Administrator

0001420506-19-000285.txt : 20190408 0001420506-19-000285.hdr.sgml : 20190408 20190408125909 ACCESSION NUMBER: 0001420506-19-000285 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190408 DATE AS OF CHANGE: 20190408 EFFECTIVENESS DATE: 20190408 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: 19736999 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 03-31-2019 03-31-2019 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 03-31-2019 0 98 524045 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC 51JOB INC NOTE 3.250% 4/1 316827AC8 18184 10000000 PRN SOLE 10000000 0 0 ALEXANDRIA REAL ESTATE EQ IN PFD CONV SER D 015271505 217 5721 SH SOLE 5721 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 43350 237600 SH Put SOLE 0 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 15 55000 SH SOLE 55000 0 0 AMERICAN ELEC PWR CO INC UNIT 03/15/2022 025537127 3134 60920 SH SOLE 60920 0 0 AMERICAN ELEC PWR CO INC COM 025537101 419 5000 SH Put SOLE 0 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 892 158951 SH SOLE 158951 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 431 10000 SH Call SOLE 0 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1089 25300 SH Put SOLE 0 0 0 ANI PHARMACEUTICALS INC NOTE 3.000%12/0 00182CAA1 879 800000 PRN SOLE 800000 0 0 B RILEY FINL INC COM 05580M108 2201 131891 SH SOLE 131891 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L100 1397 3398401 SH SOLE 3398401 0 0 BECTON DICKINSON & CO COM 075887109 1174 4700 SH Put SOLE 0 0 0 BECTON DICKINSON & CO PFD SHS CONV A 075887208 6870 111140 SH SOLE 111140 0 0 BLINK CHARGING CO *W EXP 01/31/202 09354A118 19 15837 SH SOLE 15837 0 0 BLUELINX HLDGS INC COM NEW 09624H208 2974 111653 SH SOLE 111653 0 0 CENTERPOINT ENERGY INC COM 15189T107 589 19200 SH Put SOLE 0 0 0 CENTERPOINT ENERGY INC DEP RP PFD CV B 15189T503 3121 59058 SH SOLE 59058 0 0 CHURCHILL CAP CORP *W EXP 09/11/202 17142R111 229 67920 SH SOLE 67920 0 0 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 40017 28227000 PRN SOLE 28227000 0 0 COLFAX CORP UNIT 01/15/2022T 194014205 17076 128262 SH SOLE 128262 0 0 CROWN CASTLE INTL CORP NEW 6.875% CON PFD A 22822V309 41344 34895 SH SOLE 34895 0 0 DANAHER CORPORATION COM 235851102 3303 25020 SH SOLE 25020 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 6159 5849 SH SOLE 5849 0 0 DOMINION ENERGY INC UNIT 08/15/2019 25746U836 5421 108588 SH SOLE 108588 0 0 DOMINION ENERGY INC COM 25746U109 4592 59900 SH Call SOLE 0 0 0 DOMINION ENERGY INC COM 25746U109 774 10100 SH Put SOLE 0 0 0 DTE ENERGY CO UNIT 99/99/9999 233331883 10677 192900 SH SOLE 192900 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 449 10000 SH Call SOLE 0 0 0 ENERGIZER HLDGS INC NEW 7.5 MCNV PFD A 29272W208 11059 113570 SH SOLE 113570 0 0 EPR PPTYS CONV PFD 9% SR E 26884U307 3439 90762 SH SOLE 90762 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 22610 719134 SH SOLE 719134 0 0 EPR PPTYS COM SH BEN INT 26884U109 3776 49100 SH Call SOLE 0 0 0 EURONET WORLDWIDE INC NOTE 1.500%10/0 298736AH2 7561 3850000 PRN SOLE 3850000 0 0 FORTIVE CORP 5% PFD CNV SER A 34959J207 265 253 SH SOLE 253 0 0 FORUM MERGER II CORP *W EXP 09/30/202 34986F111 22 50000 SH SOLE 50000 0 0 GENERAL ELECTRIC CO COM 369604103 230 23000 SH SOLE 23000 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 246 12640 SH SOLE 12640 0 0 GIGCAPITAL INC *W EXP 06/08/202 37518N122 14 50000 SH SOLE 50000 0 0 GRAF INDL CORP *W EXP 12/31/202 384278115 17 50000 SH SOLE 50000 0 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 02/19/202 362409112 19 31658 SH SOLE 31658 0 0 HC2 HLDGS INC COM 404139107 1422 580592 SH SOLE 580592 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 13691 11010000 PRN SOLE 11010000 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 1698 1305931 SH SOLE 1305931 0 0 HOSTESS BRANDS INC CL A 