Whitebox Advisors LLC — Q3 2017 13F Holdings

Name: Whitebox Advisors LLC — 13F Holdings, Q3 2017
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001257391

Total reported value

$8.1B

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	✓	Spdr S&p 500 ETF Tr	ETF-Large Cap & Growth	32.72%	—	+161.76%
2	SPY	State Street SPDR S&P 500 ETF Trust	ETF-Large Cap & Growth	14.34%	—	+290.00%
3	AABAUSD	Altaba INC	Stock-Other	10.93%	—	-20.13%
4	PARR	Par Pacific Holdings INC	Stock-Energy	3.25%	—	-21.23%
5	TSLA 2.375 03-15-22	Tesla INC	Stock-Consumer Disc	2.48%	—	+130.00%
6	CJ1EUR	C&j Energy Services INC	Stock-Other	2.29%	—	+3.23%
7	✓	Bonanza Creek Energy I Com	Stock-Other	2.24%	—	+0.05%
8	ATI 4.75 07-01-22	Allegheny Technologies	Stock-Industrials	1.77%	—	-16.41%
9	✓		Stock-Other	1.68%	—	+23.96%
10	DELL	Dell Technologies Inc.	Stock-Tech	1.49%	—	+65.69%
11	UPL1EUR	Ultra Petroleum CORP	Stock-Other	1.43%	—	—
12	✓		Stock-Other	1.28%	—	-50.00%
13	TSLA 1.25 03-01-21	Tesla INC	Stock-Consumer Disc	1.25%	—	+52.00%
14	REGI 4 06-15-36	Renewable Energy Group I	Stock-Other	1.18%	—	-11.46%
15	AABA 0 12-01-18	Altaba INC	Stock-Other	1.09%	—	-54.02%
16	TCOM 1.25 10-15-18	Ctrip.com Intl LTD	Stock-Consumer Disc	1.01%	—	—
17	TSLA 0.25 03-01-19	Tesla INC	Stock-Consumer Disc	1.00%	—	+47.62%
18	NXPI	NXP Semiconductors N.V.	Stock-Tech	0.99%	—	-37.98%
19	✓	Rh	Stock-Other	0.92%	—	—
20	VAL	Valaris Limited	Stock-Energy	0.73%	—	—
21	TWXCHF	Time Warner INC	Stock-Other	0.72%	—	-12.71%
22	BASEUR	Basic Energy Services INC	Stock-Other	0.71%	—	+379.75%
23	PDLI 2.75 12-01-21	Pdl Biopharma INC	Stock-Other	0.71%	—	-11.41%
24	SMHC	VanEck China Semiconductor ETF	ETF-Emerging Markets	0.67%	—	—
25	✓	Spdr Ser Tr	Stock-Other	0.58%	—	—
26	ECPG 3 07-01-20	Encore Capital Group INC	Stock-Other	0.57%	—	—
27	✓	General Mtrs Co	Stock-Other	0.57%	—	—
28	CORR 7 06-15-20	Corenergy Infrastructure	Stock-Other	0.52%	—	+0.65%
29	ADAM 6.25 01-15-22	New York Mortgage Trust	Stock-Other	0.52%	—	-0.56%
30	MCHP 1.625 02-15-25	Microchip Technology INC	Stock-Tech	0.52%	—	—
31	✓	Rithm Capital CORP	Stock-Other	0.49%	—	—
32	NVAX 3.75 02-01-23	Novavax INC	Stock-Healthcare	0.48%	—	+44.54%
33	BXMT 5.25 12-01-18	Blackstone Mortgage Tr	Stock-Real Estate	0.48%	—	—
34	RYAAY	Ryanair Holdings Plc-sp Adr	Stock-Industrials	0.46%	—	+1.65%
35	TSLAEN 2.75 11-01-18	Tesla Energy Operations	Stock-Other	0.41%	—	+366.67%
36	RITM	Rithm Capital CORP	Stock-Real Estate	0.41%	—	—
37	GOGO	Gogo INC	Stock-Other	0.33%	—	+25.88%
38	✓	At&t INC	Stock-Other	0.31%	—	—
39	TSLA	Tesla, Inc.	Stock-Consumer Disc	0.30%	—	—
40	CZR	Caesars Entertainment, Inc.	Stock-Consumer Disc	0.29%	—	—
41	KEGEUR	Key Energy Services INC	Stock-Other	0.29%	—	+6.96%
42	LINTA 4 11-15-29	Liberty Interactive LLC	Stock-Other	0.27%	—	-47.15%
43	NFLX	Netflix, Inc.	Stock-Comm Services	0.27%	—	—
44	HLIT 4 12-01-20	Harmonic INC	Stock-Other	0.26%	—	-13.48%
45	F	Ford Motor Company	Stock-Consumer Disc	0.25%	—	—
46	WMC 6.75 10-01-22	Western Asset Mtge Cap	Stock-Other	0.25%	—	—
47	DISH 3.375 08-15-26	Dish Network CORP	Stock-Other	0.25%	—	—
48	SSSS 5.25 09-15-18	Gsv Capital CORP	Stock-Other	0.24%	—	—
49	✓	Mtge Invt CORP Com	Stock-Other	0.23%	—	-65.79%
50	CRK 7.75 04-01-19 *	Comstock Resources INC	Stock-Other	0.23%	—	—

