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ZA

Zazove Associates Portfolio holdings

AUM $1.22B
1-Year Est. Return 1.91%
This Fund
S&P 500
This Quarter Est. Return
+0.34%
1 Year Est. Return
+1.91%
3 Year Est. Return
+11.01%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$1.14B
AUM Growth
+$28.9M
Cap. Flow
-$895M
Cap. Flow %
-78.24%
Top 10 Hldgs %
40.51%
Holding
164
New
10
Increased
10
Reduced
3
Closed
11

Top Buys

Rank Stock Value
1
SKINW
The Beauty Health Company Warrant expiring 5/4/2026
SKINW
+$2.77M
2
RVNC
Revance Therapeutics, Inc.
RVNC
+$2.52M
3
GDL
GDL Fund
GDL
+$1.83M
4
ALIT.WS
Alight Inc Warrants
ALIT.WS
+$1.72M
5
TBPH icon
Theravance Biopharma
TBPH
+$1.03M

Top Sells

Rank Stock Value
1
STEM.WS
Stem, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise pri
STEM.WS
+$3.56M
2
CLOVW
Clover Health Investments, Corp. Warrants
CLOVW
+$3.26M
3
FIRY
Firy Inc
FIRY
+$3.26M
4
EVV
Eaton Vance Limited Duration Income Fund
EVV
+$2.88M
5
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$1.9M

Sector Composition

Rank Sector Weight
1 Communication Services 1.97%
2 Energy 1.13%
3 Real Estate 0.98%
4 Healthcare 0.6%
5 Industrials 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ECOLW
26
DELISTED
US Ecology, Inc. Warrant
ECOLW
$1.2M 0.11%
217,965
– –
SMM
27
DELISTED
Salient Midstream & MLP Fund
SMM
$995K 0.09%
156,650
– –
IRNT.WS
28
DELISTED
IronNet, Inc. Redeemable Warrants, each whole warrant exercisable for shares of Common Stock at an exercise price of $11.50 per share
IRNT.WS
$927K 0.08%
+203,574
New +$1.02M
SOFIW
29
DELISTED
SoFi Technologies, Inc. Warrants
SOFIW
$874K 0.08%
140,000
+112,030
+401% +$678K
PSFE.WS
30
DELISTED
Paysafe Ltd Warrants
PSFE.WS
$750K 0.07%
404,123
– –
LSEAW
31
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$714K 0.06%
2,916,304
– –
TBPH icon
32
Theravance Biopharma
TBPH
$877M
$678K 0.06%
+91,669
New +$1.03M
FOA.WS
33
DELISTED
Finance of America Companies Inc. Warrants, each whole warrant exercisable for one Class A Common Stock at an exercise price of $11.50
FOA.WS
$650K 0.06%
1,012,171
– –
CANO.WS
34
DELISTED
Cano Health, Inc. Redeemable Warrants, each whole warrant is exercisable for one-one hundredth (1/100th) of a share of Class A Common Stock at an exercise price of $1,150
CANO.WS
$536K 0.05%
129,450
– –
FRA icon
35
BlackRock Floating Rate Income Strategies Fund
FRA
$385M
$511K 0.04%
38,276
– –
BFLY.WS
36
DELISTED
Butterfly Network Inc Warrants
BFLY.WS
$487K 0.04%
174,427
+124,216
+247% +$415K
JRO
37
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$462K 0.04%
46,255
– –
CURIW
38
DELISTED
CuriosityStream Warrant
CURIW
$444K 0.04%
150,157
+2,800
+2% +$9.87K
TE.WS
39
DELISTED
T1 Energy Inc Warrants
TE.WS
$388K 0.03%
+139,700
New +$299K
MAPSW
40
DELISTED
WM TECHNOLOGY INC WTS
MAPSW
$346K 0.03%
+72,524
New +$355K
EPD icon
41
Enterprise Products Partners
EPD
$81.7B
$318K 0.03%
14,710
– –
WSC icon
42
WillScot Mobile Mini Holdings
WSC
$4.41B
$269K 0.02%
8,470
– –
AFT
43
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$229K 0.02%
14,507
– –
GEL icon
44
Genesis Energy
GEL
$1.84B
$204K 0.02%
20,500
– –
WFRD icon
45
Weatherford International
WFRD
$6.22B
$187K 0.02%
9,512
– –
TMCWW
46
TMC The Metals Company Warrants
TMCWW
$1.19M
$181K 0.02%
+187,526
New +$253K
JSPRW icon
47
Japer Therapeutics Warrants
JSPRW
$178K 0.02%
+124,993
New +$134K
DSKEW
48
DELISTED
Daseke, Inc. Warrant
DSKEW
$128K 0.01%
621,375
-6,834
-1% -$1.26K
HLX icon
49
Helix Energy Solutions
HLX
$1.41B
$78K 0.01%
+20,000
New +$82.4K
PHD
50
DELISTED
Pioneer Floating Rate Fund
PHD
$75K 0.01%
6,511
– –
1
2
3

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Zazove Associates's Q3 2021 Portfolio in Review

As of Q3 2021, Zazove Associates held 164 positions worth $1.14B, up 2.6% from $1.11B the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Zazove Associates withdrew a net $895M in Q3 2021, closing 11 positions and reducing 3 holdings. Its most notable exit was Stem, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise pri, an estimated $3.56M position sold in full.

By sector, the portfolio is most concentrated in Communication Services at 2% of assets, up from 1.9% a quarter earlier, followed by Energy and Real Estate.

Against the trend, Zazove Associates opened a new position in The Beauty Health Company Warrant expiring 5/4/2026 worth $3.73M.

  • Zazove Associates's largest Q3 2021 buy was The Beauty Health Company Warrant expiring 5/4/2026: 258,380 shares worth $3.73M.
  • Zazove Associates added most to Revance Therapeutics, Inc. in Q3 2021, an estimated $2.52M increase.
  • Zazove Associates's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $1.89M.
  • Zazove Associates fully exited Stem, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise pri in Q3 2021, selling an estimated $3.56M.
  • Zazove Associates's ten largest holdings make up 41% of its $1.14B portfolio in Q3 2021.
  • Zazove Associates opened 10 new positions and closed 11 in Q3 2021.
  • Zazove Associates's portfolio value rose 2.6% quarter-over-quarter to $1.14B.

Based on Zazove Associates's 13F filing for Q3 2021, filed 25 Oct 2021.