0001420506-21-000420.txt : 20210419 0001420506-21-000420.hdr.sgml : 20210419 20210419100221 ACCESSION NUMBER: 0001420506-21-000420 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210419 DATE AS OF CHANGE: 20210419 EFFECTIVENESS DATE: 20210419 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: 21833534 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 03-31-2021 03-31-2021 false EQUITEC SPECIALISTS, LLC

111 WEST JACKSON BLVD 20 TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-16417 N Robert Wenzel 312-692-5081 Robert Wenzel, Administrator CHICAGO IL 03-31-2021 0 245 519192 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC ACE CONVERGENCE ACQU CORP CL A G0083D120 4 400 SH SOLE 400 0 0 ACE CONVERGENCE ACQU CORP *W EXP 09/30/202 G0083D104 113 57782 SH SOLE 57782 0 0 ADVENT TECHNOLOGIES HOLDNG I COM CL A 00788A105 305 22791 SH SOLE 22791 0 0 ADVENT TECHNOLOGIES HOLDNG I COM CL A 00788A105 3 200 SH Put SOLE 0 0 0 ADVENT TECHNOLOGIES HOLDNG I *W EXP 02/03/202 00788A113 81 35110 SH SOLE 35110 0 0 AERSALE CORPORATION *W EXP 12/22/202 00810F114 56 25332 SH SOLE 25332 0 0 AES CORP UNIT 99/99/9999 00130H204 2437 23589 SH SOLE 23589 0 0 AEVA TECHNOLOGIES INC *W EXP 03/12/202 00835Q111 245 73739 SH SOLE 73739 0 0 AGBA ACQUISITION LTD *W EXP 05/10/202 G0120M117 13 46220 SH SOLE 46220 0 0 AKERNA CORP COM 00973W102 363 73426 SH SOLE 73426 0 0 AKERNA CORP COM 00973W102 305 61700 SH Call SOLE 0 0 0 AKERNA CORP *W EXP 06/17/202 00973W110 837 620063 SH SOLE 620063 0 0 AMERICAN AIRLS GROUP INC NOTE 6.500% 7/0 02376RAF9 19988 11638000 PRN SOLE 11638000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 10800 451900 SH Put SOLE 0 0 0 AMERICAN ELEC PWR CO INC UNIT 08/15/2025 02557T307 366 7491 SH SOLE 7491 0 0 AMERICAN ELEC PWR CO INC UNIT 08/01/2021 025537127 1189 24629 SH SOLE 24629 0 0 AMPLITUDE HLTHCRE AQUSTIN CO *W EXP 12/01/202 03212A113 11 13536 SH SOLE 13536 0 0 ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 15 18015 SH SOLE 18015 0 0 APTIV PLC SHS G6095L109 883 6400 SH Put SOLE 0 0 0 ARBOR REALTY TRUST INC NOTE 5.250% 7/0 038923AH1 1929 1500000 PRN SOLE 1500000 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L203 1459 50000 SH Put SOLE 0 0 0 ATLANTIC AVE ACQUISITION COR *W EXP 10/06/202 04906P119 10 13657 SH SOLE 13657 0 0 AVAYA HLDGS CORP COM 05351X101 3 100 SH Put SOLE 0 0 0 BENESSERE CAPITAL ACQUSTN CO RIGHT 99/99/9999 08179B129 12 37070 SH SOLE 37070 0 0 BLINK CHARGING CO COM 09354A100 585 14245 SH SOLE 14245 0 0 BLINK CHARGING CO COM 09354A100 164 4000 SH Call SOLE 0 0 0 BLINK CHARGING CO COM 09354A100 353 8600 SH Put SOLE 0 0 0 BLINK CHARGING CO *W