Administrator

0001420506-20-001054.txt : 20201013 0001420506-20-001054.hdr.sgml : 20201013 20201013091331 ACCESSION NUMBER: 0001420506-20-001054 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201013 DATE AS OF CHANGE: 20201013 EFFECTIVENESS DATE: 20201013 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: 201234887 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 09-30-2020 09-30-2020 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 10-12-2020 0 168 892937 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AKERNA CORP *W EXP 06/17/202 00973W110 42 112469 SH SOLE 112469 0 0 ALUSSA ENERGY ACQUISITION CO *W EXP 10/31/202 G0232J119 46 71000 SH SOLE 71000 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 97 143290 SH SOLE 143290 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 8303 675600 SH Put SOLE 0 0 0 AMERICAN AIRLS GROUP INC NOTE 6.500% 7/0 02376RAF9 16652 18063000 PRN SOLE 18063000 0 0 AMERICAN ELEC PWR CO INC UNIT 99/99/9999 02557T307 1139 23244 SH SOLE 23244 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 14651 532200 SH Call SOLE 0 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 30506 1108100 SH Put SOLE 0 0 0 ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 17 50000 SH SOLE 50000 0 0 APTIV PLC SHS G6095L109 385 4200 SH Put SOLE 0 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L203 1988 150000 SH Put SOLE 0 0 0 ASSURANT INC COM 04621X108 1480 12200 SH Put SOLE 0 0 0 ASSURANT INC COM 04621X108 12 100 SH Call SOLE 0 0 0 AVANTOR INC COM 05352A100 711 31600 SH Call SOLE 0 0 0 AVANTOR INC COM 05352A100 1390 61800 SH Put SOLE 0 0 0 AVAYA HLDGS CORP COM 05351X101 3 200 SH Put SOLE 0 0 0 B. RILEY FINANCIAL INC COM 05580M108 148 5900 SH SOLE 5900 0 0 BABCOCK & WILCOX ENTERPRISES COM 05614L209 360 155366 SH SOLE 155366 0 0 BILIBILI INC NOTE 1.375% 4/0 090040AB2 2118 1200000 PRN SOLE 1200000 0 0 BLINK CHARGING CO COM 09354A100 1474 143000 SH Call SOLE 0 0 0 BLINK CHARGING CO COM 09354A100 277 26900 SH Put SOLE 0 0 0 BLINK CHARGING CO *W EXP 01/31/202 09354A118 9043 1489724 SH SOLE 1489724 0 0 BLOOM ENERGY CORP COM CL A 093712107 52 2877 SH SOLE 2877 0 0 BLOOM ENERGY CORP COM CL A 093712107 144 8000 SH Put SOLE 0 0 0 BOSTON SCIENTIFIC CORP 5.50% CNV PFD A 101137206 127 1137 SH SOLE 1137 0 0 CAESARS ENTMT CORP NOTE 5.000%10/0 127686AA1 15045 7637165 PRN SOLE 7637165 0 0 CARDLYTICS INC COM 14161W105 35 500 SH SOLE 500 0 0 CARDTRONICS PLC SHS CL A G1991C105 26 1300 SH Call SOLE 0 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 5117 337100 SH Call SOLE 0 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 5189 341800 SH Put SOLE 0 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 4175 275019 SH SOLE 275019 0 0 CENTERPOINT ENERGY INC COM 15189T107 2 100 SH Put SOLE 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 1424 73600 SH Call SOLE 0 0 0 CHANGE HEALTHCARE INC COM 15912K100 4 300 SH Call SOLE 0 0 0 CHANGE HEALTHCARE INC COM 15912K100 505 34800 SH Put SOLE 0 0 0 CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 9833 184077 SH SOLE 184077 0 0 CHARDAN HEALTHCR ACQSTN 2 CO *W EXP 03/05/202 15957T115 7 10000 SH SOLE 10000 0 0 CHEGG INC COM 