0000950123-16-021001.txt : 20161101 0000950123-16-021001.hdr.sgml : 20161101 20161101141610 ACCESSION NUMBER: 0000950123-16-021001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161101 DATE AS OF CHANGE: 20161101 EFFECTIVENESS DATE: 20161101 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: 161964261 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 09-30-2016 09-30-2016 Whitebox Advisors LLC

3033 Excelsior Blvd. Suite 300 Minneapolis MN 55416

13F HOLDINGS REPORT 028-10715 N Michael McCormick 612-253-6001 /S/ Michael McCormick Minneapolis MN 11-01-2016 0 79 2397385 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ABBOTT LABS PUT 002824950 2115 50000 SH Put SOLE 50000 0 0 AG MTG INVT TR INC COM 001228105 2458 156075 SH SOLE 156075 0 0 AK STL HLDG CORP COM 001547108 84 17300 SH SOLE 17300 0 0 ALIBABA GROUP HLDG LTD PUT 01609W952 12959 122500 SH Put SOLE 122500 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 66652 47250000 PRN SOLE 47250000 0 0 ALLERGAN PLC SHS G0177J108 11216 48699 SH SOLE 48699 0 0 ALLY FINL INC COM 02005N100 9687 497550 SH SOLE 497550 0 0 AMBAC FINL GROUP INC COM NEW 023139884 2272 123546 SH SOLE 123546 0 0 AMBAC FINL GROUP INC *W EXP 04/30/202 023139116 420 47701 SH SOLE 47701 0 0 AMERICAN AIRLS GROUP INC CALL 02376R902 9153 250000 SH Call SOLE 250000 0 0 AMERICAN CAP LTD COM 02503Y103 10676 631357 SH SOLE 631357 0 0 AMERICAN CAP MTG INVT CORP COM 02504A104 36793 2140385 SH SOLE 2140385 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 5863 300072 SH SOLE 300072 0 0 AMTRUST FINL SVCS INC NOTE 2.750%12/1 032359AG6 10350 12000000 PRN SOLE 12000000 0 0 ARMOUR RESIDENTIAL REIT INC COM NEW 042315507 18477 819760 SH SOLE 819760 0 0 BOYD GAMING CORP PUT 103304951 2176 110000 SH Put SOLE 110000 0 0 CLIFFS NAT RES INC COM 18683K101 2417 413109 SH SOLE 413109 0 0 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 29358 57707000 PRN SOLE 57707000 0 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 1575 96068 SH SOLE 96068 0 0 CORENERGY INFRASTRUCTURE TR NOTE 7.000% 6/1 21870UAA4 28336 28125000 PRN SOLE 28125000 0 0 COWEN GROUP INC NEW NOTE 3.000% 3/1 223622AB7 10622 11000000 PRN SOLE 11000000 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 9211 192704 SH SOLE 192704 0 0 DOMINION RES INC VA NEW COM NEW 25746U836 2345 47000 SH SOLE 47000 0 0 ENCORE CAP GROUP INC NOTE 2.875% 3/1 292554AH5 10629 13962000 PRN SOLE 13962000 0 0 ENCORE CAP GROUP INC NOTE 3.000% 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37500000 PRN SOLE 37500000 0 0 INTEROIL CORP COM 460951106 30615 601242 SH SOLE 601242 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 20424 1341047 SH SOLE 1341047 0 0 JAZZ US HLDGS INC NOTE 8.000%12/3 47216EAA8 14008 8779000 PRN SOLE 8779000 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 14145 22907000 PRN SOLE 22907000 0 0 LINKEDIN CORP NOTE 0.500%11/0 53578AAB4 70731 71400000 PRN SOLE 71400000 0 0 MEDIA GEN INC NEW COM 58441K100 4906 266193 SH SOLE 266193 0 0 MGM RESORTS INTERNATIONAL PUT 552953951 5206 200000 SH Put SOLE 200000 0 0 NII HLDGS INC COM PAR $0.001 62913F508 5136 1542257 SH SOLE 1542257 0 0 OCWEN FINL CORP COM NEW 675746309 943 256849 SH SOLE 256849 0 0 OFFICE DEPOT INC COM 676220106 1020 285592 SH SOLE 285592 0 0 PACIRA PHARMACEUTICALS INC NOTE 3.250% 2/0 695127AB6 17117 11350000 PRN SOLE 11350000 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 104566 7994337 SH SOLE 7994337 0 0 PDL BIOPHARMA INC NOTE 4.000% 2/0 69329YAF1 26933 27730000 PRN SOLE 27730000 0 0 RAYONIER 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