EXP 01/31/202 09354A118 1079 29158 SH SOLE 29158 0 0 BM TECHNOLOGIES INC *W EXP 01/04/202 05591L115 380 190043 SH SOLE 190043 0 0 BRIDGETOWN HOLDINGS LTD *W EXP 09/30/202 G1355U121 15 5474 SH SOLE 5474 0 0 BRILLIANT ACQUISITION CORP RIGHT 99/99/9999 G1643W137 28 100000 SH SOLE 100000 0 0 BRILLIANT ACQUISITION CORP *W EXP 03/31/202 G1643W129 10 18650 SH SOLE 18650 0 0 BTRS HOLDINGS INC *W EXP 01/12/202 11778X112 1281 270869 SH SOLE 270869 0 0 BULL HORN HLDGS CORP *W EXP 10/31/202 G1686P122 15 34180 SH SOLE 34180 0 0 BURGERFI INTERNATIONAL INC COM 12122L101 239 15500 SH SOLE 15500 0 0 BUTTERFLY NETWORK INC COM CL A 124155102 126 7500 SH Put SOLE 0 0 0 BUTTERFLY NETWORK INC *W EXP 05/27/202 124155110 312 48332 SH SOLE 48332 0 0 CAESARS ENTERTAINMENT CORP NOTE 5.000%10/0 127686AA1 0 165 PRN SOLE 165 0 0 CANOO INC *W EXP 12/21/202 13803R110 1631 576162 SH SOLE 576162 0 0 CAPSTAR SPL PURP ACQUISITION *W EXP 99/99/999 14070Y119 10 14603 SH SOLE 14603 0 0 CARLOTZ INC *W EXP 02/26/202 142552116 53 32427 SH SOLE 32427 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 3984 150100 SH Call SOLE 0 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 2405 90600 SH Put SOLE 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 6000 264900 SH Call SOLE 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 408 18000 SH Put SOLE 0 0 0 CEREVEL THERAPEUTICS HLDNG I *W EXP 06/09/202 15678U102 154 35825 SH SOLE 35825 0 0 CF FIN ACQUISITION CORP III *W EXP 09/30/202 12529D116 65 46003 SH SOLE 46003 0 0 CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 21201 283319 SH SOLE 283319 0 0 CHANGE HEALTHCARE INC COM 15912K100 139 6300 SH Put SOLE 0 0 0 CHARDAN HEALTHCR ACQSTN 2 CO *W EXP 03/05/202 15957T115 24 25188 SH SOLE 25188 0 0 CHEGG INC NOTE 0.125% 3/1 163092AD1 1739 1000000 PRN SOLE 1000000 0 0 CHESAPEAKE ENERGY CORP COM 165167735 4 100 SH SOLE 100 0 0 CHESAPEAKE ENERGY CORP *W EXP 03/01/202 165167180 25 1477 SH SOLE 1477 0 0 CLEVER LEAVES HOLDINGS INC COM 186760104 224 21728 SH SOLE 21728 0 0 CLEVER LEAVES HOLDINGS INC COM 186760104 128 12400 SH Call SOLE 0 0 0 CLEVER LEAVES HOLDINGS INC COM 186760104 512 49800 SH Put SOLE 0 0 0 CLEVER LEAVES HOLDINGS INC *W EXP 12/18/202 186760112 3188 1212338 SH SOLE 1212338 0 0 CLOVER HEALTH INVESTMENTS CO COM CL A 18914F103 13 1700 SH SOLE 1700 0 0 CLOVER HEALTH INVESTMENTS CO *W EXP 04/21/202 18914F111 276 171601 SH SOLE 171601 0 0 COLFAX CORP COM 194014106 269 6133 SH SOLE 6133 0 0 COLFAX CORP UNIT 01/15/2022T 194014205 15 84 SH SOLE 84 0 0 COLFAX CORP COM 194014106 171 3900 SH Put SOLE 0 0 0 COLONY CAP INC NEW CL A COM 19626G108 9 1400 SH Put SOLE 0 