0001420506-17-000644.txt : 20171023
0001420506-17-000644.hdr.sgml : 20171023
20171023104550
ACCESSION NUMBER: 0001420506-17-000644
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171023
DATE AS OF CHANGE: 20171023
EFFECTIVENESS DATE: 20171023
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: EQUITEC PROPRIETARY MARKETS, LLC
CENTRAL INDEX KEY: 0001143261
IRS NUMBER: 364433608
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16423
FILM NUMBER: 171148463
BUSINESS ADDRESS:
STREET 1: 111 W. JACKSON
STREET 2: 20TH FL.OOR
CITY: CHICAGO
STATE: IL
ZIP: 60604
BUSINESS PHONE: 312 692-5009
MAIL ADDRESS:
STREET 1: 111 W. JACKSON
STREET 2: 20TH FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60604
FORMER COMPANY:
FORMER CONFORMED NAME: EQUITEC PROPRIETARY MARKETS LLC /BD
DATE OF NAME CHANGE: 20010620
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
true
0001143261
XXXXXXXX
09-30-2017
09-30-2017
false
EQUITEC PROPRIETARY MARKETS, LLC
111 W. JACKSON
20TH FLOOR
CHICAGO
IL
60604
13F HOLDINGS REPORT
028-16423
N
Christopher Kuehner
Compliance Officer
312 692-5011
Christopher Kuehner , Compliance Officer
CHICAGO
IL
10-23-2017
0
96
425266
false
INFORMATION TABLE
2
Form13F_InfoTable.xml
INFORMATION TABLE FOR EQUITEC PROPRIETARY MARKETS, LLC
AETNA INC NEW
COM
00817Y108
1972
12400
SH
Call
SOLE
0
0
0
ALERE INC
COM
01449J105
4194
82250
SH
SOLE
82250
0
0
ALERE INC
COM
01449J105
27101
531500
SH
Call
SOLE
0
0
0
ALERE INC
COM
01449J105
9714
190500
SH
Put
SOLE
0
0
0
AQUABOUNTY TECHNOLOGIES INC
COM NEW
03842K200
2
323
SH
SOLE
323
0
0
AT&T INC
COM
00206R102
118
3000
SH
Put
SOLE
0
0
0
AT&T INC
COM
00206R102
1853
47300
SH
Call
SOLE
0
0
0
B RILEY FINL INC
COM
05580M108
9089
533062
SH
SOLE
533062
0
0
CADIZ INC
COM NEW
127537207
184
14523
SH
SOLE
14523
0
0
CIGNA CORPORATION
COM
125509109
3141
16800
SH
Put
SOLE
0
0
0
CIGNA CORPORATION
COM
125509109
3141
16800
SH
SOLE
16800
0
0
DIGITAL TURBINE INC
COM NEW
25400W102
262
173185
SH
SOLE
173185
0
0
DISNEY WALT CO
COM DISNEY
254687106
49
500
SH
SOLE
500
0
0
ESPERION THERAPEUTICS INC NE
COM
29664W105
1002
20000
SH
Call
SOLE
0
0
0
ESPERION THERAPEUTICS INC NE
COM
29664W105
20
400
SH
SOLE
400
0
0
ESPERION THERAPEUTICS INC NE
COM
29664W105
511
10200
SH
Put
SOLE
0
0
0
FINJAN HLDGS INC
COM NEW
31788H303
353
150168
SH
SOLE
150168
0
0
FIRSTHAND TECH VALUE FD INC
COM
33766Y100
289
36110
SH
SOLE
36110
0
0
FORESTAR GROUP INC
COM
346233109
1036
66200
SH
Put
SOLE
0
0
