Whitebox Advisors LLC — Q3 2019 13F Holdings

Name: Whitebox Advisors LLC — 13F Holdings, Q3 2019
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	37.18%	—	+50.00%
2	AABAUSD	Altaba INC	Stock-Other	5.36%	—	-20.76%
3	DELL	Dell Technologies -c	Stock-Tech	4.44%	—	+138.51%
4	I 4.5 06-15-25	Intelsat SA	Stock-Other	4.07%	—	—
5	TSLA 2 05-15-24	Tesla INC	Stock-Consumer Disc	3.63%	—	+13.87%
6	BXMT 4.375 05-05-22	Blackstone Mortgage Tr	Stock-Real Estate	2.59%	—	-0.15%
7	IACIEUR	Iac/interactivecorp	Stock-Other	2.16%	—	—
8	ABR 5.25 07-01-21	Arbor Realty Trust INC	Stock-Real Estate	2.10%	—	—
9	✓		Stock-Other	2.07%	—	+178.54%
10	CELG	Celgene CORP	Stock-Other	1.99%	—	-10.43%
11	GLD	SPDR Gold Shares	ETF-Commodities	1.92%	—	-23.98%
12	✓	Contura Energy INC	Stock-Other	1.81%	—	-21.89%
13	TSLA 1.25 03-01-21	Tesla INC	Stock-Consumer Disc	1.75%	—	-4.81%
14	MPC	Marathon Petroleum CORP	Stock-Energy	1.72%	—	—
15	GRFS	Grifols Sa-adr	Stock-Other	1.59%	—	+22.83%
16	MCHP 1.625 02-15-25	Microchip Technology INC	Stock-Tech	1.46%	—	—
17	ARI 4.75 08-23-22	Apollo Cmmrl Real Est Fi	Stock-Other	1.40%	—	+49.67%
18	✓	Encana CORP	Stock-Other	1.27%	—	-11.78%
19	TSLA 2.375 03-15-22	Tesla INC	Stock-Consumer Disc	1.16%	—	+5.02%
20	BXMT 4.75 03-15-23	Blackstone Mortgage Tr	Stock-Real Estate	1.09%	—	+4.78%
21	COVPHA 3.25 06-01-22	Covis Finco Sarl	Stock-Other	1.05%	—	+44.54%
22	BG	Bunge Global SA	Stock-Consumer Staples	0.99%	—	-15.87%
23	✓	Dbx ETF Tr	ETF-Other	0.98%	—	-50.00%
24	LQD	Ishr Ibx Usd Invgd Cb Etf-ui	ETF-Corp Bonds	0.92%	—	—
25	HEI-A	Heico Corp-class A	Stock-Other	0.92%	—	—
26	UTXZ	United Tech CORP	Stock-Other	0.77%	—	+3.67%
27	IIVI 0.5 12-15-36	Finisar CORP	Stock-Other	0.72%	—	—
28	ECPG 4.5 09-01-23	Encore Cap Eur Finance	Stock-Other	0.72%	—	+32.76%
29	✓	Qudian INC	Stock-Other	0.72%	—	+10.53%
30	ECPG 3.25 03-15-22	Encore Capital Group INC	Stock-Other	0.67%	—	-5.19%
31	NVAX 3.75 02-01-23	Novavax INC	Stock-Healthcare	0.67%	—	—
32	RITM	Rithm Capital CORP	Stock-Real Estate	0.66%	—	+4.69%
33	CCO	Clear Channel Outdoor Holdin	Stock-Other	0.65%	—	+86.53%
34	✓	Pacific Drilling SA Luxembou	Stock-Other	0.64%	—	-2.72%
35	TEVA 0.25 02-01-26 C	Teva Pharm Fin Co LLC	Stock-Healthcare	0.53%	—	+14.29%
36	ARI 5.375 10-15-23	Apollo Cmmrl Real Est Fi	Stock-Other	0.50%	—	—
37	TSLA	Tesla, Inc.	Stock-Consumer Disc	0.44%	—	—
38	CJ1EUR	C&j Energy Services INC	Stock-Other	0.40%	—	-15.69%
39	RWT 5.625 07-15-24	Redwood Trust INC	Stock-Other	0.39%	—	-59.75%
40	VEDL	Vedanta Ltd-adr	Stock-Other	0.35%	—	+113.24%
41	PARR	Par Pacific Holdings INC	Stock-Energy	0.34%	—	-72.73%
42	✓	Denbury Res INC Del	Stock-Other	0.34%	—	+90.97%
43	CHRD 2.625 09-15-23	Oasis Petroleum INC	Stock-Energy	0.33%	—	—
44	✓	Nio INC	Stock-Other	0.31%	—	—
45	PGEN 3.5 07-01-23	Precigen INC	Stock-Other	0.24%	—	—
46	PKD1USD	Parker Drilling Co-post Bank	Stock-Other	0.23%	—	-50.68%
47	THC	Tenet Healthcare CORP	Stock-Healthcare	0.21%	—	-14.58%
48	DCH	Dauch Corporation	Stock-Other	0.19%	—	+488.66%
49	LNWO	Light & Wonder INC	Stock-Other	0.19%	—	-12.47%
50	ACOR 1.75 06-15-21	Acorda Therapeutics INC	Stock-Other	0.19%	—	—