0 0 COWEN INC CL A NEW 223622606 7 200 SH Put SOLE 0 0 0 COWEN INC NOTE 3.000%12/1 223622AE1 3181 1550000 PRN SOLE 1550000 0 0 CURIOSITYSTREAM INC *W EXP 10/14/202 23130Q115 50 10000 SH SOLE 10000 0 0 D AND Z MEDIA ACQUISITION CO UNIT 99/99/9999 23305Q205 49 5000 SH SOLE 5000 0 0 D8 HOLDINGS CORP *W EXP 08/05/202 G2614K128 13 10901 SH SOLE 10901 0 0 DANAHER CORPORATION COM 235851102 270 1200 SH Put SOLE 0 0 0 DANIMER SCIENTIFIC INC *W EXP 05/08/202 236272118 247 9710 SH SOLE 9710 0 0 DASEKE INC *W EXP 02/27/202 23753F115 38 113000 SH SOLE 113000 0 0 DESKTOP METAL INC COM CL A 25058X105 282 18900 SH Put SOLE 0 0 0 DESKTOP METAL INC COM CL A 25058X105 282 18918 SH SOLE 18918 0 0 DIAMONDHEAD HOLDINGS CORP UNIT 01/21/2026 25278L204 50 5000 SH SOLE 5000 0 0 DRAFTKINGS INC COM CL A 26142R104 1459 23792 SH SOLE 23792 0 0 DRAFTKINGS INC COM CL A 26142R104 619 10100 SH Put SOLE 0 0 0 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 2200 2031000 PRN SOLE 2031000 0 0 DYCOM INDS INC COM 267475101 48 512 SH SOLE 512 0 0 EAST RES ACQUISITION CO *W EXP 07/01/202 274681113 13 16261 SH SOLE 16261 0 0 EAST STONE ACQUISITION CORP *W EXP 12/31/202 G2911D116 10 40000 SH SOLE 40000 0 0 EDIFY ACQUISITION CORP *W EXP 11/25/202 28059Q111 11 22620 SH SOLE 22620 0 0 EDOC ACQUISITION CORP RIGHT 11/30/2027 G4000A136 39 100000 SH SOLE 100000 0 0 EDOC ACQUISITION CORP *W EXP 11/30/202 G4000A110 11 30200 SH SOLE 30200 0 0 EDTECHX HOLDINGS ACQU CORP I *W EXP 06/15/202 28139A110 0 300 SH SOLE 300 0 0 EMPOWERMENT & INCLUSION CAPI *W EXP 01/12/202 29248N118 13 25000 SH SOLE 25000 0 0 EOS ENERGY ENTERPRISES INC COM CL A 29415C101 144 7306 SH SOLE 7306 0 0 EOS ENERGY ENTERPRISES INC COM CL A 29415C101 99 5000 SH Put SOLE 0 0 0 EOS ENERGY ENTERPRISES INC *W EXP 05/06/202 29415C119 85 9411 SH SOLE 9411 0 0 FG NEW AMER ACQUISITION CORP *W EXP 08/31/202 30259V114 20 13000 SH SOLE 13000 0 0 FISKER INC CL A COM STK 33813J106 24959 1449400 SH Put SOLE 0 0 0 FISKER INC CL A COM STK 33813J106 3790 220100 SH Call SOLE 0 0 0 FISKER INC *W EXP 12/01/202 33813J114 56 6593 SH SOLE 6593 0 0 FISKER INC CL A COM STK 33813J106 23912 1388604 SH SOLE 1388604 0 0 FORD MTR CO DEL COM 345370860 245 20000 SH SOLE 20000 0 0 FORD MTR CO DEL COM 345370860 245 20000 SH Put SOLE 0 0 0 FORTIVE CORP COM 34959J108 742 10500 SH Put SOLE 0 0 0 FTAC OLYMPUS ACQUISITION COR *W EXP 08/28/202 G37288126 42 19600 SH SOLE 19600 0 0 GALILEO ACQUISITION CORP *W EXP 10/31/202 G3770A110 16 28548 SH SOLE 28548 0 0 GFL ENVIRONMENTAL INC UNIT 99/99/9999T 36168Q120 27248 334044 SH SOLE 334044 0 0 GFL ENVIRONMENTAL INC SUB VTG SHS 36168Q104 175 5000 SH Put