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