0000950123-18-011474.txt : 20181114 0000950123-18-011474.hdr.sgml : 20181114 20181114060919 ACCESSION NUMBER: 0000950123-18-011474 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 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: 181180179 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 09-30-2018 09-30-2018 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 11-14-2018 0 99 3286849 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F AEGERION PHARMACEUTICALS INC NOTE 2.000% 8/1 00767EAB8 5395 7200000 PRN SOLE 7200000 0 0 AES CORP COM 00130H105 945 67532 SH SOLE 67532 0 0 AETNA INC NEW COM 00817Y108 9980 49200 SH SOLE 49200 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 26948 12461000 PRN SOLE 12461000 0 0 ALTABA INC COM 021346101 544201 7988860 SH SOLE 7988860 0 0 AMBAC FINL GROUP INC COM NEW 023139884 12884 630936 SH SOLE 630936 0 0 AMERICAN AXLE & MFG HLDGS IN COM 024061103 6789 389285 SH SOLE 389285 0 0 AMKOR TECHNOLOGY INC COM 031652100 1783 241244 SH SOLE 241244 0 0 AMYRIS INC NOTE 9.500% 4/1 03236MAG6 7100 7136000 PRN SOLE 7136000 0 0 APACHE CORP COM 037411105 396 8313 SH SOLE 8313 0 0 APOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 03762UAB1 1488 1500000 PRN SOLE 1500000 0 0 ARROW ELECTRS INC COM 042735100 299 4054 SH SOLE 4054 0 0 ASCENT CAP GROUP INC NOTE 4.000% 7/1 043632AA6 8608 12430000 PRN SOLE 12430000 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 049164BJ4 8449 7000000 PRN SOLE 7000000 0 0 AVAYA HLDGS CORP COM 05351X101 13151 593971 SH SOLE 593971 0 0 AVIS BUDGET GROUP COM 053774105 3809 118518 SH SOLE 118518 0 0 BARRICK GOLD CORP COM 067901108 466 42078 SH SOLE 42078 0 0 BASIC ENERGY SVCS INC NEW COM NEW 06985P209 8496 850479 SH SOLE 850479 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 3203 305002 SH SOLE 305002 0 0 BLACKSTONE MTG TR INC NOTE 4.750% 3/1 09257WAC4 17893 18000000 PRN SOLE 18000000 0 0 BONANZA CREEK ENERGY INC COM NEW 097793400 596 20000 SH SOLE 20000 0 0 BUNGE LIMITED COM G16962105 15582 226779 SH SOLE 226779 0 0 C&J ENERGY SVCS INC NEW COM 12674R100 24187 1162816 SH SOLE 1162816 0 0 CAESARS ENTMT CORP NOTE 5.000%10/0 127686AA1 37436 22986560 PRN SOLE 22986560 0 0 CAMPBELL SOUP CO COM 134429109 601 16402 SH SOLE 16402 0 0 CONSTELLIUM NV CL A N22035104 1071 86750 SH SOLE 86750 0 0 CORENERGY INFRASTRUCTURE TR NOTE 7.000% 6/1 21870UAA4 26556 22932000 PRN SOLE 22932000 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 62430 642812 SH SOLE 642812 0 0 DEVON ENERGY CORP NEW COM 25179M103 284 7107 SH SOLE 7107 0 0 DOMTAR CORP COM NEW 257559203 495 9496 SH SOLE 9496 0 0 DONNELLEY R R & SONS CO COM 257867200 2557 473575 SH SOLE 473575 0 0 DOWDUPONT INC COM 26078J100 33117 514960 SH SOLE 514960 0 0 ENCORE CAP EUROPE FIN LTD NOTE 4.500% 9/0 29260UAA5 12788 12500000 PRN SOLE 12500000 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 14201 14173000 PRN SOLE 14173000 0 0 ENCORE CAP GROUP INC NOTE 3.250% 3/1 292554AK8 18868 18970000 PRN SOLE 18970000 0 0 FRONT YD RESIDENTIAL CORP COM 35904G107 1248 115000 SH SOLE 115000 0 0 GENERAL ELECTRIC CO COM 369604103 415 36790 SH SOLE 36790 0 0 GOGO INC COM 38046C109 2370 456575 SH SOLE 456575 0 0 GOPRO INC CL A 38268T103 371 51500 SH SOLE 51500 0 0 GOPRO INC NOTE 3.500% 4/1 38268IAA5 7238 7500000 PRN SOLE 7500000 0 0 GRIFOLS 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SOLE 13125000 0 0 NABORS INDUSTRIES LTD SHS G6359F103 3000 486984 SH SOLE 486984 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 4206 236035 SH SOLE 236035 0 0 NEW YORK MTG TR INC NOTE 6.250% 1/1 649604AD7 5135 5158000 PRN SOLE 5158000 0 0 NEWELL BRANDS INC COM 651229106 675 33240 SH SOLE 33240 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 5496 1374000 SH SOLE 1374000 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 25849 42549000 PRN SOLE 42549000 0 0 NRG ENERGY INC COM NEW 629377508 2213 59158 SH SOLE 59158 0 0 NXP SEMICONDUCTORS N V COM N6596X109 24462 286100 SH SOLE 286100 0 0 OI S A SPONSORED ADR NE 670851500 4352 1594210 SH SOLE 1594210 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 64417 3157682 SH SOLE 3157682 0 0 PARKER DRILLING CO COM NEW 701081408 1764 591844 SH SOLE 591844 0 0 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 21396 21681000 PRN SOLE 21681000 0 0 RANDGOLD RES LTD ADR 752344309 10329 146400 SH SOLE 146400 0 0 REDWOOD TR INC NOTE 5.625% 7/1 758075AD7 12829 13000000 PRN SOLE 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1013 84676 SH SOLE 84676 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 5073 178250 SH SOLE 178250 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 121444 127000000 PRN SOLE 127000000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 70227 68843000 PRN SOLE 68843000 0 0 TESLA INC PUT 88160R951 20652 78000 SH Put SOLE 78000 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 669 31050 SH SOLE 31050 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 36369 785000 SH SOLE 785000 0 0 TWITTER INC NOTE 0.250% 9/1 90184LAB8 3873 4000000 PRN SOLE 4000000 0 0 TWO HBRS INVT CORP COM NEW 90187B408 618 41394 SH SOLE 41394 0 0 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 60338 58687000 PRN SOLE 58687000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 31106 222488 SH SOLE 222488 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 4458 176985 SH SOLE 176985 0 0 VIACOM INC NEW CL B 92553P201 734 21748 SH SOLE 21748 0 0 WESTERN DIGITAL CORP COM 958102105 767 13100 SH SOLE 13100 0 0 WHIRLPOOL CORP COM 963320106 244 2058 SH SOLE 2058 0 0 YAHOO INC NOTE 12/0 984332AF3 25291 19903000 PRN SOLE 19903000 0 0