SOLE 0 0 0 GIGCAPITAL2 INC COM 375036100 1033 103000 SH Call SOLE 0 0 0 GIGCAPITAL2 INC COM 375036100 100 10000 SH Put SOLE 0 0 0 GIGCAPITAL2 INC *W EXP 02/28/202 375036118 45 60000 SH SOLE 60000 0 0 GIGCAPITAL3 INC *W EXP 05/18/202 37519D115 314 147511 SH SOLE 147511 0 0 GIGCAPITAL3 INC COM 37519D107 19 1800 SH Call SOLE 0 0 0 GIGCAPITAL3 INC COM 37519D107 346 32447 SH SOLE 32447 0 0 GLOBAL BLUE GROUP HOLDING AG *W EXP 08/28/202 H33700115 174 143929 SH SOLE 143929 0 0 GLOBIS ACQUISITION CORP *W EXP 11/01/202 379582117 9 16300 SH SOLE 16300 0 0 GOLDEN NUGGET ONLINE GAMIN COM CL A 38113L107 414 30647 SH SOLE 30647 0 0 GOLDEN NUGGET ONLINE GAMIN COM CL A 38113L107 416 30800 SH Put SOLE 0 0 0 GREENCITY ACQUISITION CORP *W EXP 04/28/202 G4086B123 23 53560 SH SOLE 53560 0 0 GREENROSE ACQUISITION CORP *W EXP 08/11/202 395392111 11 13100 SH SOLE 13100 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 393 7000 SH Call SOLE 0 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 6 100 SH Put SOLE 0 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 328 5843 SH SOLE 5843 0 0 HCI GROUP INC NOTE 4.250% 3/0 40416EAD5 2567 2000000 PRN SOLE 2000000 0 0 HIGHCAPE CAP ACQUISITION COR *W EXP 09/30/202 42984L113 0 100 SH SOLE 100 0 0 HIMS & HERS HEALTH INC *W EXP 01/20/202 433000114 217 49378 SH SOLE 49378 0 0 HOLICITY INC *W EXP 08/04/202 435063110 301 104010 SH SOLE 104010 0 0 HOSTESS BRANDS INC CL A 44109J106 7 500 SH Call SOLE 0 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 7500 5172540 SH SOLE 5172540 0 0 HPX CORP *W EXP 07/14/202 G32219126 10 12554 SH SOLE 12554 0 0 HUDSON EXECUTIVE INVS CORP I UNIT 01/31/2027 443760202 48 4862 SH SOLE 4862 0 0 HUDSON EXECUTIVE INVT CORP *W EXP 06/21/202 443761119 81 56044 SH SOLE 56044 0 0 IG ACQUISITION CORP *W EXP 10/05/202 449534114 15 15116 SH SOLE 15116 0 0 IMAX CORP COM 45245E109 201 10000 SH SOLE 10000 0 0 IMAX CORP COM 45245E109 201 10000 SH Put SOLE 0 0 0 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 327 35275 SH SOLE 35275 0 0 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 464 50000 SH Put SOLE 0 0 0 INOVIO PHARMACEUTICALS INC NOTE 6.500% 3/0 45773HAB8 2133 1225000 PRN SOLE 1225000 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 2094 15000 SH Put SOLE 0 0 0 INTERNATIONAL FLAVORS&FRAGRA UNIT 09/15/2021 459506309 1334 27203 SH SOLE 27203 0 0 INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 23 27125 SH SOLE 27125 0 0 IQIYI INC NOTE 4.000%12/1 46267XAE8 3251 3147000 PRN SOLE 3147000 0 0 IQIYI INC SPONSORED ADS 46267X108 1265 76100 SH Call SOLE 0 0 0 IQIYI INC SPONSORED ADS 46267X108 597 35900 SH SOLE 35900 0 