Zazove Associates

Zazove Associates as of Sept. 30, 2013

Portfolio Holdings for Zazove Associates

Zazove Associates holds 128 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Alza Corp sdcv 7/2 6.0 $178M 150M 1.19
Stanley Black & Decker Inc unit 99/99/9999 5.5 $164M 1.2M 137.45
E M C Corp Mass note 1.750%12/0 5.1 $151M 94M 1.60
Teva Pharm Finance Llc Cvt cv bnd 4.1 $122M 117M 1.04
Intel Corp. Jr. Sub. Cv. Deb. conv 4.1 $121M 98M 1.24
Alcoa Inc debt 3.8 $112M 87M 1.29
Xilinx Inc Cvt 2.625 6-15-17 convert 3.7 $111M 68M 1.63
Prospect Capital Corp note 6.250%12/1 3.4 $100M 92M 1.08
GAME Technolog debt 3.3 $98M 89M 1.10
Goldcorp Inc New note 2.000% 8/0 3.2 $94M 93M 1.01
Allegheny Technologies Inc note 4.250% 6/0 3.1 $93M 89M 1.04
Sterlite Inds India Ltd note 4.000%10/3 2.7 $80M 81M 0.98
Steel Dynamics Inc note 5.125% 6/1 2.6 $78M 71M 1.10
Newmont Mining Corp Cvt cv bnd 2.6 $77M 69M 1.11
Enpro Industries Inc note 2.5 $73M 40M 1.84
Phh Corp note 4.000% 9/0 2.1 $63M 57M 1.09
Novellus Systems, Inc. note 2.625% 5/1 2.0 $61M 38M 1.59
Level 3 Communications Inc note 1.9 $56M 46M 1.22
Annaly Cap Mgmt Inc note 4.000% 2/1 1.9 $55M 50M 1.10
Newmont Mining Corp note 1.250% 7/1 1.6 $49M 48M 1.01
Stillwater Mng Co note 1.750%10/1 1.6 $47M 45M 1.05
L-3 Communications Corp debt 3.000% 8/0 1.6 $47M 43M 1.09
Kinder Morgan Inc/delaware Wts 1.4 $43M 8.6M 4.97
Psec Us conv 1.4 $42M 41M 1.03
Agco Corp note 1.250%12/1 1.4 $40M 27M 1.49
Endeavor Intl Corp note 5.500% 7/1 1.3 $38M 45M 0.84
Tyson Foods Inc note 3.250%10/1 1.2 $36M 21M 1.72
New York Cmnty Cap Tr V unit 99/99/9999 (NYCB.PU) 1.1 $33M 684k 48.81
Kohlberg Capital Corp note 8.750% 3/1 1.0 $30M 26M 1.17
Northgate Minerals Corp note 3.500%10/0 1.0 $29M 31M 0.94
Dryships Inc. note 5.000%12/0 0.9 $28M 29M 0.97
Omnicom Group Inc debt 0.9 $27M 22M 1.22
Priceline.com debt 1.000% 3/1 0.9 $27M 21M 1.29
Rite Aid Corp note 8.500% 5/1 0.8 $25M 13M 1.97
Royal Gold Inc conv 0.8 $25M 26M 0.96
Chesapeake Energy Corp note 2.500% 5/1 0.8 $23M 24M 0.98
Teleflex Inc note 3.875% 8/0 0.8 $22M 16M 1.41
Xpo Logistics note 4.5% 10/1 0.7 $21M 14M 1.46
Janus Capital conv 0.7 $20M 19M 1.05
Laboratory Corp Amer Hldgs debt 0.7 $20M 15M 1.33
Caci Intl Inc note 2.125% 5/0 0.6 $18M 14M 1.28
Wells Fargo & Company Non-cum Perpet cnv (WFC.PL) 0.6 $18M 16k 1137.53
Home Inns & Hotels Mgmt Inc note 2.000%12/1 0.6 $17M 18M 0.95
Molycorp Inc Del....... Note 6.0% 9/1/17 0.6 $17M 21M 0.80
American Intl Group 0.6 $17M 894k 18.95
Hawaiian Holdings Inc conv 0.6 $16M 14M 1.16
Jefferies Group Inc New dbcv 3.875%11/0 0.5 $15M 15M 1.05
Archer Daniels Midland Co note 0.875% 2/1 0.4 $11M 11M 1.02
Molycorp Inc conv bnd 0.4 $11M 15M 0.72
Bgc Partners, Inc. note 4.500% 7/1 0.4 $11M 10M 1.03
Prologis Inc note 3.250% 3/1 0.3 $10M 8.9M 1.14
Rayonier Inc conv 0.3 $9.7M 5.7M 1.69
General Motors Corp *w exp 12/31/201 0.3 $9.9M 2.5M 4.00
Capital One Financial Cor w exp 11/201 0.3 $9.4M 322k 29.09
Morgans Hotel Group Co note 2.375%10/1 0.3 $9.2M 9.4M 0.98
Molycorp Inc Del note 5.500% 2/0 0.3 $9.3M 8.9M 1.04
Volcano Corporation note 1.750%12/0 0.3 $7.8M 7.5M 1.04
Icon 2 1/2 06/01/16 0.3 $7.6M 6.2M 1.24
Emmis Communications Corp pfd cv ser a 0.2 $7.5M 492k 15.30
GROUP Affymetrix Inc cnv 0.2 $7.4M 5.9M 1.26
Dominion Res Inc Va New debt 0.2 $7.1M 3.8M 1.86
Tower Group Inc conv 0.2 $7.2M 8.5M 0.85
Thompson Creek Metal unit 99/99/9999 0.2 $7.2M 386k 18.75
