Administrator

0001420506-19-000973.txt : 20191029 0001420506-19-000973.hdr.sgml : 20191029 20191029124533 ACCESSION NUMBER: 0001420506-19-000973 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191029 DATE AS OF CHANGE: 20191029 EFFECTIVENESS DATE: 20191029 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: 191175595 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: LCS LLC /BD DATE OF NAME CHANGE: 20010611 FORMER COMPANY: FORMER CONFORMED NAME: EQUITEC SPECIALISTS LLC /BD DATE OF NAME CHANGE: 20010611 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0001108829 XXXXXXXX 09-30-2019 09-30-2019 false EQUITEC SPECIALISTS, LLC

111 WEST JACKSON BLVD 20 TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-16417 N Robert Wenzel Administrator 312-692-5081 Robert Wenzel, Administrator CHICAGO IL 09-30-2019 0 140 13364 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AKERNA CORP *W EXP 06/17/202 00973W110 0 56 SH SOLE 56 0 0 ALEXANDRIA REAL ESTATE EQ IN PFD CONV SER D 015271505 0 50 SH SOLE 50 0 0 ALPHABET INC CAP STK CL A 02079K305 0 300 SH SOLE 300 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 0 55 SH SOLE 55 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 0 74 SH Put SOLE 0 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 0 1 SH SOLE 1 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 0 8 SH Call SOLE 0 0 0 ANI PHARMACEUTICALS INC COM 00182C103 0 9 SH Call SOLE 0 0 0 ANI PHARMACEUTICALS INC NOTE 3.000%12/0 00182CAA1 0 6 PRN SOLE 6 0 0 AQUA AMERICA INC UNIT 04/30/2022 03836W202 2092 34522 SH SOLE 34522 0 0 ASSURANT INC 6.50% CONV PFD D 04621X207 0 22 SH SOLE 22 0 0 AVANTOR INC 6.25 PFD CNV SR 05352A209 0 193 SH SOLE 193 0 0 AVANTOR INC COM 05352A100 0 11 SH Call SOLE 0 0 0 AVANTOR INC COM 05352A100 0 77 SH Put SOLE 0 0 0 B RILEY FINL INC COM 05580M108 0 100 SH SOLE 100 0 0 B RILEY PRINCIPAL MERGER COR *W EXP 04/08/202 05586Y114 0 50 SH SOLE 50 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L209 0 10 SH SOLE 10 0 0 BECTON DICKINSON & CO COM 075887109 0 600 SH Call SOLE 0 0 0 BECTON DICKINSON & CO COM 075887109 0 4 SH Put SOLE 0 0 0 BECTON DICKINSON & CO PFD SHS CONV A 075887208 0 797 SH SOLE 797 0 0 BLINK CHARGING CO *W EXP 01/31/202 09354A118 0 146 SH SOLE 146 0 0 BLUELINX HLDGS INC COM NEW 09624H208 0 82 SH SOLE 82 0 0 BOXWOOD MERGER CORP *W EXP 11/26/202 10319T119 0 38 SH SOLE 38 0 0 BROADCOM INC COM 11135F101 0 1 SH Put SOLE 0 0 0 BROADCOM INC COM 11135F101 0 1 SH Call SOLE 0 0 0 CENTERPOINT ENERGY INC DEP RP PFD CV B 15189T503 0 89 SH SOLE 89 0 0 CENTERPOINT ENERGY INC COM 15189T107 0 11 SH Put SOLE 0 0 0 CF FIN ACQUISITION CORP *W EXP 04/30/202 12528N115 0 50 SH SOLE 50 0 0 CHANGE HEALTHCARE INC COM 15912K100 0 5 SH Call SOLE 0 0 0 CHANGE HEALTHCARE INC COM 15912K100 0 29 SH Put SOLE 0 0 0 CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 0 282 SH SOLE 282 0 0 CLARIVATE ANALYTICS PLC *W EXP 11/09/201 G21810117 0 3 SH SOLE 3 0 0 COLFAX CORP COM 194014106 0 5 SH Call SOLE 0 0 0 COLFAX CORP UNIT 01/15/2022T 194014205 0 145 SH SOLE 145 0 0 COUPA SOFTWARE INC COM 22266L106 0 1 SH Call SOLE 0 0 0 COUPA SOFTWARE INC COM 22266L106 0 3 SH Put SOLE 0 0 0 COUPA SOFTWARE INC NOTE 0.375% 1/1 22266LAB2 0 3 PRN SOLE 3 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 0 