0 IQIYI INC SPONSORED ADS 46267X108 500 30100 SH Put SOLE 0 0 0 IRONWOOD PHARMACEUTICALS INC DBCV 2.250% 6/1 46333XAD0 1072 1000000 PRN SOLE 1000000 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 23605 13350000 PRN SOLE 13350000 0 0 JAWS ACQUISITION CORP *W EXP 99/99/999 G50744112 47 14800 SH SOLE 14800 0 0 KAIXIN AUTO HLDGS SHS G5223X100 0 100 SH SOLE 100 0 0 KALEYRA INC COM 483379103 203 14400 SH Call SOLE 0 0 0 KALEYRA INC COM 483379103 1 100 SH Put SOLE 0 0 0 KINGSWOOD ACQUISITION CORP *W EXP 05/01/202 496861113 9 17000 SH SOLE 17000 0 0 KLUDEIN I ACQUISITION CORP *W EXP 07/08/202 49878L117 6 10000 SH SOLE 10000 0 0 L&F ACQUISITION CORP *W EXP 05/23/202 G53702117 11 15800 SH SOLE 15800 0 0 LGL SYS ACQUISITION CORP *W EXP 11/12/202 50201G114 13 10131 SH SOLE 10131 0 0 LIBERTY MEDIA CORP DEL DEB 3.500% 1/1 530715AN1 51166 51423488 PRN SOLE 51423488 0 0 LIONHEART ACQUISITION CORP I *W EXP 02/14/202 53625R112 13 18115 SH SOLE 18115 0 0 LIV CAP ACQUISITION CORP *W EXP 12/13/202 G5510C116 22 39304 SH SOLE 39304 0 0 MALLARD ACQUISITION CORP *W EXP 06/30/202 561204116 11 24607 SH SOLE 24607 0 0 MEDIGUS LTD *W EXP 07/23/202 58471G128 65 75000 SH SOLE 75000 0 0 MERCADOLIBRE INC COM 58733R102 0 200 SH Call SOLE 0 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 10 8387 SH SOLE 8387 0 0 METEN EDTECHX ED GROUP LTD *W EXP 03/31/202 G6055H106 4 10000 SH SOLE 10000 0 0 MICRON TECHNOLOGY INC NOTE 3.125% 5/0 595112AX1 6619 750000 PRN SOLE 750000 0 0 MP MATERIALS CORP *W EXP 05/04/202 553368119 2 78 SH SOLE 78 0 0 MULTIPLAN CORPORATION COM 62548M100 117 21000 SH Call SOLE 0 0 0 MULTIPLAN CORPORATION *W EXP 02/13/202 62548M118 159 164756 SH SOLE 164756 0 0 MULTIPLAN CORPORATION COM 62548M100 74 13336 SH SOLE 13336 0 0 NAVSIGHT HLDGS INC *W EXP 01/01/203 639358118 40 25000 SH SOLE 25000 0 0 NEXTERA ENERGY INC UNIT 99/99/9999 65339F739 6868 138477 SH SOLE 138477 0 0 NEXTERA ENERGY INC UNIT 99/99/9999 65339F770 9808 198020 SH SOLE 198020 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 15536 270610 SH SOLE 270610 0 0 NEXTERA ENERGY INC COM 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A 70434P103 38 3500 SH Call SOLE 0 0 0 PAYA HOLDINGS INC *W EXP 10/16/202 70434P111 614 194864 SH SOLE 194864 0 0 PAYSAFE LIMITED ORD G6964L107 68 5000 SH SOLE 5000 0 0 PAYSAFE LIMITED *W EXP 08/11/202 G6964L115 767 177035 SH SOLE 177035 0 0 PETRA ACQUISITION INC *W EXP 05/25/202 716421110 9 17815 SH SOLE 17815 0 0 PG&E CORP COM 69331C108 1173 100200 SH Put SOLE 0 0 0 PG&E CORP UNIT 99/99/9999 69331C140 43545 381639 SH SOLE 381639 0 0 PMV CONSUMER ACQUISITION COR *W EXP 08/31/202 693486110 8 