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
Chief Financial Officer
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