Whitebox Advisors as of March 31, 2013
Portfolio Holdings for Whitebox Advisors
Whitebox Advisors holds 0 positions in its portfolio as reported in the March 2013 quarterly 13F filing
SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- --------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
3M CO COM 88579Y101 8,384 891 SH SOLE 8,384 --
ABM INDS INC COM 000957100 22,778 507 SH SOLE 22,778 --
ACETO CORP COM 004446100 43,041 476 SH SOLE 43,041 --
AECOM TECHNOLOGY CORP DELAWA COM 00766T100 16,168 530 SH SOLE 16,168 --
AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 634,268 4,256 SH SOLE 634,268 --
AERCAP HOLDINGS NV SHS N00985106 407,052 6,289 SH SOLE 407,052 --
AETNA INC NEW COM 00817Y108 5,500 281 SH SOLE 5,500 --
AIR TRANSPORT SERVICES GRP I COM 00922R105 124,340 725 SH SOLE 124,340 --
AK STL HLDG CORP COM 001547108 89,557 296 SH SOLE 89,557 --
ALLEGHENY TECHNOLOGIES INC COM 01741R102 17,500 555 SH SOLE 17,500 --
ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 018581AD0 91,954,000 189,234 PRN SOLE 91,954,000 --
ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 5,071 354 SH SOLE 5,071 --
AMCON DISTRG CO COM NEW 02341Q205 6,262 481 SH SOLE 6,262 --
AMERCO COM 023586100 11,377 1,974 SH SOLE 11,377 --
AMERICAN CAP LTD COM 02503Y103 780,464 11,391 SH SOLE 780,464 --
AMERICAN CAP MTG INVT CORP COM 02504A104 370,167 9,569 SH SOLE 370,167 --
AMERICAN CAPITAL AGENCY CORP COM 02503X105 173,340 5,682 SH SOLE 173,340 --
AMERICAN EQTY INVT LIFE HLD COM 025676206 248,593 3,702 SH SOLE 248,593 --
AMERICAN GREETINGS CORP CL A 026375105 14,337 231 SH SOLE 14,337 --
AMERICAN NATL INS CO COM 028591105 6,485 563 SH SOLE 6,485 --
AMERICAN SOFTWARE INC CL A 029683109 52,170 434 SH SOLE 52,170 --
AMERIPRISE FINL INC COM 03076C106 4,819 355 SH SOLE 4,819 --
ANALOGIC CORP COM PAR $0.05 032657207 9,325 737 SH SOLE 9,325 --
ANNALY CAP MGMT INC NOTE 5.000% 5/1 035710AB8 13,000,000 13,717 PRN SOLE 13,000,000 --
APOLLO RESIDENTIAL MTG INC COM 03763V102 58,503 1,304 SH SOLE 58,503 --
APPLE INC COM 037833100 13,900 6,153 SH SOLE 13,900 --
APPLE INC PUT 037833950 170 584 SH CALL SOLE 170 --
APPLIED MATLS INC COM 038222105 26,216 353 SH SOLE 26,216 --
ASHFORD HOSPITALITY TR INC COM SHS 044103109 226,672 2,802 SH SOLE 226,672 --
ATMEL CORP COM 049513104 81,000 564 SH SOLE 81,000 --
AV HOMES INC COM 00234P102 42,508 567 SH SOLE 42,508 --
AV HOMES INC NOTE 7.500% 2/1 00234PAB8 14,979,000 15,460 PRN SOLE 14,979,000 --
AVAGO TECHNOLOGIES LTD SHS Y0486S104 15,000 539 SH SOLE 15,000 --
AVATAR HLDGS INC NOTE 7.500% 2/1 053494AG5 2,773,000 2,817 PRN SOLE 2,773,000 --
AVON PRODS INC COM 054303102 20,500 425 SH SOLE 20,500 --
B/E AEROSPACE INC COM 073302101 19,516 1,177 SH SOLE 19,516 --
BANK OF AMERICA CORPORATION CALL 060505904 15,610 2,418 SH PUT SOLE 15,610 --
BANK OF AMERICA CORPORATION COM 060505104 52,070 634 SH SOLE 52,070 --
BARD C R INC COM 067383109 10,949 1,103 SH SOLE 10,949 --
BARNES & NOBLE INC COM 067774109 159,589 2,625 SH SOLE 159,589 --
