0001085146-15-001554.txt : 20150803
0001085146-15-001554.hdr.sgml : 20150801
20150731202708
ACCESSION NUMBER: 0001085146-15-001554
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150630
FILED AS OF DATE: 20150803
DATE AS OF CHANGE: 20150731
EFFECTIVENESS DATE: 20150803
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MACKAY SHIELDS LLC
CENTRAL INDEX KEY: 0000061227
IRS NUMBER: 134080466
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-00046
FILM NUMBER: 151020700
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-230-3811
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
FORMER COMPANY:
FORMER CONFORMED NAME: MACKAY SHIELDS FINANCIAL CORP
DATE OF NAME CHANGE: 19920929
13F-HR
1
primary_doc.xml
13F-HR
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06-30-2015
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MACKAY SHIELDS LLC
1345 AVENUE OF THE AMERICAS
42ND FLOOR
NEW YORK
NY
10105
13F HOLDINGS REPORT
028-00046
N
Rene A. Bustamante
Chief Compliance Officer
212-230-3811
/s/ Rene A. Bustamante
New York
NY
07-22-2015
3
133
1953757
1
0001133639
028-06325
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
2
0000861177
028-02682
UBS GLOBAL ASSET MANAGEMENT AMERICAS INC
3
0001125816
028-06487
FIRST TRUST ADVISORS LP
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
AIR LEASE CORP
NOTE 3.875%12/0
00912XAK0
23770
17810000
PRN
OTR
1
3766000
13744000
300000
AIRTRAN HLDGS INC
NOTE 5.250%11/0
00949PAD0
19232
7943000
PRN
OTR
1
7693000
250000
0
ALCOA INC
DEP SHS 1/10TH
013817309
7811
197600
SH
OTR
1
50400
147200
0
ALLERGAN PLC
PFD CONV SER A
G0177J116
27885
26730
SH
OTR
1
11102
15162
466
ALZA CORP
SDCV 7/2
02261WAB5
9600
7154000
PRN
SOLE
7154000
0
0
AMERICAN TOWER CORP NEW
PFD CONV SER A
03027X308
26963
266639
SH
OTR
1
119923
140589
6127
ANTHEM INC
UNIT 05/01/20188
036752202
6945
131800
SH
SOLE
131800
0
0
APOLLO INVT CORP
NOTE 5.750% 1/1
03761UAE6
9927
9709000
PRN
SOLE
9709000
0
0
ARCELORMITTAL SA LUXEMBOURG
MAND CV NT 16
L0302D178
1436
92000
SH
OTR
1
8000
84000
0
ARES CAP CORP
NOTE 4.750% 1/1
04010LAJ2
11438
11132000
PRN
SOLE
11132000
0
0
ARES CAP CORP
NOTE 5.750% 2/0
04010LAB9
2029
1989000
PRN
OTR
1
1810000
5000
174000
ARRAY BIOPHARMA INC
NOTE 3.000% 6/0
04269XAA3
6185
4880000
PRN
OTR
1
130000
4750000
0
ATLAS AIR WORLDWIDE HLDGS IN
NOTE 2.250% 6/0
049164BH8
9794
10000000
PRN
OTR
1
185000
9815000
0
BANK AMER CORP
7.25%CNV PFD L
060505682
13061
11745
SH
OTR
1
10680
418
647
BANK AMER CORP
