXP 04/08/202 31738L115 81 502865 SH SOLE 502865 0 0 GDL FUND COM SH BEN IT 361570104 2786 355151 SH SOLE 355151 0 0 GARRETT MOTION COM 366505105 6633 876184 SH SOLE 876184 0 0 GENESIS ENERGY UNIT LTD PARTN 371927104 103 10738 SH SOLE 10738 0 0 GOLDMAN SACHS MLP & ENERGY RENAISSANCE FUND COM 38148G206 1276 81345 SH SOLE 81345 0 0 GRANITE RIDGE RESOURCES COM 387432107 6924 1044274 SH SOLE 1044274 0 0 HELIX ENERGY SOLUTIONS GROUP COM 42330P107 148 20000 SH SOLE 20000 0 0 HERTZ GLOBAL *W EXP 06/30/205 42806J148 1148 113190 SH SOLE 113190 0 0 INDIE SEMICONDUCTOR *W EXP 06/10/202 45569U119 1453 607800 SH SOLE 607800 0 0 BLACKROCK ULTRA SHORTTERM BOND (ETF) BLACKROCK ULTRA 46434V878 4871 96846 SH SOLE 96846 0 0 JASPER THERAPEUTICS *W EXP 09/24/202 471871111 9 65456 SH SOLE 65456 0 0 KAYNE ANDERSON ENERGY INFRASTRUCTURE FUND COM 486606106 3814 468507 SH SOLE 468507 0 0 KAYNE ANDERSON NEXTGEN ENERGY & INFRA COM 48661E108 2536 357252 SH SOLE 357252 0 0 LANDSEA HOMES *W EXP 01/08/202 51509P111 635 2303532 SH SOLE 2303532 0 0 MIRION TECHNOLOGIES *W EXP 10/20/202 60471A119 1744 982613 SH SOLE 982613 0 0 NATIONAL CINEMEDIA COM 635309107 426 1264938 SH SOLE 1264938 0 0 NET POWER *W EXP 06/08/202 64107A113 3621 1066709 SH SOLE 1066709 0 0 NEW YORK COMMUNITY BANCORP TRUST UNIT 05/07/2051 64944P307 813 20148 SH SOLE 20148 0 0 NUVEEN CREDIT STRATEGIES INCOME FUND COM SHS 67073D102 1470 291105 SH SOLE 291105 0 0 OCCIDENTAL PETROLEUM *W EXP 08/03/202 674599162 18440 500000 SH SOLE 500000 0 0 OSISKO DEVELOPMENT COM NEW 68828E809 2870 625200 SH SOLE 625200 0 0 PETIQ COM CL A 71639T106 4684 308775 SH SOLE 308775 0 0 POLESTAR AUTOMOTIVE ADS C-1 731105102 17 24495 SH SOLE 24495 0 0 PROSHARES ULTRAPRO SHORT 20 YEAR 3X TREASURY ULSH 20YRTRE NEW 74347G887 1519 23100 SH SOLE 23100 0 0 PURECYCLE TECHNOLOGIES *W EXP 03/17/202 74623V111 1155 267037 SH SOLE 267037 0 0 RUMBLE *W EXP 09/16/202 78137L113 1948 918673 SH SOLE 918673 0 0 SANDSTORM GOLD COM NEW 80013R206 1894 370000 SH SOLE 370000 0 0 SIMPLIFY INTEREST RATE HEDGE SIMPLIFY INTERST 82889N855 3288 52380 SH SOLE 52380 0 0 SUNOPTA COM 8676EP108 1930 288539 SH SOLE 288539 0 0 BEAUTY HEALTH COM CL A 88331L108 2866 342404 SH SOLE 342404 0 0 USA COMPRESSION PARTNERS COMUNIT LTDPAR 90290N109 2995 151715 SH SOLE 151715 0 0 URBAN ONE CLASS A CL A 91705J105 3510 585978 SH SOLE 585978 0 0 URBAN ONE CLASS D CL D NON VTG 91705J204 14662 2443683 SH SOLE 2443683 0 0 VANGUARD ULTRA SHORT BOND VANGUARD ULTRA 92203C303 4916 100000 SH SOLE 100000 0 0 WESTROCK COFFEE *W EXP 08/29/202 96145W111 8457 2823651 SH SOLE 2823651 0 0 WHOLE EARTH BRANDS *W EXP 06/25/202 96684W126 42 206114 SH SOLE 206114 0 0 LANVIN GROUP *W EXP 01/14/202 G5380J118 312 1001938 SH SOLE 1001938 0 0 NWTN *W EXP 12/31/202 G6693P114 