BARRETT BILL CORP COM 06846N104 21,442 435 SH SOLE 21,442 --
BARRETT BUSINESS SERVICES IN COM 068463108 26,310 1,385 SH SOLE 26,310 --
BED BATH & BEYOND INC COM 075896100 11,750 757 SH SOLE 11,750 --
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3,242 338 SH SOLE 3,242 --
BEST BUY INC COM 086516101 120,902 2,678 SH SOLE 120,902 --<br /><br />SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- ---------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
BIG 5 SPORTING GOODS CORP COM 08915P101 26,000 406 SH SOLE 26,000 --
BIG LOTS INC COM 089302103 8,842 312 SH SOLE 8,842 --
BLUEGREEN CORP COM 096231105 397,554 3,912 SH SOLE 397,554 --
BMC SOFTWARE INC COM 055921100 7,288 338 SH SOLE 7,288 --
BOEING CO COM 097023105 2,700 232 SH SOLE 2,700 --
BOSTON PRIVATE FINL HLDGS IN COM 101119105 24,000 237 SH SOLE 24,000 --
BRANDYWINE RLTY TR SH BEN INT NEW 105368203 52,560 781 SH SOLE 52,560 --
BRUKER CORP COM 116794108 12,200 233 SH SOLE 12,200 --
CACI INTL INC CL A 127190304 4,362 252 SH SOLE 4,362 --
CANADIAN NAT RES LTD COM 136385101 7,200 231 SH SOLE 7,200 --
CEMEX SAB DE CV NOTE 3.250% 3/1 151290BB8 7,500,000 9,939 PRN SOLE 7,500,000 --
CENTRAL GARDEN & PET CO COM 153527106 66,688 575 SH SOLE 66,688 --
CENVEO INC COM 15670S105 221,012 475 SH SOLE 221,012 --
CHESAPEAKE ENERGY CORP COM 165167107 22,370 457 SH SOLE 22,370 --
CISCO SYS INC COM 17275R102 102,721 2,148 SH SOLE 102,721 --
CITIGROUP INC COM NEW 172967424 9,065 401 SH SOLE 9,065 --
COACH INC COM 189754104 12,250 612 SH SOLE 12,250 --
COCA COLA CO COM 191216100 5,900 239 SH SOLE 5,900 --
COINSTAR INC COM 19259P300 7,150 418 SH SOLE 7,150 --
COINSTAR INC NOTE 4.000% 9/0 19259PAF9 6,510,000 9,339 PRN SOLE 6,510,000 --
COLGATE PALMOLIVE CO COM 194162103 5,355 632 SH SOLE 5,355 --
COLONY FINL INC COM 19624R106 35,900 797 SH SOLE 35,900 --
COMCAST CORP NEW CL A SPL 20030N200 17,300 685 SH SOLE 17,300 --
COMMUNITY HEALTH SYS INC NEW COM 203668108 33,781 1,601 SH SOLE 33,781 --
COMPUCREDIT HLDGS CORP NOTE 5.875%11/3 20478NAD2 10,114,000 4,146 PRN SOLE 10,114,000 --
COOPER TIRE & RUBR CO COM 216831107 82,971 2,129 SH SOLE 82,971 --
CORINTHIAN COLLEGES INC COM 218868107 598,028 1,256 SH SOLE 598,028 --
CORNING INC COM 219350105 24,266 323 SH SOLE 24,266 --
CORPORATE EXECUTIVE BRD CO COM 21988R102 13,000 756 SH SOLE 13,000 --
COVANTA HLDG CORP NOTE 3.250% 6/0 22282EAC6 11,839,000 15,478 PRN SOLE 11,839,000 --
CRACKER BARREL OLD CTRY STOR COM 22410J106 8,341 674 SH SOLE 8,341 --
CRANE CO COM 224399105 26,388 1,474 SH SOLE 26,388 --
CRAWFORD & CO CL A 224633206 158,656 841 SH SOLE 158,656 --
CRUMBS BAKE SHOP INC *W EXP 05/05/201 228803110 52,340 5 SH SOLE 52,340 --
CUI GLOBAL INC COM NEW 126576206 21,200 105 SH SOLE 21,200 --
CUMULUS MEDIA INC CL A 231082108 510,107 1,719 SH SOLE 510,107 --
DELL INC CALL 24702R901 998 251 SH PUT SOLE 998 --
DELL INC COM 24702R101 657,583 9,423 SH SOLE 657,583 --
DELPHI AUTOMOTIVE PLC SHS G27823106 26,941 1,196 SH SOLE 26,941 --
DELTA AIR LINES INC DEL COM NEW 247361702 24,824 410 SH SOLE 24,824 --