COM
060505104
7996
469774
SH
OTR
1
0
469774
0
BIOMARIN PHARMACEUTICAL INC
NOTE 0.750%10/1
09061GAE1
37732
24419000
PRN
OTR
1
7215000
16772000
432000
BLACKROCK FLA MUN 2020 TERM
COM SHS
09250M109
1724
116357
SH
SOLE
116357
0
0
BLACKROCK MUNIC BD INVST TR
COM
09249K107
701
50000
SH
OTR
1
24992
25008
0
BLACKROCK MUNIHLDGS NJ QLTY
COM
09254X101
292
22040
SH
SOLE
22040
0
0
BLACKROCK MUNIHLDNGS CALI QL
COM
09254L107
2588
184842
SH
OTR
1
126866
57976
0
BLACKROCK MUNIHLDS INVSTM QL
COM
09254P108
3124
225594
SH
OTR
1
0
225594
0
BLACKROCK MUNIHOLDNGS QLTY I
COM
09254A101
3672
283145
SH
OTR
1
145356
137789
0
BLACKROCK MUNIYIELD CALI QLT
COM
09254N103
235
16228
SH
OTR
1
0
16228
0
BLACKROCK MUNIYIELD FD INC
COM
09253W104
1450
104738
SH
OTR
1
40438
64300
0
BLACKROCK MUNIYLD INVST QLTY
COM
09254T100
1156
87573
SH
OTR
1
49408
38165
0
BOTTOMLINE TECH DEL INC
NOTE 1.500%12/0
101388AA4
25647
22993000
PRN
OTR
1
8297000
14364000
332000
CAMERON INTERNATIONAL CORP
COM
13342B105
4190
80000
SH
OTR
1
0
80000
0
CARRIAGE SVCS INC
NOTE 2.750% 3/1
143905AM9
13721
11446000
PRN
OTR
1
242000
11204000
0
CHART INDS INC
NOTE 2.000% 8/0
16115QAC4
27018
27837000
PRN
OTR
1
8814000
18707000
316000
CIENA CORP
DEBT 4.000%12/1
171779AK7
155
110000
PRN
SOLE
110000
0
0
CIENA CORP
NOTE 0.875% 6/1
171779AE1
2102
2094000
PRN
OTR
1
1909000
5000
180000
CIENA CORP
NOTE 0.875% 6/1
171779AE1
114
113000
PRN
SOLE
113000
0
0
CITRIX SYS INC
NOTE 0.500% 4/1
177376AD2
18664
17587000
PRN
OTR
1
9206000
8381000
0
CORNERSTONE ONDEMAND INC
NOTE 1.500% 7/0
21925YAB9
16466
16233000
PRN
OTR
1
436000
15797000
0
CROWN CASTLE INTL CORP NEW
CNV PFD STK SR A
22822V200
20615
199755
SH
OTR
1
50200
149555
0
DANAHER CORP DEL
NOTE 1/2
235851AF9
63062
25379000
PRN
OTR
1
10416000
14639000
324000
DELTA AIR LINES INC DEL
COM NEW
247361702
13306
323913
SH
OTR
1
0
323913
0
DEPOMED INC
NOTE 2.500% 9/0
249908AA2
15538
12114000
PRN
OTR
1
4844000
6834000
436000
DOMINION RES INC VA NEW
UNIT 99/99/9999
25746U869
1105
23200
SH
SOLE
23200
0
0
DYNEGY INC NEW DEL
COM
26817R108
384
13120
SH
OTR
1
0
13120
0
EATON VANCE NEW YORK MUN BD
COM
27827Y109
180
14632
SH
SOLE
14632
0
0
ECHO GLOBAL LOGISTICS INC
NOTE 2.500% 5/0
27875TAA9
11813
10951000
PRN
OTR
1
260000
10691000
0
FIAT CHRYSLER AUTOMOBILES N
MAN COV SEC 16
N31738110
25857
204973
SH
OTR
1
76193
124449
4331
FLUIDIGM CORP DEL
NOTE 2.750% 2/0
34385PAA6
1990
2263000
PRN
OTR
1
2067000
5000
191000
FORD MTR CO DEL
COM PAR $0.01
345370860
27686