19 64571 SH SOLE 64571 0 0 PAYSAFE *W EXP 03/30/202 G6964L115 25 546914 SH SOLE 546914 0 0 TH INTERNATIONAL ORDINARY SHARES G8656L106 2952 1028587 SH SOLE 1028587 0 0 VAHANNA TECH EDGE ACQUISITION *W EXP 11/30/202 G9320Z117 6 150602 SH SOLE 150602 0 0 FREYR BATTERY *W EXP 09/01/202 L4135L118 1008 346411 SH SOLE 346411 0 0 AIRBNB NOTE 3/1 009066AB7 2945 3360000 PRN SOLE 0 0 0 AIR TRANSPORT SERVICES GROUP NOTE 1.125%10/1 00922RAB1 1892 2000000 PRN SOLE 0 0 0 AKAMAI TECHNOLOGIES NOTE 0.375% 9/0 00971TAL5 66579 68620000 PRN SOLE 0 0 0 ARES CAPITAL NOTE 4.625% 3/0 04010LAW3 22337 22213000 PRN SOLE 0 0 0 ASCENDIS PHARMA A/S NOTE 2.250% 4/0 04351PAD3 17163 18785000 PRN SOLE 0 0 0 BILL.COM HOLDINGS NOTE 12/0 090043AB6 16810 16040000 PRN SOLE 0 0 0 BIOMARIN PHARMACEUTICAL INC NOTE 1.250% 5/1 09061GAK7 5210 5150000 PRN SOLE 0 0 0 BRAEMAR HOTELS & RESORTS NOTE 4.500% 6/0 10482BAB7 21730 23260000 PRN SOLE 0 0 0 BROOKDALE SENIOR LIVING NOTE 2.000%10/1 112463AC8 790 1000000 PRN SOLE 0 0 0 CNX RESOURCES NOTE 2.250% 5/0 12653CAG3 3688 2500000 PRN SOLE 0 0 0 CHEFS WAREHOUSE NOTE 1.875%12/0 163086AB7 1088 1033000 PRN SOLE 0 0 0 CHEGG NOTE 9/0 163092AF6 193 257000 PRN SOLE 0 0 0 CONMED NOTE 2.625% 2/0 207410AF8 3895 2500000 PRN SOLE 0 0 0 CONMED NOTE 2.250% 6/1 207410AH4 4796 4290000 PRN SOLE 0 0 0 CORENERGY INFRASTRUCTURE TRUST NOTE 5.875% 8/1 21870UAC0 1132 1288000 PRN SOLE 0 0 0 CRACKER BARREL OLD COUNTRY STORE NOTE 0.625% 6/1 22410JAB2 22021 25868000 PRN SOLE 0 0 0 CUTERA NOTE 2.250% 6/0 232109AD0 4460 7140000 PRN SOLE 0 0 0 CYBERARK SOFTWARE NOTE 11/1 23248VAB1 25143 22104000 PRN SOLE 0 0 0 DATADOG NOTE 0.125% 6/1 23804LAB9 15347 12350000 PRN SOLE 0 0 0 DEXCOM INC NOTE 0.250%11/1 252131AK3 23647 22132000 PRN SOLE 0 0 0 DISH NETWORK NOTE 2.375% 3/1 25470MAD1 288 323000 PRN SOLE 0 0 0 DOCUSIGN NOTE 1/1 256163AD8 194 200000 PRN SOLE 0 0 0 ENPHASE ENERGY NOTE 3/0 29355AAH0 29937 31740000 PRN SOLE 0 0 0 ENPHASE ENERGY NOTE 3/0 29355AAK3 2359 2500000 PRN SOLE 0 0 0 ETSY NOTE 0.125%10/0 29786AAJ5 2966 2500000 PRN SOLE 0 0 0 ETSY NOTE 0.250% 6/1 29786AAN6 774 1000000 PRN SOLE 0 0 0 EURONET WORLDWIDE NOTE 0.750% 3/1 298736AL3 781 800000 PRN SOLE 0 0 0 EXPEDIA GROUP NOTE 2/1 30212PBE4 755 860000 PRN SOLE 0 0 0 FORD MOTOR NOTE 3/1 345370CZ1 22883 20910000 PRN SOLE 0 0 0 GUARDANT HEALTH NOTE 11/1 40131MAB5 4811 6670000 PRN SOLE 0 0 0 INNOVATE NOTE 7.500% 8/0 404139AG2 8036 12363000 PRN SOLE 0 0 0 HALOZYME THERAPEUTICS NOTE 0.250% 3/0 40637HAD1 7850 9418000 PRN SOLE 0 0 0 HELIX ENERGY SOLUTIONS GROUP NOTE 6.750% 2/1 42330PAK3 10231 7704000 PRN SOLE 0 0 0 ILLUMINA NOTE 8/1 452327AK5 814 820000 PRN SOLE 0 0 0 IMAX NOTE 0.500% 4/0 45245EAJ8 8303 9027000 PRN SOLE 0 0 0 INSULET NOTE 0.375% 9/0 45784PAK7 2756 2000000 PRN SOLE 0 0 0 INTEGRA