ZAZOVE ASSOCIATES LLC
Adviser information for ZAZOVE ASSOCIATES LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 82 | $2.3B |
| Non-Discretionary | 0 | $0 |
| Total | 82 | $2.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $261.6M |
| Pension and profit sharing plans | 5 | $88.0M |
| Charitable organizations | <5 | $462 |
| State or municipal gov entities | <5 | $84.2M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 64 | $1.6B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $216.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 10 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
1001 TAHOE BLVDINCLINE VILLAGE
NV
United States
Monday - Friday, 6:00AM - 3:30PM
Tel: 775.298.7500, Fax: 775.298.7599
Chief Compliance Officer
SAMUEL N. GINOCCHIO
2919 DOUGLAS TERRACE
CINCINNATI
OH
United States
Tel:
7752987513
S*********@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ZAZOVE AGGRESSIVE GROWTH FUND, L.P. | Hedge Fund | $42.9M | $0.5M | 12 |
| ZAZOVE CONVERTIBLE SECURITIES FUND, L.P. | Hedge Fund | $41.7M | $0.5M | 64 |
| ZAZOVE GLOBAL CONVERTIBLE MASTER FUND, L.P. | Hedge Fund | $19.1M | $0.5M | 19 |
| ZAZOVE HEDGED CONVERTIBLE FUND, L.P. | Hedge Fund | $132.7M | $1.0M | 9 |
| ZAZOVE INVESTMENT GRADE BLEND CONVERTIBLE FUND, L.P. | Hedge Fund | $49.4M | $1.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PRETTI, GENE, THOMAS | Individual | – | CHIEF EXECUTIVE OFFICER; MEMBER | 01/1995 | < 5% |
| ZAZOVE ASSOCIATES, INC. | Domestic Entity | – | MANAGING MEMBER | 01/1995 | > 75% |
| PRETTI, GENE, THOMAS | Individual | ZAZOVE ASSOCIATES, INC. | PRESIDENT; CHAIRMAN | 03/1989 | > 75% |
| GINOCCHIO, SAMUEL, NELLIS | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| Shelby, Robert, Ryan | Individual | – | MANAGING PARTNER/MEMBER | 01/2023 | 10-25% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ADAM NAT RES FD INC | COM | 42K | 2K | – |
| AMPRIUS TECHNOLOGIES INC | COMMON STOCK | 1M | 1M | – |
| THE BEAUTY HEALTH COMPANY | COM CL A | 657K | 342K | – |
| BRAEMAR HOTELS & RESORTS INC | COM | 5M | 2M | – |
| BUTTERFLY NETWORK INC | COM CL A | 467K | 556K | – |
| CLEAR CHANNEL OUTDOOR HLDGS | COM | 3M | 2M | – |
| CONTAINER STORE GROUP INC | COM | 254K | 470K | – |
| CUMULUS MEDIA INC | COM CL A | 3M | 1M | – |
| CVR PARTNERS LP | COM | 6M | 78K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 81K | 5K | – |
| GDL FD | COM SH BEN IT | 3M | 378K | – |
| GRANITE RIDGE RESOURCES INC | COM | 7M | 1M | – |
| HERTZ GLOBAL HLDGS INC | COM NEW | 573K | 162K | – |
| HUDSON TECHNOLOGIES INC | COM | 1M | 125K | – |
| ISHARES TR | 0-3 MNTH TREASRY | 413K | 4K | – |
| KAYNE ANDERSON ENERGY INFRST | COM | 7M | 680K | – |
| MIRION TECHNOLOGIES INC | COM CL A | 5K | 461 | – |
| NATIONAL CINEMEDIA INC | COM NEW | 571K | 130K | – |
| OSISKO DEVELOPMENT CORP | COM NEW | 1M | 625K | – |
| SIMPLIFY EXCHANGE TRADED FUN | SIMPLIFY INTERST | 567K | 12K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 413K | 5K | – |
| SUNOPTA INC | COM | 3M | 472K | – |