1844500
SH
OTR
1 3
160000
1684500
0
GENERAL MTRS CO
COM
37045V100
23300
699066
SH
OTR
1 3
323719
375347
0
GILEAD SCIENCES INC
NOTE 1.625% 5/0
375558AP8
62253
12069000
PRN
OTR
1
3897000
8172000
0
GOLDCORP INC NEW
COM
380956409
1247
76945
SH
OTR
1
11745
65200
0
HALLIBURTON CO
COM
406216101
8042
186718
SH
OTR
1
0
186718
0
HEALTH CARE REIT INC
PFD PER CON I
42217K601
5850
97900
SH
OTR
1
23300
74600
0
HELIX ENERGY SOLUTIONS GRP I
NOTE 3.250% 3/1
42330PAG2
33338
35077000
PRN
OTR
1
14288000
20147000
642000
HOLOGIC INC
DEBT 2.000% 3/0
436440AC5
22769
17240000
PRN
OTR
1
3671000
13245000
324000
HOMEAWAY INC
NOTE 0.125% 4/0
43739QAB6
42537
44166000
PRN
OTR
1
12120000
32046000
0
HORNBECK OFFSHORE SVCS INC N
NOTE 1.500% 9/0
440543AN6
2456
3000000
PRN
OTR
1
0
3000000
0
ILLUMINA INC
NOTE 0.500% 6/1
452327AH2
14651
11864000
PRN
OTR
1
4455000
7010000
399000
ILLUMINA INC
NOTE 6/1
452327AF6
20759
17658000
PRN
OTR
1
10659000
6999000
0
INSULET CORP
NOTE 2.000% 6/1
45784PAD3
6522
6724000
PRN
OTR
1
1653000
5071000
0
INTEL CORP
SDCV 12/1
458140AD2
2291
1904000
PRN
OTR
1
1737000
5000
162000
INTEL CORP
SDCV 12/1
458140AD2
5326
4418000
PRN
SOLE
4418000
0
0
INTEL CORP
SDCV 3.250% 8/0
458140AF7
2910
1913000
PRN
OTR
1
1743000
5000
165000
INTEL CORP
SDCV 3.250% 8/0
458140AF7
14496
9517000
PRN
SOLE
9517000
0
0
INVENSENSE INC
NOTE 1.750%11/0
46123DAB2
6546
6762000
PRN
OTR
1
118000
6644000
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
5780
526929
SH
OTR
1
197735
329194
0
INVESCO MUN TR
COM
46131J103
7436
618596
SH
OTR
1
389697
228899
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
3848
325522
SH
OTR
1
234076
91446
0
JARDEN CORP
NOTE 1.125% 3/1
471109AM0
17541
15000000
PRN
OTR
1
1350000
13650000
0
JARDEN CORP
NOTE 1.875% 9/1
471109AH1
49066
29201000
PRN
OTR
1
5859000
22852000
490000
LAM RESEARCH CORP
NOTE 0.500% 5/1
512807AJ7
16092
12088000
PRN
SOLE
12088000
0
0
LAM RESEARCH CORP
NOTE 1.250% 5/1
512807AL2
22358
15724000
PRN
OTR
1
4413000
10992000
319000
LIBERTY MEDIA CORP
DEB 3.500% 1/1
530715AN1
2309
4429000
PRN
OTR
1
3712000
717000
0
LIBERTY MEDIA CORP DELAWARE
NOTE 1.375%10/1
531229AB8
14669
15389000
PRN
OTR
1
5065000
9854000
470000
LIVE NATION ENTERTAINMENT IN
DBCV 2.500% 5/1
538034AJ8
27167
25111000
PRN
OTR
1
6271000
18840000
0
MACQUARIE INFRASTRUCTURE COR
NOTE 2.875% 7/1
55608BAA3
50212
42463000
PRN
OTR
1
15226000
26793000
444000
MEDICINES CO
DBCV 1.375% 6/0
584688AC9
8412
7039000
PRN
OTR
1
0
7039000
0
MEDIDATA SOLUTIONS INC
