0001420506-15-000389.txt : 20150805 0001420506-15-000389.hdr.sgml : 20150805 20150805104130 ACCESSION NUMBER: 0001420506-15-000389 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150805 DATE AS OF CHANGE: 20150805 EFFECTIVENESS DATE: 20150805 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EQUITEC SPECIALISTS, LLC CENTRAL INDEX KEY: 0001108829 IRS NUMBER: 364346872 STATE OF INCORPORATION: IL FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16417 FILM NUMBER: 151027844 BUSINESS ADDRESS: STREET 1: 111 WEST JACKSON BLVD STREET 2: 20 TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 312-692-5011 MAIL ADDRESS: STREET 1: 111 WEST JACKSON BLVD STREET 2: 20 TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 FORMER COMPANY: FORMER CONFORMED NAME: EQUITEC SPECIALISTS LLC /BD DATE OF NAME CHANGE: 20010611 FORMER COMPANY: FORMER CONFORMED NAME: LCS LLC /BD DATE OF NAME CHANGE: 20010611 13F-HR 1 primary_doc.xml 13F-HR LIVE false false true 0001108829 XXXXXXXX 06-30-2015 06-30-2015 false EQUITEC SPECIALISTS, LLC
111 WEST JACKSON BLVD 20 TH FLOOR CHICAGO IL 60604
13F HOLDINGS REPORT 028-16417 N
Christopher Kuehner Compliance Officer 312-692-5011 Christopher Kuehner , Compliance Officer CHICAGO IL 08-04-2015 0 94 386164 false
INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AIRTRAN HLDGS INC NOTE 5.250%11/0 00949PAD0 18182 7430000 PRN SOLE 7430000 0 0 ALERE INC COM 01449J105 79 1500 SH SOLE 1500 0 0 ALLERGAN PLC PFD CONV SER A G0177J116 914 874 SH SOLE 874 0 0 ANADARKO PETE CORP UNIT 99/99/9999 032511404 2467 48812 SH SOLE 48812 0 0 BEAZER HOMES USA INC UNIT 07/15/2015 07556Q709 69 2423 SH SOLE 2423 0 0 BGC PARTNERS INC CL A 05541T101 18 2000 SH SOLE 2000 0 0 BGC PARTNERS INC NOTE 4.500% 7/1 05541TAD3 1850 1751000 PRN SOLE 1751000 0 0 BGC PARTNERS INC CL A 05541T101 188 21500 SH Put SOLE 0 0 0 CALLAWAY GOLF CO NOTE 3.750% 8/1 131193AC8 1617 1340000 PRN SOLE 1340000 0 0 CATHAY GEN BANCORP *W EXP 12/05/201 149150112 3 300 SH SOLE 300 0 0 CELSION CORPORATION COM PAR $0.01 15117N404 0 100 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 413 45100 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 739 80724 SH SOLE 80724 0 0 CYTOSORBENTS CORP COM NEW 23283X206 45 7400 SH SOLE 7400 0 0 DANAHER CORP DEL NOTE 1/2 235851AF9 60 24000 PRN SOLE 24000 0 0 DEALERTRACK TECHNOLOGIES INC NOTE 1.500% 3/1 242309AB8 1687 1000000 PRN SOLE 1000000 0 0 EL PASO ENERGY CAP TR I PFD CV TR SECS 283678209 13875 248702 SH SOLE 248702 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 1698 1200000 PRN SOLE 1200000 0 0 ENPRO INDS INC DBCV 3.938%10/1 29355XAB3 17 10000 PRN SOLE 10000 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 1441 62733 SH SOLE 62733 0 0 EQUINIX INC NOTE 4.750% 6/1 29444UAH9 37367 11803000 PRN SOLE 11803000 0 0 FIAT CHRYSLER AUTOMOBILES N MAN COV SEC 16 N31738110 1562 12382 SH SOLE 12382 0 0 FRONTIER COMMUNICATIONS CORP PFD CONV SER-A 35906A207 1623 16242 SH SOLE 16242 0 0 GALENA BIOPHARMA INC COM 363256108 42 24500 SH Call SOLE 0 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 6 268 SH SOLE 268 0 0 GENESEE & WYO INC UNIT 10/01/2015 371559204 5016 49537 SH SOLE 49537 0 0 GENESEE & WYO INC CL A 371559105 3664 48100 SH Put SOLE 0 0 0 GENESEE & WYO INC CL A 371559105 792 10400 SH Call SOLE 0 0 0 GILEAD SCIENCES INC NOTE 1.625% 5/0 375558AP8 207 40000 PRN SOLE 40000 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 7 500 SH Call SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 1610 34400 SH Put SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 1928 41200 SH Call SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 1278 1101300 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 176 151300 SH Call SOLE 0 0 0 HEALTH CARE REIT INC PFD PER CON I 42217K601 2443 41093 SH SOLE 41093 0 0 HORIZON PHARMA PLC SHS G4617B105 1310 37700 SH SOLE 37700 0 0 HOST HOTELS & RESORTS INC COM 44107P104 103 5200 SH Call SOLE 0 0 0 HOST HOTELS & RESORTS INC COM 44107P104 248 12500 