DELUXE CORP COM 248019101 109,182 4,520 SH SOLE 109,182 --
DENNYS CORP COM 24869P104 204,656 1,181 SH SOLE 204,656 --
DFC GLOBAL CORP COM 23324T107 426,047 7,089 SH SOLE 426,047 --
DILLARDS INC CL A 254067101 8,780 690 SH SOLE 8,780 --
DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 165,837 11,532 SH SOLE 165,837 --
DOLLAR TREE INC COM 256746108 25,450 1,233 SH SOLE 25,450 --
DOMTAR CORP COM NEW 257559203 3,713 288 SH SOLE 3,713 --<br /><br />SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- ---------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
DONNELLEY R R & SONS CO COM 257867101 85,000 1,024 SH SOLE 85,000 --
DST SYS INC DEL DBCV 8/1 233326AE7 6,562,000 9,913 PRN SOLE 6,562,000 --
EBAY INC COM 278642103 41,300 2,239 SH SOLE 41,300 --
EMERITUS CORP COM 291005106 14,198 395 SH SOLE 14,198 --
EMERSON ELEC CO COM 291011104 19,860 1,110 SH SOLE 19,860 --
ENCORE CAP GROUP INC COM 292554102 136,520 4,109 SH SOLE 136,520 --
ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AC6 19,706,000 22,693 PRN SOLE 19,706,000 --
ENERSYS COM 29275Y102 25,108 1,144 SH SOLE 25,108 --
ENPRO INDS INC DBCV 3.938%10/1 29355XAB3 4,000,000 6,453 PRN SOLE 4,000,000 --
ENSIGN GROUP INC COM 29358P101 28,100 939 SH SOLE 28,100 --
ENTERCOM COMMUNICATIONS CORP CL A 293639100 69,998 521 SH SOLE 69,998 --
ENTEROMEDICS INC COM NEW 29365M208 1,286,242 1,286 SH SOLE 1,286,242 --
ENVESTNET INC COM 29404K106 13,104 229 SH SOLE 13,104 --
EPL OIL & GAS INC COM 26883D108 122,058 3,272 SH SOLE 122,058 --
EQT CORP COM 26884L109 6,419 435 SH SOLE 6,419 --
ERICKSON AIR-CRANE INC COM 29482P100 57,342 932 SH SOLE 57,342 --
EXPRESS SCRIPTS HLDG CO COM 30219G108 10,203 588 SH SOLE 10,203 --
EZCORP INC CL A NON VTG 302301106 153,681 3,273 SH SOLE 153,681 --
FEDERAL AGRIC MTG CORP CL C 313148306 94,896 2,922 SH SOLE 94,896 --
FIBRIA CELULOSE S A SP ADR REP COM 31573A109 20,700 250 SH SOLE 20,700 --
FIRST BANCORP P R COM NEW 318672706 176,874 1,102 SH SOLE 176,874 --
FLAGSTAR BANCORP INC COM PAR .001 337930705 36,031 502 SH SOLE 36,031 --
FLUOR CORP NEW COM 343412102 12,500 829 SH SOLE 12,500 --
FLY LEASING LTD SPONSORED ADR 34407D109 70,961 1,148 SH SOLE 70,961 --
FORD MTR CO DEL COM PAR $0.01 345370860 40,672 535 SH SOLE 40,672 --
FOSTER WHEELER AG COM H27178104 33,000 754 SH SOLE 33,000 --
FRANKLIN COVEY CO COM 353469109 51,485 748 SH SOLE 51,485 --
FREEPORT-MCMORAN COPPER & GO CALL 35671D907 3,000 329 SH PUT SOLE 3,000 --
GENERAL CABLE CORP DEL NEW FRNT 4.500%11/1 369300AL2 250,000 318 PRN SOLE 250,000 --
GENERAL ELECTRIC CO CALL 369604903 2,690 217 SH PUT SOLE 2,690 --
GENERAL ELECTRIC CO COM 369604103 53,850 1,245 SH SOLE 53,850 --
GENERAL FINANCE CORP COM 369822101 19,749 89 SH SOLE 19,749 --
GENERAL MLS INC COM 370334104 4,700 232 SH SOLE 4,700 --
GENERAL MTRS CO *W EXP 07/10/201 37045V118 4,933,486 91,565 SH SOLE 4,933,486 --
GENERAL MTRS CO *W EXP 07/10/201 37045V126 185,083 2,182 SH SOLE 185,083 --
GENERAL MTRS CO COM 37045V100 20,311 565 SH SOLE 20,311 --