LIFESCIENCES HOLDINGS NOTE 0.500% 8/1 457985AM1 1371 1500000 PRN SOLE 0 0 0 INTERDIGITAL NOTE 3.500% 6/0 45867GAD3 7898 5820000 PRN SOLE 0 0 0 JAZZ INVESTMENTS I NOTE 2.000% 6/1 472145AF8 39609 38885000 PRN SOLE 0 0 0 JOHN BEAN TECHNOLOGIES NOTE 0.250% 5/1 477839AB0 21830 22916000 PRN SOLE 0 0 0 KBR NOTE 2.500%11/0 48242WAB2 3205 1250000 PRN SOLE 0 0 0 KAMAN NOTE 3.250% 5/0 483548AF0 27324 28284000 PRN SOLE 0 0 0 LIBERTY INTERACTIVE (TMOBILE BASKET) DEB 3.750% 2/1 530715AL5 64 266000 PRN SOLE 0 0 0 LIBERTY MEDIA (SIRIUS XM BASKET) NOTE 1.375%10/1 531229AB8 16077 13819000 PRN SOLE 0 0 0 LYFT INC (144A) NOTE 1.500% 5/1 55087PAB0 225 250000 PRN SOLE 0 0 0 MGP INGREDIENTS NOTE 1.875%11/1 55303JAB2 32873 26457000 PRN SOLE 0 0 0 MESA LABORATORIES NOTE 1.375% 8/1 59064RAA7 21357 23777000 PRN SOLE 0 0 0 MIDDLEBY NOTE 1.000% 9/0 596278AB7 29536 23700000 PRN SOLE 0 0 0 NRG ENERGY DBCV 2.750% 6/0 629377CG5 41580 39316000 PRN SOLE 0 0 0 OKTA NOTE 0.375% 6/1 679295AF2 250 290000 PRN SOLE 0 0 0 PAGERDUTY NOTE 1.250% 7/0 69553PAB6 2383 2500000 PRN SOLE 0 0 0 PALO ALTO NETWORKS NOTE 0.375% 6/0 697435AF2 5148 2000000 PRN SOLE 0 0 0 PARSONS NOTE 0.250% 8/1 70202LAB8 55083 47932000 PRN SOLE 0 0 0 PEABODY ENERGY NOTE 3.250% 3/0 704551AD2 2702 2000000 PRN SOLE 0 0 0 PEBBLEBROOK HOTEL TRUST NOTE 1.750%12/1 70509VAA8 19011 22375000 PRN SOLE 0 0 0 PENNYMAC MORTGAGE INVESTMENT TRUST NOTE 5.500% 3/1 70932AAF0 284 319000 PRN SOLE 0 0 0 PETIQ NOTE 4.000% 6/0 71639TAB2 15274 16615000 PRN SOLE 0 0 0 PROSPECT CAPITAL NOTE 6.375% 3/0 74348TAT9 777 782000 PRN SOLE 0 0 0 RINGCENTRAL NOTE 3/1 76680RAH0 240 288000 PRN SOLE 0 0 0 SSR MINING NOTE 2.500% 4/0 784730AB9 64112 58350000 PRN SOLE 0 0 0 SEA LIMITED NOTE 2.375%12/0 81141RAF7 1735 1700000 PRN SOLE 0 0 0 SEA LIMITED NOTE 0.250% 9/1 81141RAG5 177 220000 PRN SOLE 0 0 0 SHIFT4 PAYMENTS NOTE 12/1 82452JAB5 1198 1100000 PRN SOLE 0 0 0 SMART GLOBAL HOLDINGS NOTE 2.250% 2/1 83205YAB0 1503 1000000 PRN SOLE 0 0 0 SOLAREDGE TECHNOLOGIES NOTE 9/1 83417MAD6 36770 30889000 PRN SOLE 0 0 0 SOUTHWEST AIRLINES NOTE 1.250% 5/0 844741BG2 70683 61205000 PRN SOLE 0 0 0 SPLUNK NOTE 1.125% 9/1 848637AD6 2179 2170000 PRN SOLE 0 0 0 SPLUNK NOTE 1.125% 6/1 848637AF1 1734 2000000 PRN SOLE 0 0 0 BLOCK NOTE 0.125% 3/0 852234AF0 1890 2000000 PRN SOLE 0 0 0 BLOCK NOTE 5/0 852234AJ2 249 300000 PRN SOLE 0 0 0 STRIDE NOTE 1.125% 9/0 86333MAA6 5854 6092000 PRN SOLE 0 0 0 SUMMIT HOTEL PROPERTIES NOTE 1.500% 2/1 866082AA8 3772 4415000 PRN SOLE 0 0 0 TYLER TECHNOLOGIES NOTE 0.250% 3/1 902252AB1 23592 22764000 PRN SOLE 0 0 0 VAREX IMAGING NOTE 4.000% 6/0 92214XAB2 15787 12331000 PRN SOLE 0 0 0 WESTERN DIGITAL NOTE 1.500% 2/0 958102AP0 485 500000 PRN SOLE 0 0 0 ZILLOW GROUP NOTE 1.375% 9/0 98954MAG6 3150 2500000 PRN SOLE 0 0 0