44109J106 151 12100 SH Put SOLE 0 0 0 HOSTESS BRANDS INC CL A 44109J106 361 28900 SH Call SOLE 0 0 0 IRIDIUM COMMUNICATIONS INC PERP PFD CNV B 46269C409 110889 120988 SH SOLE 120988 0 0 IRIDIUM COMMUNICATIONS INC COM 46269C102 378 14300 SH Call SOLE 0 0 0 JENSYN ACQUISITION CORP *W EXP 03/07/202 47632B110 2 25000 SH SOLE 25000 0 0 KRAFT HEINZ CO COM 500754106 803 24600 SH SOLE 24600 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 15 50000 SH SOLE 50000 0 0 LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 18 50000 SH SOLE 50000 0 0 LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 1609 3802000 PRN SOLE 3802000 0 0 LINDBLAD EXPEDITIONS HLDGS I *W EXP 07/08/202 535219117 354 77527 SH SOLE 77527 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.500% 5/1 538034AJ8 5892 3222000 PRN SOLE 3222000 0 0 MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 730 215415 SH SOLE 215415 0 0 MERCADOLIBRE INC COM 58733R102 5280 10400 SH Put SOLE 0 0 0 MICRON TECHNOLOGY INC NOTE 2.125% 2/1 595112AV5 20437 5416000 PRN SOLE 5416000 0 0 MODERN MEDIA ACQUISITION COM 60765P103 624 60259 SH SOLE 60259 0 0 MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 3 10000 SH SOLE 10000 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 234 22700 SH SOLE 22700 0 0 MTS SYS CORP COM 553777103 746 13700 SH Put SOLE 0 0 0 MTS SYS CORP COM 553777103 719 13200 SH Call SOLE 0 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 35 63232 SH SOLE 63232 0 0 NABORS INDUSTRIES LTD SHS G6359F103 334 97200 SH Call SOLE 0 0 0 NABORS INDUSTRIES LTD 6% PFD CNV SR A G6359F129 3319 122109 SH SOLE 122109 0 0 NATIONAL HOLDINGS CORP COM NEW 636375206 1148 382538 SH SOLE 382538 0 0 NEW SR INVT GROUP INC COM 648691103 1060 194467 SH SOLE 194467 0 0 NIO INC SPON ADS 62914V106 286 56045 SH SOLE 56045 0 0 NIO INC SPON ADS 62914V106 565 110700 SH Call SOLE 0 0 0 NIO INC SPON ADS 62914V106 749 146800 SH Put SOLE 0 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 12 50000 SH SOLE 50000 0 0 POTBELLY CORP COM 73754Y100 161 18943 SH SOLE 18943 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 17130 173658 SH SOLE 173658 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 6501 479400 SH Put SOLE 0 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 1138 83900 SH Call SOLE 0 0 0 RED HAT INC NOTE 0.250%10/0 756577AD4 8264 3330000 PRN SOLE 3330000 0 0 RENT A CTR INC NEW COM 76009N100 747 35800 SH SOLE 35800 0 0 RESTORATION HARDWARE HLDGS I NOTE 6/1 761283AD2 2540 2525000 PRN SOLE 2525000 0 0 REXNORD CORP NEW COM 76169B102 3698 147100 SH Put SOLE 0 0 0 RH COM 74967X103 721 7000 SH Call SOLE 0 0 0 RH COM 74967X103 1956 19000 SH Put SOLE 0 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 29236 276594 SH SOLE 276594 0 0 SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 26 38800 SH SOLE 38800 0 0 SOUTH JERSEY INDS INC UNIT 99/99/9999 838518116 5756 111591 SH SOLE 111591 0 0 STARWOOD WAYPOINT RESIDENTL NOTE 3.000% 7/0 85571WAB5 1935 1462000 PRN SOLE 1462000 0 0 TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 21 13483 SH SOLE 13483 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 2567 2500000 PRN SOLE 2500000 0 0 THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 36 50000 SH SOLE 50000 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 10 59914 SH SOLE 59914 0 0 TRINITY MERGER CORP COM CL A 89653L106 256 25000 SH SOLE 25000 0 0 TRINITY MERGER CORP *W EXP 05/11/202 89653L114 18 50000 SH SOLE 50000 0 0 U S WELL SVCS INC *W EXP 03/15/202 91274U119 86 85082 SH SOLE 85082 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 13 29300 SH SOLE 29300 0 0 VECTOR GROUP LTD COM 92240M108 281 26000 SH Put SOLE 0 0 0 VECTOR GROUP LTD COM 92240M108 303 28097 SH SOLE 28097 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 503 5648 SH SOLE 5648 0 0 XENCOR INC COM 98401F105 324 10417 SH SOLE 10417 0 0