Administrator

0001420506-19-000988.txt : 20191101 0001420506-19-000988.hdr.sgml : 20191101 20191101092203 ACCESSION NUMBER: 0001420506-19-000988 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191101 DATE AS OF CHANGE: 20191101 EFFECTIVENESS DATE: 20191101 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16417 FILM NUMBER: 191185383 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/A 1 primary_doc.xml 13F-HR/A LIVE false true true 0001108829 XXXXXXXX 09-30-2019 09-30-2019 true 1 RESTATEMENT 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 434442 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AKERNA CORP *W EXP 06/17/202 00973W110 41 56221 SH SOLE 56221 0 0 ALEXANDRIA REAL ESTATE EQ IN PFD CONV SER D 015271505 1963 50571 SH SOLE 50571 0 0 ALPHABET INC CAP STK CL A 02079K305 366 300 SH SOLE 300 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 19 55000 SH SOLE 55000 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 4127 74100 SH Put SOLE 0 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 19170 1344206 SH SOLE 1344206 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 473 8500 SH Call SOLE 0 0 0 ANI PHARMACEUTICALS INC COM 00182C103 722 9900 SH Call SOLE 0 0 0 ANI PHARMACEUTICALS INC NOTE 3.000%12/0 00182CAA1 6982 6414000 PRN SOLE 6414000 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 2816 22524 SH SOLE 22524 0 0 AVANTOR INC 6.25 PFD CNV SR 05352A209 10408 193855 SH SOLE 193855 0 0 AVANTOR INC COM 05352A100 171 11600 SH Call SOLE 0 0 0 AVANTOR INC COM 05352A100 1135 77200 SH Put SOLE 0 0 0 B RILEY FINL INC COM 05580M108 2368 100267 SH SOLE 100267 0 0 B RILEY PRINCIPAL MERGER COR *W EXP 04/08/202 05586Y114 23 50000 SH SOLE 50000 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L209 50 10452 SH SOLE 10452 0 0 BECTON DICKINSON & CO COM 075887109 152 600 SH Call SOLE 0 0 0 BECTON DICKINSON & CO COM 075887109 1240 4900 SH Put SOLE 0 0 0 BECTON DICKINSON & CO PFD SHS CONV A 075887208 49 797 SH SOLE 797 0 0 BLINK CHARGING CO *W EXP 01/31/202 09354A118 65 146929 SH SOLE 146929 0 0 BLUELINX HLDGS INC COM NEW 09624H208 2653 82047 SH SOLE 82047 0 0 BOXWOOD MERGER CORP *W EXP 11/26/202 10319T119 27 38954 SH SOLE 38954 0 0 BROADCOM INC COM 11135F101 414 1500 SH Put SOLE 0 0 0 BROADCOM INC COM 11135F101 276 1000 SH Call SOLE 0 0 0 CENTERPOINT ENERGY INC DEP RP PFD CV B 15189T503 4691 89757 SH SOLE 89757 0 0 CENTERPOINT ENERGY INC COM 15189T107 332 11000 SH Put SOLE 0 0 0 CF FIN ACQUISITION CORP *W EXP 04/30/202 12528N115 33 50000 SH SOLE 50000 0 0 CHANGE HEALTHCARE INC COM 15912K100 63 5200 SH Call SOLE 0 0 0 CHANGE HEALTHCARE INC COM 15912K100 361 29900 SH Put SOLE 0 0 0 CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 13476 282407 SH SOLE 282407 0 0 CLARIVATE ANALYTICS PLC *W EXP 11/09/201 G21810117 19531 3315976 SH SOLE 3315976 0 0 COLFAX CORP COM 194014106 145 5000 SH Call SOLE 0 0 0 COLFAX CORP UNIT 01/15/2022T 194014205 18972 145338 SH SOLE 145338 0 0 COUPA SOFTWARE INC COM 22266L106 130 1000 SH Call SOLE 0 0 0 COUPA SOFTWARE INC COM 22266L106 453 3500 SH Put SOLE 0 0 0 COUPA SOFTWARE INC NOTE 0.375% 1/1 22266LAB2 8741 3000000 PRN SOLE 3000000 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 2316 16663 SH SOLE 16663 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 1112 8000 SH Put SOLE 0 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 175 7500 SH SOLE 7500 0 0 DANAHER CORPORATION DBCV 1/2 235851AF9 165 30000 PRN SOLE 30000 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 2641 2317 