0
FORM HLDGS CORP
COM
34634E102
11
7629
SH
SOLE
7629
0
0
FORM HLDGS CORP
COM
34634E102
60
43200
SH
Call
SOLE
0
0
0
FOUNDATION MEDICINE INC
COM
350465100
20
500
SH
Put
SOLE
0
0
0
FOUNDATION MEDICINE INC
COM
350465100
16
400
SH
SOLE
400
0
0
GREAT ELM CAP GROUP INC
COM NEW
39036P209
116
32800
SH
SOLE
32800
0
0
GSV CAP CORP
COM
36191J101
319
58883
SH
SOLE
58883
0
0
HC2 HLDGS INC
COM
404139107
33
6193
SH
SOLE
6193
0
0
HOME BANCSHARES INC
COM
436893200
282
11200
SH
Call
SOLE
0
0
0
HOME BANCSHARES INC
COM
436893200
656
26000
SH
Put
SOLE
0
0
0
HUMANA INC
COM
444859102
5277
21660
SH
SOLE
21660
0
0
HUMANA INC
COM
444859102
2120
8700
SH
Call
SOLE
0
0
0
HUMANA INC
COM
444859102
6554
26900
SH
Put
SOLE
0
0
0
IKANG HEALTHCARE GROUP INC
SPONSORED ADR
45174L108
2040
151300
SH
SOLE
151300
0
0
IKANG HEALTHCARE GROUP INC
SPONSORED ADR
45174L108
2208
163800
SH
Put
SOLE
0
0
0
INTREXON CORP
COM
46122T102
2224
117000
SH
Put
SOLE
0
0
0
INTREXON CORP
COM
46122T102
1256
66088
SH
SOLE
66088
0
0
INTREXON CORP
COM
46122T102
1471
77400
SH
Call
SOLE
0
0
0
INVESTORS BANCORP INC NEW
COM
46146L101
0
1
SH
SOLE
1
0
0
IXYS CORP
COM
46600W106
239
10100
SH
Put
SOLE
0
0
0
IXYS CORP
COM
46600W106
66
2800
SH
SOLE
2800
0
0
KAPSTONE PAPER & PACKAGING C
COM
48562P103
0
23
SH
SOLE
23
0
0
KITE PHARMA INC
COM
49803L109
40907
227500
SH
Put
SOLE
0
0
0
KITE PHARMA INC
COM
49803L109
27621
153610
SH
SOLE
153610
0
0
KITE PHARMA INC
COM
49803L109
43172
240100
SH
Call
SOLE
0
0
0
MANNKIND CORP
COM NEW
56400P706
35
16000
SH
Put
SOLE
0
0
0
MANNKIND CORP
COM NEW
56400P706
7
3270
SH
SOLE
3270
0
0
MANNKIND CORP
COM NEW
56400P706
921
424200
SH
Call
SOLE
0
0
0
MONEYGRAM INTL INC
COM NEW
60935Y208
55
3400
SH
Call
SOLE
0
0
0
MONEYGRAM INTL INC
COM NEW
60935Y208
40
2500
SH
Put
SOLE
0
0
0
MONEYGRAM INTL INC
COM NEW
60935Y208
69
4300
SH
SOLE
4300
0
0
MONSANTO CO NEW
COM
61166W101
7794
65050
SH
SOLE
65050
0
0
MONSANTO CO NEW
COM
61166W101
15097
126000
SH
Call
SOLE
0
0
0
MONSANTO CO NEW
COM
61166W101
23041
192300
SH
Put
SOLE
0
0
0
NORDIC AMERICAN TANKERS LIMI
COM
G65773106
551
103200
SH
Call
SOLE
0
0
0
NORDIC AMERICAN TANKERS LIMI
COM
G65773106
282
52800
SH
Put
SOLE
0
0
0
NORDIC AMERN OFFSHORE LTD
SHS
G65772108
7
4885
SH
SOLE
4885
0
0
NVIDIA CORP
COM
67066G104
89
500
SH
SOLE
500
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
21578
190802
SH
SOLE
190802
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
2443
21600
SH
Call
SOLE
0