| TH INTERNATIONAL LIMITED | ORDINARY SHARES | 1M | 1M | – |
| URBAN ONE INC | CL A | 1M | 561K | – |
| URBAN ONE INC | CL D NON VTG | 5M | 3M | – |
| WEATHERFORD INTL PLC | ORD SHS | 57K | 467 | – |
| AKAMAI TECHNOLOGIES INC | NOTE 0.375% 9/0 | 14M | – | – |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 5M | – | – |
| ALNYLAM PHARMACEUTICALS INC | NOTE 1.000% 9/1 | 22M | – | – |
| ALTAIR ENGR INC | NOTE 1.750% 6/1 | 2M | – | – |
| AMERICAN AIRLINES GROUP INC | NOTE 6.500% 7/0 | 11M | – | – |
| ASCENDIS PHARMA A/S | NOTE 2.250% 4/0 | 15M | – | – |
| BLOCK INC | NOTE 5/0 | 223K | – | – |
| BLOOM ENERGY CORP | NOTE 3.000% 6/0 | 3M | – | – |
| BRAEMAR HOTELS & RESORTS INC | NOTE 4.500% 6/0 | 17M | – | – |
| BROOKDALE SR LIVING INC | NOTE 2.000%10/1 | 11M | – | – |
| CABLE ONE INC | NOTE 3/1 | 218K | – | – |
| CHEFS WHSE INC | NOTE 1.875%12/0 | 1M | – | – |
| CHEGG INC | NOTE 9/0 | 159K | – | – |
| CMS ENERGY CORP | NOTE 3.375% 5/0 | 5M | – | – |
| CNX RES CORP | NOTE 2.250% 5/0 | 5M | – | – |
| CONFLUENT INC | NOTE 1/1 | 2M | – | – |
| CONMED CORP | NOTE 2.250% 6/1 | 9M | – | – |
| CRACKER BARREL OLD CTRY STOR | NOTE 0.625% 6/1 | 221K | – | – |
| CUTERA INC | NOTE 2.250% 6/0 | 1M | – | – |
| CUTERA INC | NOTE 4.000% 6/0 | 1M | – | – |
| DATADOG INC | NOTE 0.125% 6/1 | 4M | – | – |
| DEXCOM INC | NOTE 0.375% 5/1 | 47M | – | – |
| DEXCOM INC | NOTE 0.250%11/1 | 3M | – | – |
| DUKE ENERGY CORP NEW | NOTE 4.125% 4/1 | 37M | – | – |
| ENVISTA HOLDINGS CORPORATION | NOTE 2.375% 6/0 | 19M | – | – |
| ETSY INC | NOTE 0.125%10/0 | 2M | – | – |
| ETSY INC | NOTE 0.250% 6/1 | 789K | – | – |
| EXPEDIA GROUP INC | NOTE 2/1 | 190K | – | – |
| FIVE9 INC | NOTE 0.500% 6/0 | 286K | – | – |
| FORD MTR CO DEL | NOTE 3/1 | 47M | – | – |
| FORUM ENERGY TECHNOLOGIES IN | NOTE 9.000% 8/0 | 113K | – | – |
| GUARDANT HEALTH INC | NOTE 11/1 | 3M | – | – |
| HAEMONETICS CORP MASS | NOTE 3/0 | 20K | – | – |
| IMAX CORP | NOTE 0.500% 4/0 | 703K | – | – |
| INNOVATE CORP | NOTE 7.500% 8/0 | 4M | – | – |
| INSULET CORP | NOTE 0.375% 9/0 | 460K | – | – |
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 2M | – | – |
| INTERDIGITAL INC | NOTE 3.500% 6/0 | 7M | – | – |
| JAZZ INVESTMENTS I LTD | NOTE 2.000% 6/1 | 41M | – | – |
| JOHN BEAN TECHNOLOGIES CORP | NOTE 0.250% 5/1 | 22M | – | – |
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 3M | – | – |
| LIBERTY MEDIA CORP DEL | DEB 3.750% 2/1 | 79K | – | – |
| LIBERTY MEDIA CORP DEL | NOTE 3.750% 3/1 | 49M | – | – |
| LIBERTY MEDIA CORP DEL | NOTE 2.250% 8/1 | 2M | – | – |
| LYFT INC | NOTE 1.500% 5/1 | 199K | – | – |
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 45M | – | – |
| MIDDLEBY CORP | NOTE 1.000% 9/0 | 25M | – | – |
| MIRUM PHARMACEUTICALS INC | NOTE 4.000% 5/0 | 1M | – | – |
| NCL CORP LTD | NOTE 5.375% 8/0 | 13M | – | – |
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 7M | – | – |
| NOVOCURE LTD | NOTE 11/0 | 146K | – | – |
| NUTANIX INC | NOTE 0.250%10/0 | 26M | – | – |