16 SH SOLE 16 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 0 8 SH Put SOLE 0 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 0 7 SH SOLE 7 0 0 DANAHER CORPORATION DBCV 1/2 235851AF9 0 30 PRN SOLE 30 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 0 2 SH SOLE 2 0 0 DARLING INGREDIENTS INC COM 237266101 0 18 SH SOLE 18 0 0 DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 0 50 SH SOLE 50 0 0 DEXCOM INC NOTE 0.750% 5/1 252131AF4 0 1 PRN SOLE 1 0 0 DOMINION ENERGY INC UNIT 99/99/9999 25746U133 0 195 SH SOLE 195 0 0 DTE ENERGY CO UNIT 99/99/9999 233331883 0 1 SH SOLE 1 0 0 DTE ENERGY CO COM 233331107 0 300 SH Put SOLE 0 0 0 ENCORE CAP GROUP INC COM 292554102 0 300 SH Call SOLE 0 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 0 4 PRN SOLE 4 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 0 3 SH Call SOLE 0 0 0 ENERGIZER HLDGS INC NEW 7.5 MCNV PFD A 29272W208 0 94 SH SOLE 94 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 0 35 SH Put SOLE 0 0 0 ENVESTNET INC NOTE 1.750%12/1 29404KAA4 0 4 PRN SOLE 4 0 0 EPR PPTYS COM SH BEN INT 26884U109 0 39 SH Call SOLE 0 0 0 EPR PPTYS COM SH BEN INT 26884U109 0 7 SH Put SOLE 0 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 0 156 SH SOLE 156 0 0 EPR PPTYS CONV PFD 9% SR E 26884U307 0 1 SH SOLE 1 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 0 25 SH SOLE 25 0 0 FIRST MAJESTIC SILVER CORP NOTE 1.875% 3/0 32076VAB9 0 2 PRN SOLE 2 0 0 FORTIVE CORP 5% PFD CNV SER A 34959J207 0 18 SH SOLE 18 0 0 FORTIVE CORP COM 34959J108 0 2 SH Call SOLE 0 0 0 FORTIVE CORP COM 34959J108 0 37 SH Put SOLE 0 0 0 FORUM MERGER II CORP *W EXP 09/30/202 34986F111 0 50 SH SOLE 50 0 0 GIGCAPITAL INC *W EXP 06/08/202 37518N122 0 50 SH SOLE 50 0 0 GRAF INDL CORP *W EXP 12/31/202 384278115 0 100 SH SOLE 100 0 0 GREEN PLAINS INC COM 393222104 0 3 SH SOLE 3 0 0 HC2 HLDGS INC COM 404139107 0 945 SH SOLE 945 0 0 HENNESSY CAP ACQUSTION CORP *W EXP 09/05/202 42589C112 0 40 SH SOLE 40 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 3288 1922991 SH SOLE 1922991 0 0 HOSTESS BRANDS INC CL A 44109J106 334 23900 SH Call SOLE 0 0 0 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 0 11 SH Put SOLE 0 0 0 INTEL CORP COM 458140100 0 2 SH SOLE 2 0 0 INTERNATIONAL FLAVORS&FRAGRA UNIT 09/15/2021 459506309 0 50 SH SOLE 50 0 0 INVITAE CORP COM 46185L103 0 1 SH SOLE 1 0 0 INVITAE CORP COM 46185L103 0 1 SH Put SOLE 0 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 0 50 SH SOLE 50 0 0 LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 0 109 SH SOLE 109 0 0 LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 0 12 PRN SOLE 12 0 0 LYFT INC CL A COM 55087P104 0 16 SH SOLE 16 0 0 MAGNOLIA OIL & GAS CORP CL A 559663109 0 3 SH Call SOLE 0 0 0 MEDICINES CO NOTE 2.500% 1/1 584688AE5 0 3 PRN SOLE 3 0 0 MEDICINES CO COM 584688105 0 27 SH Call SOLE 0 0 0 MEDICINES CO COM 584688105 0 200 SH Put SOLE 0 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 0 50 SH SOLE 50 0 0 MICRON TECHNOLOGY INC NOTE 2.125% 2/1 595112AV5 0 1 PRN SOLE 1 0 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 0 1 PRN SOLE 1 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 0 60 SH SOLE 60 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 0 63 SH SOLE 63 0 0 NABORS INDUSTRIES LTD SHS