NOTE 1.000% 8/0
58471AAB1
38226
32224000
PRN
OTR
1
4601000
27623000
0
MFS HIGH INCOME MUN TR
SH BEN INT
59318D104
922
200000
SH
OTR
1
100000
100000
0
MFS HIGH YIELD MUN TR
SH BEN INT
59318E102
357
86802
SH
OTR
1
0
86802
0
MFS MUN INCOME TR
SH BEN INT
552738106
1187
184560
SH
OTR
1
67817
116743
0
MICROCHIP TECHNOLOGY INC
SDCV 2.125%12/1
595017AB0
3609
1891000
PRN
OTR
1
1728000
5000
158000
MICRON TECHNOLOGY INC
NOTE 3.000%11/1
595112AY9
15730
17321000
PRN
OTR
1
4717000
12604000
0
NEW GOLD INC CDA
COM
644535106
1645
611671
SH
OTR
1
115812
495859
0
NEWMONT MINING CORP
NOTE 1.625% 7/1
651639AJ5
4855
4792000
PRN
SOLE
4792000
0
0
NEWPARK RES INC
NOTE 4.000%10/0
651718AC2
11763
11187000
PRN
OTR
1
4645000
6112000
430000
NEXTERA ENERGY INC
UNIT 09/01/2015
65339F887
11120
179500
SH
SOLE
179500
0
0
NOVELLUS SYS INC
NOTE 2.625% 5/1
670008AD3
16405
6884000
PRN
SOLE
6884000
0
0
NUANCE COMMUNICATIONS INC
NOTE 2.750%11/0
67020YAF7
5131
5071000
PRN
OTR
1
4631000
12000
428000
NUVEEN CAL AMT-FREE MUN INC
COM
670651108
1002
70693
SH
OTR
1
0
70693
0
NUVEEN DIV ADVANTAGE MUN FD
COM
67070F100
520
38744
SH
OTR
1
0
38744
0
NUVEEN DIVID ADV MUN FD 3
COM SH BEN INT
67070X101
7806
584300
SH
OTR
1
391532
192768
0
NUVEEN MICH QUALITY INCOME M
COM
670979103
3511
265011
SH
OTR
1
151604
113407
0
NUVEEN MUN ADVANTAGE FD INC
COM
67062H106
5172
397849
SH
OTR
1
299782
98067
0
NUVEEN MUN MKT OPPORTUNITY F
COM
67062W103
10681
828004
SH
OTR
1
602595
225409
0
NUVEEN NY AMT FREE MUN INCOM
COM
670656107
6850
545845
SH
OTR
1
290316
255529
0
NUVEEN NY DIVID ADVNTG MUN F
COM
67066X107
174
12886
SH
OTR
1
9173
3713
0
NUVEEN PA INVT QUALITY MUN F
COM
670972108
7892
600119
SH
OTR
1
398405
201714
0
NUVEEN PERFORMANCE PLUS MUN
COM
67062P108
1870
133284
SH
OTR
1
0
133284
0
NUVEEN QUALITY INCOME MUN FD
COM
670977107
3338
250228
SH
OTR
1
118321
131907
0
NVIDIA CORP
NOTE 1.000%12/0
67066GAC8
16032
13933000
PRN
OTR
1
359000
13574000
0
OMNICARE INC
NOTE 3.500% 2/1
681904AQ1
10828
7582000
PRN
OTR
1
6915000
18000
649000
ON SEMICONDUCTOR CORP
NOTE 2.625%12/1
682189AH8
6876
5556000
PRN
OTR
1
5072000
13000
471000
PRICELINE GRP INC
DEBT 1.000% 3/1
741503AQ9
33155
24820000
PRN
OTR
1
3686000
20965000
169000
PRICELINE GRP INC
NOTE 0.350% 6/1
741503AS5
23379
20991000
PRN
OTR
1
8316000
12675000
0
PROOFPOINT INC
NOTE 1.250%12/1
743424AB9
15098
8904000
PRN
OTR
1
1441000
7463000
0
RADIAN GROUP INC
NOTE 2.250% 3/0
750236AN1
13052
7335000
PRN
OTR
1
0
7335000
0
RAMBUS INC DEL