10326 SH SOLE 10326 0 0 PORCH GROUP INC COM 733245104 2740 154800 SH Put SOLE 0 0 0 PORCH GROUP INC COM 733245104 1736 98058 SH SOLE 98058 0 0 PORCH GROUP INC *W EXP 12/23/202 733245112 401 65183 SH SOLE 65183 0 0 PROPERTY SOLUTIONS ACQUISITI *W EXP 03/20/202 74348Q116 102 39830 SH SOLE 39830 0 0 PURPLE INNOVATION INC COM 74640Y106 458 14476 SH SOLE 14476 0 0 QUANTUMSCAPE CORP *W EXP 11/25/202 74767V117 987 29675 SH SOLE 29675 0 0 REALPAGE INC NOTE 1.500%11/1 75606NAB5 13532 6500000 PRN SOLE 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84677L117 10 15685 SH SOLE 15685 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 1 SH SOLE 1 0 0 SPIRIT AIRLS INC COM 848577102 373 10100 SH Put SOLE 0 0 0 SPIRIT AIRLS INC NOTE 4.750% 5/1 848577AA0 14937 4875000 PRN SOLE 4875000 0 0 SUNPOWER CORP DBCV 4.000% 1/1 867652AL3 39 25000 PRN SOLE 25000 0 0 TAILWIND ACQUISITION CORP *W EXP 09/07/202 87403Q110 10 9503 SH SOLE 9503 0 0 TATTOOED CHEF INC COM CL A 87663X102 2666 137200 SH Put SOLE 0 0 0 TATTOOED CHEF INC COM CL A 87663X102 177 9100 SH Call SOLE 0 0 0 TATTOOED CHEF INC COM CL A 87663X102 3629 186766 SH SOLE 186766 0 0 TESLA INC COM 88160R101 4074 6100 SH Put SOLE 0 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 3091 304000 PRN SOLE 304000 0 0 TESLA INC NOTE 2.000% 5/1 88160RAG6 18567 1728000 PRN SOLE 1728000 0 0 THUNDER BRDG ACQUISTION II L *W EXP 11/30/202 G8857S108 566 258594 SH SOLE 258594 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 216 107573 SH SOLE 107573 0 0 TRITERRAS INC SHS CL A G9103H102 40 5504 SH SOLE 5504 0 0 TRITERRAS INC SHS CL A G9103H102 185 25500 SH Call SOLE 0 0 0 TRITERRAS INC *W EXP 11/10/202 G9103H110 401 243251 SH SOLE 243251 0 0 UCOMMUNE INTERNATIONAL LTD *W EXP 11/17/202 G9449A118 18 48592 SH SOLE 48592 0 0 UNITED STATES STL CORP NEW NOTE 5.000%11/0 912909AT5 13107 6050000 PRN SOLE 6050000 0 0 VELODYNE LIDAR INC *W EXP 09/29/202 92259F119 518 135236 SH SOLE 135236 0 0 VELODYNE LIDAR INC COM 92259F101 1905 167100 SH Call SOLE 0 0 0 VELODYNE LIDAR INC COM 92259F101 2975 261000 SH Put SOLE 0 0 0 VELODYNE LIDAR INC COM 92259F101 1976 173307 SH SOLE 173307 0 0 VENTOUX CCM ACQUISITION CORP *W EXP 09/30/202 92280L119 8 18000 SH SOLE 18000 0 0 VG ACQUISITION CORP *W EXP 09/29/202 G9446E113 135 80495 SH SOLE 80495 0 0 VIACOMCBS INC CL B 92556H206 1579 35000 SH Call SOLE 0 0 0 VIEW INC COM CL A 92671V106 1 100 SH SOLE 100 0 0 VIEW INC *W EXP 03/08/202 92671V114 34 19503 SH SOLE 19503 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 1538 50200 SH Put SOLE 0 0 0 VIRGIN GALACTIC HOLDINGS INC 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