163092109 40 560 SH SOLE 560 0 0 CHEGG INC COM 163092109 71 1000 SH Put SOLE 0 0 0 CHURCHILL CAP CORP III *W EXP 03/01/202 17144C112 384 192098 SH SOLE 192098 0 0 COLFAX CORP COM 194014106 282 9000 SH Call SOLE 0 0 0 COLFAX CORP UNIT 01/15/2022T 194014205 2934 21861 SH SOLE 21861 0 0 COLFAX CORP COM 194014106 862 27500 SH Put SOLE 0 0 0 COLLECTIVE GROWTH CORP *W EXP 04/30/202 19424L119 31 50000 SH SOLE 50000 0 0 COLONY CAP INC NEW CL A COM 19626G108 4 1400 SH Put SOLE 0 0 0 COLONY CAP INC NEW CL A COM 19626G108 9 3356 SH SOLE 3356 0 0 CONYERS PK II ACQUISITION CO *W EXP 07/18/202 212896112 38 22500 SH SOLE 22500 0 0 CRYOPORT INC COM PAR $0.001 229050307 119 2500 SH Call SOLE 0 0 0 DANAHER CORPORATION COM 235851102 258 1200 SH Put SOLE 0 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 23283 15776 SH SOLE 15776 0 0 DOMINION ENERGY INC COM 25746U109 1863 23600 SH Put SOLE 0 0 0 DOMINION ENERGY INC COM 25746U109 360 4558 SH SOLE 4558 0 0 DRAFTKINGS INC COM CL A 26142R104 2181 37062 SH SOLE 37062 0 0 DRAFTKINGS INC COM CL A 26142R104 24 400 SH Call SOLE 0 0 0 EAST RES ACQUISITION CO *W EXP 07/01/202 274681113 29 45000 SH SOLE 45000 0 0 EAST STONE ACQUISITION CORP *W EXP 12/31/202 G2911D116 10 50000 SH SOLE 50000 0 0 ELANCO ANIMAL HEALTH INC UNIT 02/01/2023T 28414H202 1185 26724 SH SOLE 26724 0 0 ENCORE CAP GROUP INC NOTE 2.875% 3/1 292554AH5 2985 3000000 PRN SOLE 3000000 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 59 1500 SH Call SOLE 0 0 0 ENERGIZER HLDGS INC NEW 7.5 MCNV PFD A 29272W208 514 6172 SH SOLE 6172 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 137 3500 SH Put SOLE 0 0 0 EVERBRIDGE INC NOTE 1.500%11/0 29978AAA2 467 125000 PRN SOLE 125000 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 182 19101 SH SOLE 19101 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 160 16800 SH Put SOLE 0 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 17 1800 SH Call SOLE 0 0 0 FLYING EAGLE ACQUISITION COR *W EXP 02/26/202 34407Y111 109 33412 SH SOLE 33412 0 0 FORUM MERGER II CORP CL A 34986F103 18 774 SH SOLE 774 0 0 FORUM MERGER II CORP *W EXP 09/30/202 34986F111 241 27141 SH SOLE 27141 0 0 GALILEO ACQUISITION CORP *W EXP 10/31/202 G3770A110 21 33190 SH SOLE 33190 0 0 GFL ENVIRONMENTAL INC UNIT 99/99/9999T 36168Q120 10366 194439 SH SOLE 194439 0 0 GIGCAPITAL2 INC *W EXP 02/28/202 375036118 46 50000 SH SOLE 50000 0 0 GIGCAPITAL3 INC *W EXP 05/18/202 37519D115 64 99683 SH SOLE 99683 0 0 GLOBAL BLUE GROUP HOLDING AG ORD SHS H33700107 1 100 SH Put SOLE 0 0 0 GLOBAL BLUE GROUP HOLDING AG *W EXP 08/28/202 H33700115 212 331650 SH SOLE 331650 0 0 GLRY STR NW MDIA GRUP HLDG L *W EXP 02/13/202 G39973113 2 40377 SH SOLE 40377 0 0 GOSSAMER BIO INC NOTE 5.000% 6/0 38341PAA0 510 500000 PRN SOLE 500000 0 0 GREENROSE ACQUISITION CORP *W EXP 08/11/202 395392111 12 50000 SH SOLE 50000 0 0 HALL OF FAME RESORT & ENTMT *W EXP 07/01/202 40619L110 5 18499 SH SOLE 18499 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 237 5600 SH Put SOLE 0 0 0 HANNON ARMSTRONG SUST INFR C NOTE 4.125% 9/0 41068XAB6 6290 3912000 PRN SOLE 3912000 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 300 7100 SH