GENTHERM INC COM 37253A103 200,260 3,280 SH SOLE 200,260 --
GOLDMAN SACHS GROUP INC COM 38141G104 1,744 257 SH SOLE 1,744 --
GOODYEAR TIRE & RUBR CO COM 382550101 36,867 465 SH SOLE 36,867 --
GRAN TIERRA ENERGY INC COM 38500T101 1,620,566 9,529 SH SOLE 1,620,566 --
GRAVITY CO LTD SPONSORED ADR 38911N107 191,457 245 SH SOLE 191,457 --
GREEN DOT CORP CL A 39304D102 102,400 1,711 SH SOLE 102,400 --
GSV CAP CORP COM 36191J101 141,093 1,165 SH SOLE 141,093 --
GT ADVANCED TECHNOLOGIES INC COM 36191U106 329,698 1,085 SH SOLE 329,698 --
GULF RESOURCES INC COM PAR $0.0005 40251W309 95,714 105 SH SOLE 95,714 --
HAIN CELESTIAL GROUP INC COM 405217100 3,800 232 SH SOLE 3,800 --
HALLMARK FINL SVCS INC EC COM NEW 40624Q203 46,230 416 SH SOLE 46,230 --<br /><br />SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- --------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
HARDINGE INC COM 412324303 28,486 388 SH SOLE 28,486 --
HARMAN INTL INDS INC COM 413086109 40,750 1,819 SH SOLE 40,750 --
HARTFORD FINL SVCS GROUP INC COM 416515104 12,925 333 SH SOLE 12,925 --
HAWAIIAN HOLDINGS INC COM 419879101 27,016 156 SH SOLE 27,016 --
HAWAIIAN HOLDINGS INC NOTE 5.000% 3/1 419879AD3 11,748,000 12,582 PRN SOLE 11,748,000 --
HEADWATERS INC COM 42210P102 54,635 596 SH SOLE 54,635 --
HEALTH MGMT ASSOC INC NEW CL A 421933102 47,676 614 SH SOLE 47,676 --
HEARTLAND EXPRESS INC COM 422347104 46,550 621 SH SOLE 46,550 --
HEARTLAND PMT SYS INC COM 42235N108 7,700 254 SH SOLE 7,700 --
HERCULES TECH GROWTH CAP INC NOTE 6.000% 4/1 427096AB8 9,745,000 10,855 PRN SOLE 9,745,000 --
HERTZ GLOBAL HOLDINGS INC NOTE 5.250% 6/0 42805TAA3 44,310,000 120,911 PRN SOLE 44,310,000 --
HOMEOWNERS CHOICE INC COM 43741E103 44,259 1,206 SH SOLE 44,259 --
HOOKER FURNITURE CORP COM 439038100 34,368 548 SH SOLE 34,368 --
HUBBELL INC CL B 443510201 8,823 857 SH SOLE 8,823 --
HUMANA INC COM 444859102 8,283 572 SH SOLE 8,283 --
HUTCHINSON TECHNOLOGY INC NOTE 8.500% 1/1 448407AG1 7,830,000 5,930 PRN SOLE 7,830,000 --
IAC INTERACTIVECORP COM PAR $.001 44919P508 11,223 501 SH SOLE 11,223 --
ILLINOIS TOOL WKS INC COM 452308109 9,674 590 SH SOLE 9,674 --
INSIGHT ENTERPRISES INC COM 45765U103 41,751 861 SH SOLE 41,751 --
INTEGRATED DEVICE TECHNOLOGY COM 458118106 281,721 2,104 SH SOLE 281,721 --
INTEL CORP COM 458140100 44,800 979 SH SOLE 44,800 --
INVESCO MORTGAGE CAPITAL INC COM 46131B100 103,982 2,224 SH SOLE 103,982 --
ISHARES TR DJ US TECH SEC 464287721 148,083 10,856 SH SOLE 148,083 --
ISHARES TR NASDQ BIO INDX 464287556 75,732 12,112 SH SOLE 75,732 --
JETBLUE AIRWAYS CORP DBCV 5.500%10/1 477143AD3 17,392,000 27,333 PRN SOLE 17,392,000 --
JETBLUE AIRWAYS CORP DBCV 5.500%10/1 477143AE1 41,061,000 69,177 PRN SOLE 41,061,000 --
JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AG6 12,086,000 19,895 PRN SOLE 12,086,000 --
JOHNSON & JOHNSON COM 478160104 12,318 1,004 SH SOLE 12,318 --
JOY GLOBAL INC COM 481165108 7,500 446 SH SOLE 7,500 --
KAR AUCTION SVCS INC COM 48238T109 60,500 1,212 SH SOLE 60,500 --
KEYCORP NEW COM 493267108 150,000 1,494 SH SOLE 150,000 --
