WHITEBOX ADVISORS LLC

Filed: 11/14/2022ACC: 0001801265-22-000008

📋 What this filing means

WHITEBOX ADVISORS LLC filed this quarterly 13F‑HR report disclosing 949 equity positions with a total reported market value of $3.60M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

949

Positions

$3.60M

Total AUM (reported)

2.14B

Total Shares

Allocation by class

PUT$558.9K15.5%

NOTE 0.750% 7/0$214.5K6.0%

NOTE 0.375% 6/0$138.9K3.9%

COM$133.0K3.7%

CLASS A COM$126.6K3.5%

NOTE 1.750% 5/0$118.0K3.3%

COM CL A$111.9K3.1%

Portfolio Concentration

Top 3$524.2K14.6%

4–10$696.0K19.3%

11–25$797.9K22.2%

Rest$1.58M44.0%

Top 3 weight

14.6%

Top 10 weight

33.9%

Voting Authority Distribution

Total shares with voting rights: 2.14B

Sole

Full voting authority

2.14B

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

0.00

% of voting shares0.0%

Investment Discretion (by position count)

Sole949

Shared0

Other0

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings949

Rows:

PALO ALTO NETWORKS INC

SOLE

NOTE 0.750% 7/0

Shares111.51M

TypePRN

Market value$206.7K

5.74%

Sole

111.51M

Shared

0.00

None

0.00

SPDR S&P 500 ETF TR

SOLE

PUT

Shares500K

TypeSH

Market value$178.6K

4.96%

Sole

500K

Shared

0.00

None

0.00

PALO ALTO NETWORKS INC

SOLE

NOTE 0.375% 6/0

Shares82.18M

TypePRN

Market value$138.9K

3.86%

Sole

82.18M

Shared

0.00

None

0.00

WOLFSPEED INC

SOLE

NOTE 1.750% 5/0

Shares52.21M

TypePRN

Market value$118.0K

3.28%

Sole

52.21M

Shared

0.00

None

0.00

AMERICAN AIRLS GROUP INC

SOLE

PUT

Shares8.95M

TypeSH

Market value$107.8K

2.99%

Sole

8.95M

Shared

0.00

None

0.00

SUNNOVA ENERGY INTL INC.