1–50 of 93

Holding changes this quarter

Position changes disclosed by Whitebox Advisors LLC for the quarter ending Q3 2017, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	✓	Spdr S&p 500 ETF Tr	+16.2%	+161.76%	Add
2	SPY	State Street SPDR S&P 500 ETF Trust	+9.5%	+290.00%	Add
3	TSLA 2.375 03-15-22	Tesla INC	+1%	+130.00%	Add
4	DELL	Dell Technologies Inc.	+0.5%	+65.69%	Add
5	BASEUR	Basic Energy Services INC	+0.5%	+379.75%	Add
6	✓		+0.3%	+23.96%	Add
7	TSLAEN 2.75 11-01-18	Tesla Energy Operations	+0.3%	+366.67%	Add
8	TSLA 1.25 03-01-21	Tesla INC	+0.1%	+52.00%	Add
9	NVAX 3.75 02-01-23	Novavax INC	+0.1%	+44.54%	Add
10	TSLA 0.25 03-01-19	Tesla INC	0%	+47.62%	Add
11	UIS 5.5 03-01-21	Unisys CORP	-0.2%	-23.08%	Trim
12	GOGO 3.75 03-01-20	Gogo INC	-0.3%	-42.12%	Trim
13	HLIT 4 12-01-20	Harmonic INC	-0.3%	-13.48%	Trim
14	LINTA 4 11-15-29	Liberty Interactive LLC	-0.4%	-47.15%	Trim
15	ATI 4.75 07-01-22	Allegheny Technologies	-0.5%	-16.41%	Trim
16	✓	Mtge Invt CORP Com	-0.7%	-65.79%	Trim
17	REGI 4 06-15-36	Renewable Energy Group I	-0.7%	-11.46%	Trim
18	UPL1EUR	Ultra Petroleum CORP	-1%	—	Unchanged
19	NXPI	NXP Semiconductors N.V.	-1.1%	-37.98%	Trim
20	CJ1EUR	C&j Energy Services INC	-1.2%	+3.23%	Add
21	PARR	Par Pacific Holdings INC	-1.7%	-21.23%	Trim
22	AABA 0 12-01-18	Altaba INC	-1.8%	-54.02%	Trim
23	✓		-2%	-50.00%	Trim
24	AABAUSD	Altaba INC	-4.6%	-20.13%	Trim
25	✓	Ishares Tr	—	EXIT	Sold out
26	✓	Ishares Tr	—	EXIT	Sold out
27	✓	Rh	—	NEW	New buy
28	TWO 6.25 01-15-22	Two Harbors Inv CORP	—	EXIT	Sold out
29	TSEMIT 8 12-31-18	Jazz US Holdings INC	—	EXIT	Sold out
30	VAL	Valaris Limited	—	NEW	New buy
31	SMHC	VanEck China Semiconductor ETF	—	NEW	New buy
32	✓	Chimera Invt CORP	—	EXIT	Sold out
33	TWTR 1 09-15-21	Twitter INC	—	EXIT	Sold out
34	IMGN 4.5 07-01-21	Immunogen INC	—	EXIT	Sold out
35	✓	Vaneck ETF Trust	—	EXIT	Sold out
36	OSVEUR	Vaneck Vectors Oil Services	—	EXIT	Sold out
37	CZR	Caesars Entertainment, Inc.	—	NEW	New buy
38	AMD 2.125 09-01-26	Advanced Micro Devices	—	EXIT	Sold out
39	WMC 6.75 10-01-22	Western Asset Mtge Cap	—	NEW	New buy
40	DISH 3.375 08-15-26	Dish Network CORP	—	NEW	New buy
41	ABR 6.5 10-01-19	Arbor Realty Trust INC	—	NEW	New buy
42	HPE	Hewlett Packard Enterprise	—	EXIT	Sold out
43	BKNG	Booking Hldgs INC	—	NEW	New buy
44	WFRD	Weatherford International plc	—	EXIT	Sold out
45	BMRN 0.599 08-01-24	Biomarin Pharmaceutical	—	NEW	New buy
46	✓	Level 3 Communications INC	—	EXIT	Sold out
47	GRFS	Grifols Sa-adr	—	NEW	New buy
48	ECPG 3 11-27-17	Encore Capital Group INC	—	EXIT	Sold out
49	✓	General Mtrs Co	—	EXIT	Sold out
50	HUN	Huntsman CORP	—	NEW	New buy