KKR & CO L P DEL COM UNITS 48248M102 49,300 952 SH SOLE 49,300 --
KKR FINL HLDGS LLC COM 48248A306 690,240 7,641 SH SOLE 690,240 --
KOHLBERG CAPITAL CORP NOTE 8.750% 3/1 500233AB7 8,992,000 12,017 PRN SOLE 8,992,000 --
LEAP WIRELESS INTL INC COM NEW 521863308 167,013 984 SH SOLE 167,013 --
LEAR CORP COM NEW 521865204 8,358 459 SH SOLE 8,358 --
LENNAR CORP CL A 526057104 38,444 1,595 SH SOLE 38,444 --
LEUCADIA NATL CORP NOTE 3.750% 4/1 527288AX2 7,189,000 9,443 PRN SOLE 7,189,000 --
LINCOLN NATL CORP IND COM 534187109 91,698 2,990 SH SOLE 91,698 --
LUBYS INC COM 549282101 51,831 388 SH SOLE 51,831 --
MACYS INC COM 55616P104 9,822 411 SH SOLE 9,822 --
MAGNA INTL INC COM 559222401 7,910 464 SH SOLE 7,910 --
MAIN STREET CAPITAL CORP COM 56035L104 6,800 218 SH SOLE 6,800 --
MAINSOURCE FINANCIAL GP INC COM 56062Y102 34,078 478 SH SOLE 34,078 --
MAJESCO ENTERTAINMENT CO COM NEW 560690208 40,635 22 SH SOLE 40,635 --
MARKET LEADER INC COM 57056R103 46,741 419 SH SOLE 46,741 --
MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 119,567 4,526 SH SOLE 119,567 --<br /><br />SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- --------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
MASTEC INC COM 576323109 42,325 1,234 SH SOLE 42,325 --
MASTEC INC NOTE 4.000% 6/1 576323AL3 7,000,000 13,221 PRN SOLE 7,000,000 --
MASTEC INC NOTE 4.250%12/1 576323AM1 5,137,000 9,979 PRN SOLE 5,137,000 --
MBIA INC COM 55262C100 157,150 1,614 SH SOLE 157,150 --
MCMORAN EXPLORATION CO NOTE 4.000%12/3 582411AJ3 11,830,000 13,665 PRN SOLE 11,830,000 --
MCMORAN EXPLORATION CO NOTE 5.250%10/0 582411AM6 13,664,000 14,517 PRN SOLE 13,664,000 --
MEDASSETS INC COM 584045108 28,575 550 SH SOLE 28,575 --
MEDICINES CO COM 584688105 20,098 672 SH SOLE 20,098 --
MEDNAX INC COM 58502B106 6,037 541 SH SOLE 6,037 --
MEDTRONIC INC COM 585055106 21,553 1,012 SH SOLE 21,553 --
METLIFE INC COM 59156R108 89,916 3,419 SH SOLE 89,916 --
MICROSOFT CORP COM 594918104 38,131 1,091 SH SOLE 38,131 --
MIDDLEBY CORP COM 596278101 4,016 611 SH SOLE 4,016 --
MILLER ENERGY RES INC COM 600527105 86,514 321 SH SOLE 86,514 --
MILLER HERMAN INC COM 600544100 21,330 590 SH SOLE 21,330 --
MINERALS TECHNOLOGIES INC COM 603158106 6,011 250 SH SOLE 6,011 --
MOLINA HEALTHCARE INC COM 60855R100 16,550 511 SH SOLE 16,550 --
MORGAN STANLEY COM NEW 617446448 15,001 330 SH SOLE 15,001 --
MOTORCAR PTS AMER INC COM 620071100 211,410 1,296 SH SOLE 211,410 --
MYLAN INC NOTE 3.750% 9/1 628530AJ6 36,631,000 81,222 PRN SOLE 36,631,000 --
NASDAQ OMX GROUP INC COM 631103108 7,000 226 SH SOLE 7,000 --
NATIONAL BK HLDGS CORP CL A 633707104 43,711 800 SH SOLE 43,711 --
NATIONAL FINL PARTNERS CORP NOTE 4.000% 6/1 63607PAC3 11,426,000 21,251 PRN SOLE 11,426,000 --
NATIONAL OILWELL VARCO INC COM 637071101 3,200 226 SH SOLE 3,200 --
NATIONAL WESTN LIFE INS CO CL A 638522102 18,632 3,279 SH SOLE 18,632 --
NATIONSTAR MTG HLDGS INC COM 63861C109 301,719 11,133 SH SOLE 301,719 --
NAVIOS MARITIME ACQUIS CORP SHS Y62159101 307,334 1,060 SH SOLE 307,334 --