SOLE

NOTE 0.250%12/0

Shares121.90M

TypePRN

Market value$102.3K

2.84%

Sole

121.90M

Shared

0.00

None

0.00

AMERICAN AIRLINES GROUP INC

SOLE

NOTE 6.500% 7/0

Shares99.48M

TypePRN

Market value$100.3K

2.79%

Sole

99.48M

Shared

0.00

None

0.00

COPA HOLDINGS SA

SOLE

NOTE 4.500% 4/1

Shares67.19M

TypePRN

Market value$96.7K

2.69%

Sole

67.19M

Shared

0.00

None

0.00

MONGODB INC

SOLE

NOTE 0.250% 1/1

Shares75.48M

TypePRN

Market value$88.0K

2.44%

Sole

75.48M

Shared

0.00

None

0.00

APPLE INC

SOLE

PUT

Shares600K

TypeSH

Market value$82.9K

2.30%

Sole

600K

Shared

0.00

None

0.00

BLOCK INC

SOLE

NOTE 0.500% 5/1

Shares78.18M

TypePRN

Market value$80.1K

2.22%

Sole

78.18M

Shared

0.00

None

0.00

ZSCALER INC

SOLE

NOTE 0.125% 7/0

Shares60.82M

TypePRN

Market value$77.5K

2.15%

Sole

60.82M

Shared

0.00

None

0.00

DISH NETWORK CORPORATION

SOLE

NOTE 12/1

Shares110M

TypePRN

Market value$72.2K

2.00%

Sole

110M

Shared

0.00

None

0.00

ZILLOW GROUP INC

SOLE

NOTE 1.375% 9/0

Shares70.79M

TypePRN

Market value$68.4K

1.90%

Sole

70.79M

Shared

0.00

None

0.00

GULFPORT ENERGY CORP

SOLE

COMMON SHARES

Shares699.09K

TypeSH

Market value$61.7K

1.71%

Sole

699.09K

Shared

0.00

None

0.00

WIX COM LTD

SOLE

NOTE 7/0

Shares61.86M

TypePRN

Market value$59.5K

1.65%

Sole

61.86M

Shared

0.00

None

0.00

ENCORE CAP EUROPE FIN LTD

SOLE

NOTE 4.500% 9/0

Shares47.90M

TypePRN

Market value$55.6K

1.54%

Sole

47.90M

Shared

0.00

None

0.00

MICROSTRATEGY INC

SOLE

NOTE 0.750%12/1

Shares70.40M

TypePRN

Market value$52.5K

1.46%

Sole

70.40M

Shared

0.00

None

0.00

BLOOM ENERGY CORP

SOLE

NOTE 2.500% 8/1

Shares30.33M

TypePRN

Market value$42.2K

1.17%

Sole

30.33M

Shared

0.00

None

0.00

VALARIS LIMITED

SOLE

CL A

Shares861.17K

TypeSH

Market value$42.1K

1.17%

Sole

861.17K

Shared

0.00

None

0.00

WILLIS TOWERS WATSON PLC LTD

SOLE

SHS

Shares208.46K

TypeSH

Market value$41.9K

1.16%

Sole

208.46K

Shared

0.00

None

0.00

WAYFAIR INC

SOLE

NOTE 1.000% 8/1

Shares61.50M

TypePRN

Market value$38.3K

1.06%

Sole

61.50M

Shared

0.00

None

0.00

TRIPLE FLAG PRECIOUS METAL

SOLE

COM

Shares2.94M

TypeSH

Market value$37.2K

1.03%

Sole

2.94M

Shared

0.00

None

0.00

MICROSTRATEGY INC

SOLE

NOTE 2/1

Shares78.30M

TypePRN

Market value$34.9K

0.97%

Sole

78.30M

Shared

0.00

None

0.00

NOVAVAX INC

SOLE

NOTE 3.750% 2/0

Shares34.66M

TypePRN

Market value$33.9K

0.94%

Sole

34.66M

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole
PALO ALTO NETWORKS INCSOLE	NOTE 0.750% 7/0	111.51M	PRN	$206.7K 5.74%	111.51M
SPDR S&P 500 ETF TRSOLE	PUT	500K	SH	$178.6K 4.96%	500K
PALO ALTO NETWORKS INCSOLE	NOTE 0.375% 6/0	82.18M	PRN	$138.9K 3.86%	82.18M
WOLFSPEED INCSOLE	NOTE 1.750% 5/0	52.21M	PRN	$118.0K 3.28%	52.21M
AMERICAN AIRLS GROUP INCSOLE	PUT	8.95M	SH	$107.8K 2.99%	8.95M
SUNNOVA ENERGY INTL INC.SOLE	NOTE 0.250%12/0	121.90M	PRN	$102.3K 2.84%	121.90M
AMERICAN AIRLINES GROUP INCSOLE	NOTE 6.500% 7/0	99.48M	PRN	$100.3K 2.79%	99.48M
COPA HOLDINGS SASOLE	NOTE 4.500% 4/1	67.19M	PRN	$96.7K 2.69%	67.19M
MONGODB INCSOLE	NOTE 0.250% 1/1	75.48M	PRN	$88.0K 2.44%	75.48M
APPLE INCSOLE	PUT	600K	SH	$82.9K 2.30%	600K
BLOCK INCSOLE	NOTE 0.500% 5/1	78.18M	PRN	$80.1K 2.22%	78.18M
ZSCALER INCSOLE	NOTE 0.125% 7/0	60.82M	PRN	$77.5K 2.15%	60.82M
DISH NETWORK CORPORATIONSOLE	NOTE 12/1	110M	PRN	$72.2K 2.00%	110M
ZILLOW GROUP INCSOLE	NOTE 1.375% 9/0	70.79M	PRN	$68.4K 1.90%	70.79M
GULFPORT ENERGY CORPSOLE	COMMON SHARES	699.09K	SH	$61.7K 1.71%	699.09K
WIX COM LTDSOLE	NOTE 7/0	61.86M	PRN	$59.5K 1.65%	61.86M
ENCORE CAP EUROPE FIN LTDSOLE	NOTE 4.500% 9/0	47.90M	PRN	$55.6K 1.54%	47.90M
MICROSTRATEGY INCSOLE	NOTE 0.750%12/1	70.40M	PRN	$52.5K 1.46%	70.40M
BLOOM ENERGY CORPSOLE	NOTE 2.500% 8/1	30.33M	PRN	$42.2K 1.17%	30.33M
VALARIS LIMITEDSOLE	CL A	861.17K	SH	$42.1K 1.17%	861.17K
WILLIS TOWERS WATSON PLC LTDSOLE	SHS	208.46K	SH	$41.9K 1.16%	208.46K
WAYFAIR INCSOLE	NOTE 1.000% 8/1	61.50M	PRN	$38.3K 1.06%	61.50M
TRIPLE FLAG PRECIOUS METALSOLE	COM	2.94M	SH	$37.2K 1.03%	2.94M
MICROSTRATEGY INCSOLE	NOTE 2/1	78.30M	PRN	$34.9K 0.97%	78.30M
NOVAVAX INCSOLE	NOTE 3.750% 2/0	34.66M	PRN	$33.9K 0.94%	34.66M

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