Call SOLE 0 0 0 HL ACQUISITIONS CORP *W EXP 06/21/202 G4603R122 21 10174 SH SOLE 10174 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 2486 3031183 SH SOLE 3031183 0 0 HPX CORP *W EXP 07/14/202 G32219126 16 17350 SH SOLE 17350 0 0 HUDSON EXECUTIVE INVT CORP *W EXP 06/21/202 443761119 24 20000 SH SOLE 20000 0 0 II-VI INC COM 902104108 1298 32000 SH Put SOLE 0 0 0 INSURANCE ACQUISITION CORP *W EXP 03/31/202 457867117 73 26439 SH SOLE 26439 0 0 INTERNATIONAL FLAVORS&FRAGRA UNIT 09/15/2021 459506309 897 20253 SH SOLE 20253 0 0 INTERPRIVATE ACQUISITION COR *W EXP 10/24/202 46064A111 27 32600 SH SOLE 32600 0 0 INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 22 37500 SH SOLE 37500 0 0 J2 GLOBAL INC COM 48123V102 311 4500 SH SOLE 4500 0 0 KENSINGTON CAP ACQUISITION C *W EXP 07/01/202 490073111 13 2987 SH SOLE 2987 0 0 KKR & CO INC COM 48251W104 901 26234 SH SOLE 26234 0 0 LANDCADIA HLDGS II INC *W EXP 05/09/202 51476X113 212 48200 SH SOLE 48200 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 19 35685 SH SOLE 35685 0 0 LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 165 91769 SH SOLE 91769 0 0 LIBERTY MEDIA CORP DEL DEB 3.500% 1/1 530715AN1 35897 43188000 PRN SOLE 43188000 0 0 LIV CAP ACQUISITION CORP *W EXP 12/13/202 G5510C116 24 50000 SH SOLE 50000 0 0 MEDIGUS LTD *W EXP 07/23/202 58471G128 5 30040 SH SOLE 30040 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 14 20600 SH SOLE 20600 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 29 55000 SH SOLE 55000 0 0 METEN EDTECHX ED GROUP LTD *W EXP 03/31/202 G6055H106 2 10000 SH SOLE 10000 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 23 46332 SH SOLE 46332 0 0 NABORS INDUSTRIES LTD SHS G6359F137 2613 106900 SH Call SOLE 0 0 0 NABORS INDUSTRIES LTD SHS G6359F137 34 1400 SH Put SOLE 0 0 0 NETFIN ACQUISITION CORP *W EXP 08/01/202 G6455A115 140 106511 SH SOLE 106511 0 0 NEWBORN ACQUISITION CORP *W EXP 02/03/202 G6463T114 4 12144 SH SOLE 12144 0 0 NEXTERA ENERGY INC UNIT 99/99/9999 65339F739 7264 152124 SH SOLE 152124 0 0 NEXTERA ENERGY INC UNIT 99/99/9999 65339F770 4451 95349 SH SOLE 95349 0 0 NEXTERA ENERGY INC COM 65339F101 7328 26400 SH Put SOLE 0 0 0 NEXTERA ENERGY INC COM 65339F101 1665 6000 SH Call SOLE 0 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 7259 134037 SH SOLE 134037 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN 65341B106 6 100 SH SOLE 100 0 0 NIKOLA CORP COM 654110105 20 1000 SH Put SOLE 0 0 0 NIO INC NOTE 4.500% 2/0 62914VAB2 5961 2500000 PRN SOLE 2500000 0 0 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 303 17700 SH Call SOLE 0 0 0 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 3817 223100 SH Put SOLE 0 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 21289 2044000 PRN SOLE 2044000 0 0 NUANCE COMMUNICATIONS INC DEBT 1.500%11/0 67020YAG5 2466 1500000 PRN SOLE 1500000 0 0 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 640 213322 SH SOLE 213322 0 0 OMEROS CORP NOTE 5.250% 2/1 682143AG7 195 230000 PRN SOLE 230000 0 0 PG&E CORP COM 69331C108 343 36500 SH Put SOLE 0 0 0 PG&E CORP UNIT 99/99/9999 69331C140 16541 168631 SH SOLE 168631 0 0 PINDUODUO INC NOTE 10/0 722304AB8 