NOTE 1.125% 8/1
750917AE6
9677
7266000
PRN
OTR
1
1898000
5368000
0
RPM INTL INC
NOTE 2.250%12/1
749685AT0
14297
12233000
PRN
SOLE
12233000
0
0
RPM INTL INC
NOTE 2.250%12/1
749685AT0
2425
2084000
PRN
OTR
1
1894000
5000
185000
SALESFORCE COM INC
NOTE 0.250% 4/0
79466LAD6
28290
23235000
PRN
OTR
1
9449000
13360000
426000
SANDISK CORP
NOTE 0.500%10/1
80004CAF8
24952
25636000
PRN
OTR
1
5749000
19427000
460000
SEACOR HOLDINGS INC
NOTE 2.500%12/1
811904AM3
4432
4308000
PRN
OTR
1
50000
4258000
0
SOLARCITY CORP
NOTE 2.750%11/0
83416TAA8
4655
4305000
PRN
OTR
1
3926000
10000
369000
SOUTHWESTERN ENERGY CO
DEP SHS 1/20 B
845467208
21408
433619
SH
OTR
1
109884
314389
9346
SPDR GOLD TRUST
GOLD SHS
78463V107
19035
169400
SH
OTR
1
0
169400
0
STANLEY BLACK & DECKER INC
UNIT 11/17/20166
854502804
20534
170000
SH
OTR
1
44000
126000
0
STANLEY BLACK & DECKER INC
UNIT 99/99/9999
854502309
47300
327515
SH
OTR
1
154173
168581
4761
STONE ENERGY CORP
NOTE 1.750% 3/0
861642AN6
15558
16956000
PRN
OTR
1
4749000
12029000
178000
T MOBILE US INC
CONV PFD SER A
872590203
13338
197600
SH
OTR
1
52300
145300
0
TELEFLEX INC
NOTE 3.875% 8/0
879369AA4
57746
26134000
PRN
OTR
1
10533000
15148000
453000
TEVA PHARMACEUTICAL FIN LLC
DBCV 0.250% 2/0
88163VAE9
56142
40043000
PRN
OTR
1
16268000
23454000
321000
TYSON FOODS INC
UNIT 99/99/9999
902494301
21611
419561
SH
OTR
1
188337
221680
9544
UNITED STATES STL CORP NEW
NOTE 2.750% 4/0
912909AH1
16050
14509000
PRN
OTR
1
2209000
12132000
168000
UNITED TECHNOLOGIES CORP
UNIT 06/01/2015
913017117
35953
627463
SH
OTR
1
253387
367342
6734
VERINT SYS INC
COM
92343X100
3
53
SH
SOLE
53
0
0
VERINT SYS INC
NOTE 1.500% 6/0
92343XAA8
40991
36099000
PRN
OTR
1
10460000
25192000
447000
WABASH NATL CORP
NOTE 3.375% 5/0
929566AH0
29332
23271000
PRN
OTR
1
8213000
14744000
314000
WELLPOINT INC
NOTE 2.750%10/1
94973VBG1
41588
18909000
PRN
OTR
1
6737000
12172000
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
4541
3865
SH
OTR
1
3578
10
277
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
9174
7808
SH
SOLE
7408
400
0
WESCO INTL INC
DBCV 6.000% 9/1
95082PAH8
26094
10759000
PRN
OTR
1
4107000
6498000
154000
WEYERHAEUSER CO
PREF CONV SER A
962166872
2272
43700
SH
SOLE
43700
0
0
XILINX INC
NOTE 2.625% 6/1
983919AF8
39345
25385000
PRN
OTR
1
15234000
9860000
291000
XPO LOGISTICS INC
NOTE 4.500%10/0
983793AA8
36849
13216000
PRN
OTR
1
4099000
8851000
266000
YAHOO INC
NOTE 12/0
984332AF3
5437
5275000
PRN
OTR
1
5000000
275000
0