SH Put SOLE 0 0 0 IRIDIUM COMMUNICATIONS INC COM 46269C102 91 10000 SH Put SOLE 0 0 0 IRIDIUM COMMUNICATIONS INC PERP PFD CNV B 46269C409 8383 25032 SH SOLE 25032 0 0 ISIS PHARMACEUTICALS INC COM 464330109 92 1600 SH Call SOLE 0 0 0 ISIS PHARMACEUTICALS INC COM 464330109 17 300 SH Put SOLE 0 0 0 JAKKS PAC INC COM 47012E106 99 10000 SH SOLE 10000 0 0 JANUS CAP GROUP INC NOTE 0.750% 7/1 47102XAH8 1616 999000 PRN SOLE 999000 0 0 JARDEN CORP NOTE 1.875% 9/1 471109AH1 96 57000 PRN SOLE 57000 0 0 JASON INDS INC *W EXP 06/30/201 471172114 34 57866 SH SOLE 57866 0 0 JETBLUE AIRWAYS CORP COM 477143101 10 500 SH Put SOLE 0 0 0 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AG6 25732 6000000 PRN SOLE 6000000 0 0 KEARNY FINL CORP MD COM 48716P108 505 45239 SH SOLE 45239 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 594 220106 SH SOLE 220106 0 0 KINDER MORGAN INC DEL COM 49456B101 17537 456800 SH Call SOLE 0 0 0 MANNKIND CORP NOTE 5.750% 8/1 56400PAC6 1946 1930000 PRN SOLE 1930000 0 0 MANNKIND CORP COM 56400P201 1877 329900 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 1933 339800 SH Call SOLE 0 0 0 MCDERMOTT INTL INC COM 580037109 8 1500 SH Call SOLE 0 0 0 MENTOR GRAPHICS CORP SDCV 4.000% 4/0 587200AK2 1925 1423000 PRN SOLE 1423000 0 0 MICRON TECHNOLOGY INC NOTE 1.625% 2/1 595112AU7 6770 3839000 PRN SOLE 3839000 0 0 MICRON TECHNOLOGY INC COM 595112103 207 11000 SH Put SOLE 0 0 0 NEXTERA ENERGY INC COM 65339F101 1921 19600 SH Call SOLE 0 0 0 NEXTERA ENERGY INC UNIT 09/01/2015 65339F887 71365 1156450 SH SOLE 1156450 0 0 NEXTERA ENERGY INC COM 65339F101 1039 10600 SH Put SOLE 0 0 0 OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 17154 148644 SH SOLE 148644 0 0 PHOTRONICS INC NOTE 3.250% 4/0 719405AH5 1983 1875000 PRN SOLE 1875000 0 0 RADIAN GROUP INC NOTE 2.250% 3/0 750236AN1 1778 1000000 PRN SOLE 1000000 0 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 19268 323513 SH SOLE 323513 0 0 SANDISK CORP COM 80004C101 640 11000 SH Put SOLE 0 0 0 SANDISK CORP COM 80004C101 320 5500 SH Call SOLE 0 0 0 SEQUENOM INC COM NEW 817337405 131 43000 SH SOLE 43000 0 0 SEQUENOM INC NOTE 5.000%10/0 817337AB4 93 95000 PRN SOLE 95000 0 0 SEQUENOM INC COM NEW 817337405 140 45900 SH Put SOLE 0 0 0 SOLARCITY CORP NOTE 2.750%11/0 83416TAA8 36 33000 PRN SOLE 33000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 409 18000 SH Call SOLE 0 0 0 SOUTHWESTERN ENERGY CO DEP SHS 1/20 B 845467208 8213 166362 SH SOLE 166362 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 25731 125000 SH Put SOLE 0 0 0 STANLEY BLACK & DECKER INC UNIT 99/99/9999 854502309 725 5000 SH SOLE 5000 0 0 STARWOOD PPTY TR INC NOTE 4.550% 3/0 85571BAA3 1039 1000000 PRN SOLE 1000000 0 0 T MOBILE US INC CONV PFD SER A 872590203 4876 72239 SH SOLE 72239 0 0 TESLA MTRS INC COM 88160R101 349 1300 SH Put SOLE 0 0 0 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 8790 6256000 PRN SOLE 6256000 0 0 THOMPSON CREEK METALS CO INC COM 884768102 71 86400 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 73 88423 SH SOLE 88423 0 0 THOMPSON CREEK METALS CO INC COM 884768102 10 12500 SH Call SOLE 0 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 293 19000 SH SOLE 19000 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 454 29400 SH Put SOLE 0 0 0 TYSON FOODS INC UNIT 99/99/9999 902494301 143 2770 SH SOLE 2770 0 0 UNITED STATES STL CORP NEW COM 912909108 427 20700 SH Put SOLE 0 0 0 UNITED STATES STL CORP NEW COM 912909108 52 2500 SH Call SOLE 0 0 0 UNITED TECHNOLOGIES CORP UNIT 06/01/2015 913017117 39438 688274 SH SOLE 688274 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1664 15000 SH Put SOLE 0 0 0 UNIVERSAL CORP VA COM 913456109 2385 41600 SH Call SOLE 0 0 0 VALLEY NATL BANCORP *W EXP 11/14/201 919794131 17 68923 SH SOLE 68923 0 0 WESCO INTL INC DBCV 6.000% 9/1 95082PAH8 85 35000 PRN SOLE 35000 0 0 WINTRUST FINL CORP *W EXP 12/19/201 97650W157 715 23444 SH SOLE 23444 0 0 XENCOR INC COM 98401F105 121 5489 SH SOLE 5489 0 0