NAVIOS MARITIME HOLDINGS INC COM Y62196103 254,308 1,162 SH SOLE 254,308 --
NELNET INC CL A 64031N108 95,195 3,218 SH SOLE 95,195 --
NETAPP INC NOTE 1.750% 6/0 64110DAB0 2,500,000 2,741 PRN SOLE 2,500,000 --
NEWMONT MINING CORP CALL 651639906 2,000 485 SH PUT SOLE 2,000 --
NICHOLAS FINANCIAL INC COM NEW 65373J209 58,360 858 SH SOLE 58,360 --
NORTHROP GRUMMAN CORP COM 666807102 3,101 218 SH SOLE 3,101 --
NORTHWEST BIOTHERAPEUTICS IN COM PAR $0.001 66737P600 478,725 1,738 SH SOLE 478,725 --
OCWEN FINL CORP COM NEW 675746309 143,166 5,429 SH SOLE 143,166 --
OMNICARE INC NOTE 3.750% 4/0 681904AP3 26,569,000 30,238 PRN SOLE 26,569,000 --
OMNOVA SOLUTIONS INC COM 682129101 95,885 735 SH SOLE 95,885 --
ONYX PHARMACEUTICALS INC NOTE 4.000% 8/1 683399AB5 23,848,000 55,688 PRN SOLE 23,848,000 --
ORACLE CORP COM 68389X105 13,367 432 SH SOLE 13,367 --
PANERA BREAD CO CL A 69840W108 3,275 541 SH SOLE 3,275 --
PANTRY INC COM 698657103 470,325 5,865 SH SOLE 470,325 --
PARK OHIO HLDGS CORP COM 700666100 75,453 2,500 SH SOLE 75,453 --
PARKER DRILLING CO COM 701081101 144,603 619 SH SOLE 144,603 --
PATRICK INDS INC COM 703343103 76,586 1,207 SH SOLE 76,586 --
PDL BIOPHARMA INC NOTE 2.875% 2/1 69329YAE4 31,019,000 40,264 PRN SOLE 31,019,000 --
PDL BIOPHARMA INC NOTE 3.750% 5/0 69329YAC8 25,454,000 30,879 PRN SOLE 25,454,000 --
PENNEY J C INC COM 708160106 17,500 264 SH SOLE 17,500 --<br /><br />SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- ---------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
PENNEY J C INC PUT 708160956 1,751 696 SH CALL SOLE 1,751 --
PEPSICO INC COM 713448108 11,800 933 SH SOLE 11,800 --
PHH CORP COM NEW 693320202 10,100 222 SH SOLE 10,100 --
PROMOTORA DE INFORMACIONES S ADR CL B CONV 74343G303 1,904,801 2,343 SH SOLE 1,904,801 --
PULTE GROUP INC PUT 745867951 1,665 445 SH CALL SOLE 1,665 --
QLOGIC CORP COM 747277101 136,061 1,578 SH SOLE 136,061 --
QUALCOMM INC COM 747525103 4,964 332 SH SOLE 4,964 --
RADIAN GROUP INC COM 750236101 152,000 1,628 SH SOLE 152,000 --
RADNET INC COM 750491102 822,341 2,303 SH SOLE 822,341 --
RANGE RES CORP COM 75281A109 9,250 750 SH SOLE 9,250 --
REDWOOD TR INC NOTE 4.625% 4/1 758075AB1 5,000,000 5,522 PRN SOLE 5,000,000 --
REGIONAL MGMT CORP COM 75902K106 101,153 2,043 SH SOLE 101,153 --
REPUBLIC AWYS HLDGS INC COM 760276105 255,349 2,947 SH SOLE 255,349 --
REPUBLIC SVCS INC COM 760759100 7,100 234 SH SOLE 7,100 --
RITE AID CORP COM 767754104 805,209 1,530 SH SOLE 805,209 --
SAFEGUARD SCIENTIFICS INC COM NEW 786449207 144,007 2,275 SH SOLE 144,007 --
SAFEGUARD SCIENTIFICS INC DBCV 5.250% 5/1 786449AJ7 5,000,000 5,549 PRN SOLE 5,000,000 --
SAIA INC COM 78709Y105 9,425 341 SH SOLE 9,425 --
SALEM COMMUNICATIONS CORP DE CL A 794093104 100,307 795 SH SOLE 100,307 --
SALESFORCE COM INC COM 79466L302 21,100 3,773 SH SOLE 21,100 --
SALESFORCE COM INC NOTE 0.750% 1/1 79466LAB0 29,901,000 62,952 PRN SOLE 29,901,000 --
SALIX PHARMACEUTICALS INC COM 795435106 22,029 1,127 SH SOLE 22,029 --