G6359F103 0 106 SH Call SOLE 0 0 0 NABORS INDUSTRIES LTD 6% PFD CNV SR A G6359F129 0 27 SH SOLE 27 0 0 NABORS INDUSTRIES LTD SHS G6359F103 0 41 SH Put SOLE 0 0 0 NATIONAL HOLDINGS CORP COM NEW 636375206 0 399 SH SOLE 399 0 0 NESCO HLDGS INC *W EXP 01/01/202 64083J112 0 66 SH SOLE 66 0 0 NETFIN ACQUISITION CORP *W EXP 08/01/202 G6455A115 0 50 SH SOLE 50 0 0 NETFLIX INC COM 64110L106 0 3 SH SOLE 3 0 0 NEW MEDIA INVT GROUP INC COM 64704V106 0 36 SH SOLE 36 0 0 NEW SR INVT GROUP INC COM 648691103 0 194 SH SOLE 194 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 0 182 SH SOLE 182 0 0 NIO INC SPON ADS 62914V106 0 4 SH SOLE 4 0 0 NIO INC SPON ADS 62914V106 0 17 SH Call SOLE 0 0 0 NIO INC SPON ADS 62914V106 0 10 SH Put SOLE 0 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 0 1 PRN SOLE 1 0 0 NXP SEMICONDUCTORS N V COM N6596X109 0 33 SH Call SOLE 0 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 0 6 PRN SOLE 6 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 0 27 SH SOLE 27 0 0 PIVOTAL ACQUISITION CORP *W EXP 12/01/202 72583A119 0 66 SH SOLE 66 0 0 POTBELLY CORP COM 73754Y100 0 5 SH SOLE 5 0 0 PROS HOLDINGS INC COM 74346Y103 0 2 SH Put SOLE 0 0 0 PROS HOLDINGS INC NOTE 2.000%12/0 74346YAB9 0 3 PRN SOLE 3 0 0 PRUDENTIAL FINL INC COM 744320102 0 8 SH SOLE 8 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 0 24 SH SOLE 24 0 0 RANPAK HLDGS CORP *W EXP 06/03/202 75321W111 0 22 SH SOLE 22 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 0 44 SH Call SOLE 0 0 0 RESTORATION HARDWARE HLDGS I DBCV 7/1 761283AC4 0 2 PRN SOLE 2 0 0 REXNORD CORP NEW COM 76169B102 0 76 SH Call SOLE 0 0 0 REXNORD CORP NEW COM 76169B102 0 131 SH Put SOLE 0 0 0 SB FINL GROUP INC DEP SHS PFD 6.5% 78408D204 0 700 SH SOLE 700 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 0 50 SH SOLE 50 0 0 SEMPRA ENERGY COM 816851109 0 400 SH Call SOLE 0 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 0 225 SH SOLE 225 0 0 SEMPRA ENERGY 6.75% CNV PFD B 816851505 0 7 SH SOLE 7 0 0 SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 0 28 SH SOLE 28 0 0 SILVER STD RES INC NOTE 2.875% 2/0 82823LAC0 0 6 PRN SOLE 6 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 0 25 SH SOLE 25 0 0 SONIM TECHNOLOGIES INC COM 83548F101 0 2 SH SOLE 2 0 0 SOUTH JERSEY INDS INC UNIT 99/99/9999 838518116 0 231 SH SOLE 231 0 0 SOUTHERN CO UNIT 08/01/2022 842587602 0 177 SH SOLE 177 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 1 SH SOLE 1 0 0 TESLA INC COM 88160R101 265 1100 SH SOLE 1100 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 2719 2787000 PRN SOLE 2787000 0 0 TIBERIUS ACQUISITION CORP *W EXP 02/28/202 88633A115 30 50000 SH SOLE 50000 0 0 TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 9 99728 SH SOLE 99728 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 9 59914 SH SOLE 59914 0 0 TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 20 25000 SH SOLE 25000 0 0 TRINITY MERGER CORP *W EXP 05/11/202 89653L114 292 229700 SH SOLE 229700 0 0 TTM TECHNOLOGIES INC NOTE 1.750%12/1 87305RAD1 3616 2712000 PRN SOLE 2712000 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 13 29300 SH SOLE 29300 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 492 5109 SH SOLE 5109 0 0 XENCOR INC COM 98401F105 185 5489 SH SOLE 5489 0 0