Ttm Technologies Inc note 3.250% 5/1 0.2 $6.9M 6.8M 1.02
Dendreon Corp note 0.2 $5.9M 9.6M 0.61
Hos Us conv 0.2 $6.0M 4.6M 1.30
Gilead Sciences conv 0.2 $5.5M 2.0M 2.77
Keycorp New pfd 7.75% sr a 0.2 $5.3M 43k 124.63
Jpmorgan Chase & Co. w exp 10/201 0.2 $5.3M 318k 16.76
Microchip Technology Inc sdcv 2.125%12/1 0.2 $4.6M 2.9M 1.57
Arvinmeritor Inc frnt 4.000% 2/1 0.2 $4.7M 5.1M 0.92
Equinix Inc note 4.750% 6/1 0.1 $4.5M 2.0M 2.26
Lam Research Corp note 0.500% 5/1 0.1 $4.2M 3.7M 1.14
Chemed Corp New note 1.875% 5/1 0.1 $3.8M 3.7M 1.04
Leucadia Natl Corp debt 0.1 $3.9M 3.0M 1.30
Cms Energy Corp note 5.500% 6/1 0.1 $3.8M 2.0M 1.92
Safeguard Scientifics dbcv 5.250% 5/1 0.1 $3.9M 3.5M 1.11
Colony Finl Inc note 5.00% 0.1 $3.9M 3.8M 1.04
Notes Gencorp Inc. 4.0625% dbcv 0.1 $3.6M 2.0M 1.81
Arris Group Inc note 2.000%11/1 0.1 $3.3M 3.0M 1.08
Level 3 Communications Inc note 6.500%10/0 0.1 $3.3M 2.2M 1.51
Uthr 1 09/15/16 0.1 $3.4M 2.0M 1.70
Tesla Mtrs Inc note 1.500% 6/0 0.1 $3.4M 2.0M 1.69
Enersys note 3.375% 6/0 0.1 $3.1M 2.0M 1.55
General Cable Corp Del New frnt 4.500% 11/1 0.1 $2.8M 2.5M 1.13
Radio One 0.1 $3.1M 1.1M 2.69
Comtech Telecommunications Cor conv 0.1 $3.1M 3.0M 1.02
Encore Capital Group note 3.000%11/2 0.1 $3.1M 2.0M 1.56
Tibco Software Inc. 2.25 05-01 conv 0.1 $3.0M 3.0M 1.02
Linear Technology Corp note 3.000% 5/0 0.1 $2.7M 2.5M 1.07
Cadence Design Sys Cvt 2.625 6 convert 0.1 $2.7M 1.5M 1.82
Omnicare Inc 3.75% '42 conv 0.1 $2.8M 2.0M 1.41
Endo Pharmaceuticals Hldgs I note 1.750% 4/1 0.1 $2.4M 1.5M 1.59
Wright Medical Group Inc note 2 000 8/1 0.1 $2.5M 2.0M 1.23
Lifepoint Hospitals Inc note 3.500% 5/1 0.1 $2.2M 2.1M 1.05
Emmis Communications Corporation 0.1 $2.0M 762k 2.69
United States Stl Corp New note 4.000% 5/1 0.1 $2.0M 2.0M 1.02
Hutchinson Technology Inc note 8.500% 1/1 0.1 $2.1M 2.3M 0.92
Green Plains Renewable E note 0.1 $2.2M 1.7M 1.30
Wells Fargo & Company mtnf 0.125% 3/0 0.1 $2.1M 1.8M 1.19
Headwaters Inc note 2.500% 2/0 0.1 $1.8M 1.8M 1.00
Brookdale Senior Living note 0.1 $1.8M 1.5M 1.18
Proshares Tr Ii ul vixstfut etf 0.1 $1.7M 50k 34.34
Intel Corporation (INTC) 0.1 $1.6M 68k 22.93
General Mtrs Co *w exp 07/10/201 0.1 $1.4M 74k 18.60
Teva Pharmaceutical Industries (TEVA) 0.0 $1.2M 32k 37.77
DURECT Corporation 0.0 $1.2M 873k 1.34
Vector Group Ltd frnt 1/1 0.0 $1.2M 1.0M 1.20
International Game Technology 0.0 $856k 45k 18.92
Liberty Media 3.750 2/15/30 deb 3.750% 0.0 $840k 1.4M 0.60
Intel Corp sdcv 0.0 $934k 865k 1.08
Bank Of America Corporation preferred (BAC.PL) 0.0 $751k 695.00 1080.58
BlackRock Senior High Income Fund 0.0 $755k 192k 3.94
PULSE ELECTRONICS Corp note 7.000%12/1 0.0 $1.0M 1.3M 0.76
Greenbrier Co Inc conv bnd 0.0 $896k 830k 1.08
Rambus Inc Del note 5.000% 6/1 0.0 $515k 500k 1.03
Ares Capital Corp 5.125 2016 conv 0.0 $700k 660k 1.06
Annaly Cap Mgmt Inc note 5.000% 5/1 0.0 $663k 650k 1.02
James River Coal Co note 3.125% 3/1 0.0 $672k 3.1M 0.22
Cumulus Media 0.0 $284k 54k 5.28
Zions Bancorporation *w exp 05/22/202 0.0 $227k 46k 4.91
Airtran Hldgs Inc note 5.250%11/0 0.0 $320k 215k 1.49
Nuveen Floating Rate Income Fund (JFR) 0.0 $384k 32k 11.97
Aurico Gold 0.0 $392k 103k 3.81
Prospect Capital Corp note 0.0 $158k 150k 1.05
General Motors Company (GM) 0.0 $39k 1.1k 36.25
Eaton Vance Limited Duration Income Fund (EVV) 0.0 $36k 2.3k 15.62
General Mtrs Co *w exp 07/10/201 0.0 $86k 3.2k 26.54