SANDRIDGE ENERGY INC COM 80007P307 58,801 310 SH SOLE 58,801 --
SANOFI RIGHT 12/31/2020 80105N113 15,615,020 27,948 SH SOLE 15,615,020 --
SBA COMMUNICATIONS CORP NOTE 4.000%10/0 78388JAM8 12,738,000 30,627 PRN SOLE 12,738,000 --
SCHEIN HENRY INC COM 806407102 6,721 622 SH SOLE 6,721 --
SCHWEITZER-MAUDUIT INTL INC COM 808541106 58,025 2,247 SH SOLE 58,025 --
SELECT COMFORT CORP COM 81616X103 99,740 1,972 SH SOLE 99,740 --
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 42,533 1,775 SH SOLE 42,533 --
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 176,962 5,357 SH SOLE 176,962 --
SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 104,350 1,221 SH SOLE 104,350 --
SMUCKER J M CO COM NEW 832696405 3,267 324 SH SOLE 3,267 --
SOTHEBYS NOTE 3.125% 6/1 835898AC1 2,954,000 3,338 PRN SOLE 2,954,000 --
SOUTHWEST AIRLS CO COM 844741108 95,032 1,281 SH SOLE 95,032 --
SPDR GOLD TRUST GOLD SHS 78463V107 3,741 578 SH SOLE 3,741 --
SPDR S^P 500 ETF TR CALL 78462F903 8,000 2,048 SH PUT SOLE 8,000 --
SPDR S^P 500 ETF TR PUT 78462F953 640 302 SH CALL SOLE 640 --
SPDR S^P 500 ETF TR TR UNIT 78462F103 97,390 15,246 SH SOLE 97,390 --
SPECTRUM BRANDS HLDGS INC COM 84763R101 45,484 2,574 SH SOLE 45,484 --
SPIRIT AIRLS INC COM 848577102 74,383 1,886 SH SOLE 74,383 --
STAPLES INC COM 855030102 167,557 2,250 SH SOLE 167,557 --
STARBUCKS CORP COM 855244109 11,500 655 SH SOLE 11,500 --
STEINER LEISURE LTD ORD P8744Y102 22,176 1,072 SH SOLE 22,176 --
STEWART INFORMATION SVCS COR COM 860372101 356,223 9,073 SH SOLE 356,223 --
STONE ENERGY CORP COM 861642106 17,536 381 SH SOLE 17,536 --
STRATEGIC HOTELS & RESORTS I COM 86272T106 75,300 629 SH SOLE 75,300 --
STRYKER CORP COM 863667101 9,431 615 SH SOLE 9,431 --<br /><br />SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- --------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ -------
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
SUNSTONE HOTEL INVS INC NEW COM 867892101 45,298 558 SH SOLE 45,298 --
SUPERIOR ENERGY SVCS INC COM 868157108 25,000 649 SH SOLE 25,000 --
SUPERVALU INC COM 868536103 178,643 900 SH SOLE 178,643 --
SWIFT TRANSN CO CL A 87074U101 36,764 521 SH SOLE 36,764 --
SYNCHRONOSS TECHNOLOGIES
INC COM 87157B103 7,400 230 SH SOLE 7,400 --
TEARLAB CORP COM 878193101 245,913 1,697 SH SOLE 245,913 --
TECH DATA CORP COM 878237106 32,250 1,471 SH SOLE 32,250 --
TELETECH HOLDINGS INC COM 879939106 44,809 950 SH SOLE 44,809 --
TELULAR CORP COM NEW 87970T208 34,931 351 SH SOLE 34,931 --
TENNECO INC COM 880349105 12,537 493 SH SOLE 12,537 --
TETRA TECH INC NEW COM 88162G103 98,834 3,013 SH SOLE 98,834 --
TEXAS ROADHOUSE INC COM 882681109 33,000 666 SH SOLE 33,000 --
TILE SHOP HLDGS INC COM 88677Q109 38,250 804 SH SOLE 38,250 --
TIME WARNER INC COM NEW 887317303 4,000 230 SH SOLE 4,000 --
TITAN INTL INC ILL COM 88830M102 245,358 5,172 SH SOLE 245,358 --
TITAN MACHY INC COM 88830R101 29,241 811 SH SOLE 29,241 --
TOWER GROUP INTL LTD COM G8988C105 25,000 456 SH SOLE 25,000 --
TOWER INTL INC COM 891826109 86,751 1,215 SH SOLE 86,751 --