3603 2000000 PRN SOLE 2000000 0 0 PROPTECH ACQUISITION CORP *W EXP 05/26/202 74349F119 240 145892 SH SOLE 145892 0 0 PROS HOLDINGS INC COM 74346Y103 80 2500 SH SOLE 2500 0 0 PURPLE INNOVATION INC COM 74640Y106 52 2100 SH Call SOLE 0 0 0 PURPLE INNOVATION INC *W EXP 02/02/202 74640Y114 13014 1925183 SH SOLE 1925183 0 0 QTS RLTY TR INC 6.50% CON PFD B 74736A301 10157 71808 SH SOLE 71808 0 0 RMG ACQUISITION CORP *W EXP 02/21/202 749641114 203 95020 SH SOLE 95020 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 937 14472 SH SOLE 14472 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 971 15000 SH Put SOLE 0 0 0 SABRE CORP COM 78573M104 296 45500 SH Put SOLE 0 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 87 168162 SH SOLE 168162 0 0 SEMPRA ENERGY COM 816851109 10972 92700 SH Call SOLE 0 0 0 SEMPRA ENERGY 6.75% CNV PFD B 816851505 576 5882 SH SOLE 5882 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 3489 35435 SH SOLE 35435 0 0 SEMPRA ENERGY COM 816851109 23577 199200 SH Put SOLE 0 0 0 SERVICENOW INC NOTE 6/0 81762PAC6 6326 1750000 PRN SOLE 1750000 0 0 SILVER SPIKE ACQUISITION COR *W EXP 08/02/202 G8136L114 107 175000 SH SOLE 175000 0 0 SOUTHERN CO COM 842587107 2397 44200 SH Put SOLE 0 0 0 SOUTHERN CO UNIT 08/01/2022 842587602 2331 50084 SH SOLE 50084 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3349 10000 SH Call SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4260 12721 SH SOLE 12721 0 0 SPIRIT AIRLS INC NOTE 4.750% 5/1 848577AA0 2179 1500000 PRN SOLE 1500000 0 0 SPIRIT AIRLS INC COM 848577102 1885 117100 SH Put SOLE 0 0 0 SPIRIT AIRLS INC COM 848577102 334 20774 SH SOLE 20774 0 0 SPIRIT AIRLS INC COM 848577102 81 5000 SH Call SOLE 0 0 0 STANLEY BLACK & DECKER INC COM 854502101 973 6000 SH Call SOLE 0 0 0 TELADOC HEALTH INC COM 87918A105 219 1000 SH Call SOLE 0 0 0 TELADOC HEALTH INC COM 87918A105 2982 13600 SH Put SOLE 0 0 0 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 44852 9014000 PRN SOLE 9014000 0 0 TESLA INC COM 88160R101 38697 90200 SH Call SOLE 0 0 0 TESLA INC COM 88160R101 111972 261000 SH Put SOLE 0 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 235099 39512000 PRN SOLE 39512000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 34848 5329000 PRN SOLE 5329000 0 0 TORTOISE ACQUISITION CORP *W EXP 03/04/202 89154L118 563 22087 SH SOLE 22087 0 0 TORTOISE ACQUISITION CORP CL A 89154L100 1281 25700 SH Put SOLE 0 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 22 59914 SH SOLE 59914 0 0 UTZ BRANDS INC COM CL A 918090101 9 500 SH Put SOLE 0 0 0 UTZ BRANDS INC *W EXP 08/28/202 918090119 7810 1194152 SH SOLE 1194152 0 0 VERTIV HOLDINGS CO *W EXP 06/12/202 92537N116 607 93681 SH SOLE 93681 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 1373 71400 SH Put SOLE 0 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 122 6321 SH SOLE 6321 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 2698 140300 SH Call SOLE 0 0 0 VIVINT SMART HOME INC *W EXP 01/17/202 928542117 2765 435100 SH SOLE 435100 0 0 WHOLE EARTH BRANDS INC *W EXP 06/25/202 96684W126 242 249218 SH SOLE 249218 0 0 WISDOMTREE INVTS INC COM 97717P104 33 10300 SH Call SOLE 0 0 0