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
29743
263000
SH
Put
SOLE
0
0
0
ORBITAL ATK INC
COM
68557N103
3436
25800
SH
Call
SOLE
0
0
0
ORBITAL ATK INC
COM
68557N103
5513
41400
SH
SOLE
41400
0
0
ORBITAL ATK INC
COM
68557N103
8496
63800
SH
Put
SOLE
0
0
0
POWERSHS DB MULTI SECT COMM
PS DB AGRICUL FD
73936B408
44
2300
SH
SOLE
2300
0
0
PRICELINE GRP INC
COM NEW
741503403
549
300
SH
SOLE
300
0
0
RENESOLA LTD
SPONSORED ADS
75971T301
3
1118
SH
SOLE
1118
0
0
RITE AID CORP
COM
767754104
264
134600
SH
SOLE
134600
0
0
RITE AID CORP
COM
767754104
861
439100
SH
Call
SOLE
0
0
0
RITE AID CORP
COM
767754104
268
136500
SH
Put
SOLE
0
0
0
ROCKWELL COLLINS INC
COM
774341101
3268
25000
SH
Put
SOLE
0
0
0
ROCKWELL COLLINS INC
COM
774341101
2627
20100
SH
SOLE
20100
0
0
STRAIGHT PATH COMMUNICATNS I
CL B
862578101
32918
182200
SH
Call
SOLE
0
0
0
STRAIGHT PATH COMMUNICATNS I
CL B
862578101
7588
42000
SH
Put
SOLE
0
0
0
STRAIGHT PATH COMMUNICATNS I
CL B
862578101
4011
22202
SH
SOLE
22202
0
0
SYNGENTA AG
SPONSORED ADR
87160A100
1455
15800
SH
SOLE
15800
0
0
SYNGENTA AG
SPONSORED ADR
87160A100
10937
118800
SH
Put
SOLE
0
0
0
SYNGENTA AG
SPONSORED ADR
87160A100
1381
15000
SH
Call
SOLE
0
0
0
TELENAV INC
COM
879455103
1075
169263
SH
SOLE
169263
0
0
TESLA INC
COM
88160R101
8630
25300
SH
SOLE
25300
0
0
TIME WARNER INC
COM NEW
887317303
6208
60600
SH
Call
SOLE
0
0
0
TIME WARNER INC
COM NEW
887317303
6721
65600
SH
Put
SOLE
0
0
0
TIME WARNER INC
COM NEW
887317303
3678
35900
SH
SOLE
35900
0
0
TURQUOISE HILL RES LTD
COM
900435108
23
7300
SH
SOLE
7300
0
0
TURQUOISE HILL RES LTD
COM
900435108
9
3000
SH
Put
SOLE
0
0
0
TURQUOISE HILL RES LTD
COM
900435108
21
6900
SH
Call
SOLE
0
0
0
US FOODS HLDG CORP
COM
912008109
377
14105
SH
SOLE
14105
0
0
VANECK VECTORS ETF TR
RUSSIA ETF
92189F403
13
600
SH
SOLE
600
0
0
VWR CORP
COM
91843L103
331
10000
SH
Put
SOLE
0
0
0
VWR CORP
COM
91843L103
166
5000
SH
SOLE
5000
0
0
WESTERN DIGITAL CORP
COM
958102105
9107
105400
SH
Put
SOLE
0
0
0
WESTERN DIGITAL CORP
COM
958102105
12
134
SH
SOLE
134
0
0
WILLIAMS COS INC DEL
COM
969457100
537
17900
SH
Call
SOLE
0
0
0
WILLIAMS COS INC DEL
COM
969457100
1356
45200
SH
Put
SOLE
0
0
0
WILLIAMS COS INC DEL
COM
969457100
48
1600
SH
SOLE
1600
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
287
46700
SH
Put
SOLE
0
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
371
60472
SH
SOLE
60472
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
226
36800
SH
Call
SOLE
0
0
0