TRAVELCENTERS OF AMERICA
LLC COM 894174101 279,296 2,678 SH SOLE 279,296 --
TRINA SOLAR LIMITED NOTE 4.000% 7/1 89628EAA2 1,704,000 1,684 PRN SOLE 1,704,000 --
TRW AUTOMOTIVE HLDGS CORP COM 87264S106 5,821 320 SH SOLE 5,821 --
TUTOR PERINI CORP COM 901109108 138,794 2,679 SH SOLE 138,794 --
U S AIRWAYS GROUP INC COM 90341W108 184,666 3,134 SH SOLE 184,666 --
U S AIRWAYS GROUP INC PUT 90341W958 1,904 657 SH CALL SOLE 1,904 --
U S PHYSICAL THERAPY INC COM 90337L108 15,988 429 SH SOLE 15,988 --
UAL CORP NOTE 6.000%10/1 902549AJ3 47,034,000 176,444 PRN SOLE 47,034,000 --
ULTRA PETROLEUM CORP COM 903914109 157,254 3,161 SH SOLE 157,254 --
UNI PIXEL INC COM NEW 904572203 109,453 3,355 SH SOLE 109,453 --
UNION PAC CORP COM 907818108 6,765 963 SH SOLE 6,765 --
UNITED CONTL HLDGS INC COM 910047109 10,268 329 SH SOLE 10,268 --
UNITED INS HLDGS CORP COM 910710102 127,328 730 SH SOLE 127,328 --
UNITEDHEALTH GROUP INC COM 91324P102 29,394 1,682 SH SOLE 29,394 --
UROLOGIX INC COM 917273104 538,770 296 SH SOLE 538,770 --
US AIRWAYS GROUP INC NOTE 7.250% 5/1 911905AC1 46,109,000 171,520 PRN SOLE 46,109,000 --
USEC INC NOTE 3.000%10/0 90333EAC2 31,229,000 11,086 PRN SOLE 30,361,000 868,000
VALASSIS COMMUNICATIONS INC COM 918866104 94,334 2,818 SH SOLE 94,334 --
VASCULAR SOLUTIONS INC COM 92231M109 22,600 367 SH SOLE 22,600 --
VECTOR GROUP LTD FRNT 11/1 92240MAS7 300,000 380 PRN SOLE 300,000 --
VERIZON COMMUNICATIONS INC COM 92343V104 14,364 706 SH SOLE 14,364 --
VIRGIN MEDIA INC NOTE 6.500%11/1 92769LAB7 6,703,000 17,781 PRN SOLE 6,703,000 --
VIROPHARMA INC COM 928241108 23,056 580 SH SOLE 23,056 --
VONAGE HLDGS CORP COM 92886T201 196,100 567 SH SOLE 196,100 --
VRINGO INC COM 92911N104 368,105 1,167 SH SOLE 368,105 --
WALGREEN CO CALL 931422909 855 836 SH PUT SOLE 855 --
WALGREEN CO COM 931422109 16,286 777 SH SOLE 16,286 --
WEATHERFORD INTERNATIONAL
LT REG SHS H27013103 19,700 239 SH SOLE 19,700 --
WELLCARE HEALTH PLANS INC COM 94946T106 11,179 648 SH SOLE 11,179 --<br /><br />SHARES / VALUE Share/ Puts/ Investment
Name of Issuer Sec Type Cusip PRN AMT (x$1000) Prn Calls Discretion Other Sole Shared None
-------------- ---------------- --------- ---------- -------- ------ ----- ---------- ----- ---------- ------ ----
{S} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C} {C}
WELLPOINT INC COM 94973V107 8,996 596 SH SOLE 8,996 --
WESTERN REFNG INC NOTE 5.750% 6/1 959319AC8 31,549,000 115,333 PRN SOLE 31,549,000 --
WESTERN UN CO CALL 959802909 3,377 422 SH PUT SOLE 3,377 --
WESTERN UN CO COM 959802109 145,317 2,186 SH SOLE 145,317 --
WILSHIRE BANCORP INC COM 97186T108 81,444 552 SH SOLE 81,444 --
WRIGHT MED GROUP INC RIGHT 03/01/2019 98235T115 210,650 527 SH SOLE 210,650 --
WSFS FINL CORP COM 929328102 8,567 417 SH SOLE 8,567 --
YAHOO INC COM 984332106 24,500 576 SH SOLE 24,500 --
YRC WORLDWIDE INC NOTE 10.000% 3/3 984249AB8 15,286,944 7,567 PRN SOLE 15,286,944 --
ZEP INC COM 98944B108 13,399 201 SH SOLE 13,399 --
ZYNGA INC CL A 98986T108 200,000 672 SH SOLE 200,000 --