| OKTA INC | NOTE 0.375% 6/1 | 223K | – | – |
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 2M | – | – |
| PACIRA BIOSCIENCES INC | NOTE 0.750% 8/0 | 282K | – | – |
| PAGERDUTY INC | NOTE 1.250% 7/0 | 2M | – | – |
| PEABODY ENGR CORP | NOTE 3.250% 3/0 | 3M | – | – |
| PEBBLEBROOK HOTEL TR | NOTE 1.750%12/1 | 3M | – | – |
| PENN ENTERTAINMENT INC | NOTE 2.750% 5/1 | 8M | – | – |
| PENNYMAC CORP | NOTE 5.500% 3/1 | 273K | – | – |
| PETIQ INC | NOTE 4.000% 6/0 | 17M | – | – |
| POST HLDGS INC | NOTE 2.500% 8/1 | 2M | – | – |
| PPL CAP FDG INC | NOTE 2.875% 3/1 | 45M | – | – |
| RINGCENTRAL INC | NOTE 3/1 | 444K | – | – |
| RIVIAN AUTOMOTIVE INC | NOTE 4.625% 3/1 | 3M | – | – |
| SEA LTD | NOTE 2.375%12/0 | 2M | – | – |
| SEA LTD | NOTE 0.250% 9/1 | 146K | – | – |
| SHIFT4 PMTS INC | NOTE 0.500% 8/0 | 9M | – | – |
| SMART GLOBAL HLDGS INC | NOTE 2.250% 2/1 | 1M | – | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 4M | – | – |
| SPOTIFY USA INC | NOTE 3/1 | 6M | – | – |
| SSR MINING IN | NOTE 2.500% 4/0 | 28M | – | – |
| SUMMIT HOTEL PPTYS | NOTE 1.500% 2/1 | 3M | – | – |
| TRANSMEDICS GROUP INC | NOTE 1.500% 6/0 | 3M | – | – |
| TYLER TEX INDPT SCH DIST | NOTE 0.250% 3/1 | 25M | – | – |
| UBER TECHNOLOGIES INC | NOTE 12/1 | 18M | – | – |
| VAREX IMAGING CORP | NOTE 4.000% 6/0 | 12M | – | – |
| VENTAS RLTY LTD PARTNERSHIP | NOTE 3.750% 6/0 | 67M | – | – |
| ZILLOW GROUP INC | NOTE 1.375% 9/0 | 3M | – | – |
| EL PASO ENERGY CAP TR I | PFD CV TR SEC 28 | 20K | 434 | – |
| RLJ LODGING TR | CUM CONV PFD A | 230K | 9K | – |
| VANGUARD BD INDEX FDS | VANGUARD ULTRA | 5M | 100K | – |
| ALGOMA STL GROUP INC | *W EXP 10/19/202 | 9K | 10K | – |
| ARKO CORP | *W EXP 12/22/202 | 217K | 467K | – |
| AST SPACEMOBILE INC | *W EXP 04/06/202 | 158K | 38K | – |
| COMPLETE SOLARIA INC | *W EXP 07/31/202 | 1K | 25K | – |
| FINANCE OF AMERICA COMPAN | *W EXP 04/08/202 | 5K | 503K | – |
| FREYR BATTERY INC | *W EXP 07/09/202 | 50K | 346K | – |
| GCT SEMICONDUCTOR HLDG INC | *W EXP 03/01/202 | 110K | 669K | – |
| HERTZ GLOBAL HLDGS INC | *W EXP 06/30/205 | 1M | 441K | – |
| JASPER THERAPEUTICS INC | *W EXP 09/24/202 | 13K | 65K | – |
| LANDSEA HOMES CORP | *W EXP 01/08/202 | 438K | 2M | – |
| LANVIN GROUP HOLDINGS LIMITE | *W EXP 01/14/202 | 44K | 1M | – |
| MONTANA TECHNOLOGIES CORP | *W EXP 03/15/202 | 13K | 9K | – |
| NET POWER INC | *W EXP 06/08/202 | 3M | 1M | – |
| NUSCALE PWR CORP | *W EXP 05/02/202 | 415K | 146K | – |
| NWTN INC | *W EXP 12/31/202 | 4K | 65K | – |
| PAYSAFE LIMITED | *W EXP 03/30/202 | 10K | 400K | – |
| POLESTAR AUTOMOTIVE HLDG UK | ADS C-1 | 3K | 24K | – |
| PSQ HOLDINGS INC | *W EXP 99/99/999 | 101K | 271K | – |
| PURECYCLE TECHNOLOGIES INC | *W EXP 03/17/202 | 509K | 344K | – |
| ROADZEN INC | *W EXP 11/30/202 | 6K | 151K | – |
| RUMBLE INC | *W EXP 09/16/202 | 1M | 1M | – |
| TRUMP MEDIA & TECHNOLOGY GRO | *W EXP 03/25/202 | 2M | 101K | – |
| WESTROCK COFFEE CO | *W EXP 08/29/202 | 7M | 3M | – |
| WHOLE EARTH BRANDS INC | *W EXP 06/25/202 | 167K | 3M | – |