1–50 of 97

Holding changes this quarter

Position changes disclosed by Whitebox Advisors LLC for the quarter ending Q3 2019, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	✓	Spdr S&p 500 ETF Tr	+13.4%	+50.00%	Add
2	DELL	Dell Technologies -c	+2.7%	+138.51%	Add
3	✓		+1.4%	+178.54%	Add
4	TSLA 2 05-15-24	Tesla INC	+0.6%	+13.87%	Add
5	ARI 4.75 08-23-22	Apollo Cmmrl Real Est Fi	+0.5%	+49.67%	Add
6	COVPHA 3.25 06-01-22	Covis Finco Sarl	+0.4%	+44.54%	Add
7	GRFS	Grifols Sa-adr	+0.3%	+22.83%	Add
8	ECPG 4.5 09-01-23	Encore Cap Eur Finance	+0.2%	+32.76%	Add
9	VEDL	Vedanta Ltd-adr	+0.2%	+113.24%	Add
10	✓	Denbury Res INC Del	+0.2%	+90.97%	Add
11	DCH	Dauch Corporation	+0.1%	+488.66%	Add
12	CJ1EUR	C&j Energy Services INC	-0.1%	-15.69%	Trim
13	BG	Bunge Global SA	-0.1%	-15.87%	Trim
14	MLAB	Mesa Laboratories, Inc.	-0.2%	-38.62%	Trim
15	✓	Nio INC	-0.2%	—	Unchanged
16	PKD1USD	Parker Drilling Co-post Bank	-0.3%	-50.68%	Trim
17	✓	Encana CORP	-0.3%	-11.78%	Trim
18	ASHR	Xtrackers Harvest Csi 300 Ch	-0.4%	-88.24%	Trim
19	GLD	SPDR Gold Shares	-0.4%	-23.98%	Trim
20	RWT 5.625 07-15-24	Redwood Trust INC	-0.5%	-59.75%	Trim
21	PARR	Par Pacific Holdings INC	-0.8%	-72.73%	Trim
22	✓	Dbx ETF Tr	-1%	-50.00%	Trim
23	✓	Pacific Drilling SA Luxembou	-1.4%	-2.72%	Trim
24	✓	Contura Energy INC	-2.4%	-21.89%	Trim
25	AABAUSD	Altaba INC	-18%	-20.76%	Trim
26	I 4.5 06-15-25	Intelsat SA	—	NEW	New buy
27	IACIEUR	Iac/interactivecorp	—	NEW	New buy
28	ABR 5.25 07-01-21	Arbor Realty Trust INC	—	NEW	New buy
29	MPC	Marathon Petroleum CORP	—	NEW	New buy
30	APC3EUR	Anadarko Petroleum CORP	—	EXIT	Sold out
31	SPY	State Street SPDR S&P 500 ETF Trust	—	EXIT	Sold out
32	LQD	Ishr Ibx Usd Invgd Cb Etf-ui	—	NEW	New buy
33	HEI-A	Heico Corp-class A	—	NEW	New buy
34	DVA	Davita INC	—	EXIT	Sold out
35	IIVI 0.5 12-15-36	Finisar CORP	—	NEW	New buy
36	BABA	Alibaba Group Holding-sp Adr	—	EXIT	Sold out
37	SMHC	VanEck China Semiconductor ETF	—	EXIT	Sold out
38	HLF 2 08-15-19	Herbalife LTD	—	EXIT	Sold out
39	✓	Cbs CORP New	—	EXIT	Sold out
40	PDLI 2.75 12-01-21	Pdl Biopharma INC	—	EXIT	Sold out
41	CHRD 2.625 09-15-23	Oasis Petroleum INC	—	NEW	New buy
42	BMY	Bristol-myers Squibb Co	—	EXIT	Sold out
43	ILMN	Illumina INC	—	EXIT	Sold out
44	OIBR-USD	Oi Sa-adr	—	EXIT	Sold out
45	RGEN 2.125 06-01-21	Repligen CORP	—	EXIT	Sold out
46	LNG	Cheniere Energy, Inc.	—	EXIT	Sold out
47	TWTR 0.25 09-15-19	Twitter INC	—	EXIT	Sold out
48	ACOR 1.75 06-15-21	Acorda Therapeutics INC	—	NEW	New buy
49	HLF 2.625 03-15-24	Herbalife LTD	—	EXIT	Sold out
50	AVYAUSD	Avaya Holdings CORP	—	EXIT	Sold out