SH SOLE 2317 0 0 DARLING INGREDIENTS INC COM 237266101 349 18256 SH SOLE 18256 0 0 DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 17 50000 SH SOLE 50000 0 0 DEXCOM INC NOTE 0.750% 5/1 252131AF4 1587 1000000 PRN SOLE 1000000 0 0 DOMINION ENERGY INC UNIT 99/99/9999 25746U133 20706 195803 SH SOLE 195803 0 0 DTE ENERGY CO UNIT 99/99/9999 233331883 83955 1447244 SH SOLE 1447244 0 0 DTE ENERGY CO COM 233331107 40 300 SH Put SOLE 0 0 0 ENCORE CAP GROUP INC COM 292554102 10 300 SH Call SOLE 0 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 4189 4127000 PRN SOLE 4127000 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 166 3800 SH Call SOLE 0 0 0 ENERGIZER HLDGS INC NEW 7.5 MCNV PFD A 29272W208 8993 94978 SH SOLE 94978 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 1543 35400 SH Put SOLE 0 0 0 ENVESTNET INC NOTE 1.750%12/1 29404KAA4 4547 4480000 PRN SOLE 4480000 0 0 EPR PPTYS COM SH BEN INT 26884U109 3028 39400 SH Call SOLE 0 0 0 EPR PPTYS COM SH BEN INT 26884U109 538 7000 SH Put SOLE 0 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 5216 156576 SH SOLE 156576 0 0 EPR PPTYS CONV PFD 9% SR E 26884U307 62 1590 SH SOLE 1590 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 30 25000 SH SOLE 25000 0 0 FIRST MAJESTIC SILVER CORP NOTE 1.875% 3/0 32076VAB9 2326 2000000 PRN SOLE 2000000 0 0 FORTIVE CORP 5% PFD CNV SER A 34959J207 16563 18360 SH SOLE 18360 0 0 FORTIVE CORP COM 34959J108 151 2200 SH Call SOLE 0 0 0 FORTIVE CORP COM 34959J108 2557 37300 SH Put SOLE 0 0 0 FORUM MERGER II CORP *W EXP 09/30/202 34986F111 30 50000 SH SOLE 50000 0 0 GIGCAPITAL INC *W EXP 06/08/202 37518N122 34 50000 SH SOLE 50000 0 0 GRAF INDL CORP *W EXP 12/31/202 384278115 39 100000 SH SOLE 100000 0 0 GREEN PLAINS INC COM 393222104 32 3000 SH SOLE 3000 0 0 HC2 HLDGS INC COM 404139107 2222 945583 SH SOLE 945583 0 0 HENNESSY CAP ACQUSTION CORP *W EXP 09/05/202 42589C112 31 40000 SH SOLE 40000 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 24 11500 SH Put SOLE 0 0 0 INTEL CORP COM 458140100 113 2200 SH SOLE 2200 0 0 INTERNATIONAL FLAVORS&FRAGRA UNIT 09/15/2021 459506309 2363 50238 SH SOLE 50238 0 0 INVITAE CORP COM 46185L103 32 1648 SH SOLE 1648 0 0 INVITAE CORP COM 46185L103 29 1500 SH Put SOLE 0 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 18 50000 SH SOLE 50000 0 0 LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 35 109500 SH SOLE 109500 0 0 LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 6339 12350000 PRN SOLE 12350000 0 0 LYFT INC CL A COM 55087P104 658 16100 SH SOLE 16100 0 0 MAGNOLIA OIL & GAS CORP CL A 559663109 41 3700 SH Call SOLE 0 0 0 MEDICINES CO NOTE 2.500% 1/1 584688AE5 5785 3849000 PRN SOLE 3849000 0 0 MEDICINES CO COM 584688105 1395 27900 SH Call SOLE 0 0 0 MEDICINES CO COM 584688105 10 200 SH Put SOLE 0 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 19 50000 SH SOLE 50000 0 0 MICRON TECHNOLOGY INC NOTE 2.125% 2/1 595112AV5 4299 1100000 PRN SOLE 1100000 0 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 4176 1547000 PRN SOLE 1547000 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 25 60000 SH SOLE 60000 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 38 63232 SH SOLE 63232 0 0 NABORS INDUSTRIES LTD SHS G6359F103 200 106700 SH Call SOLE 0 0 0 NABORS INDUSTRIES LTD 6% PFD CNV SR A G6359F129 442 27493 SH SOLE 27493 0 0 NABORS INDUSTRIES LTD SHS G6359F103 77 41400 SH Put SOLE 0 0 0 NATIONAL HOLDINGS CORP COM NEW 636375206 1095 399693 SH SOLE 399693 0 0 NESCO HLDGS INC *W EXP 01/01/202 64083J112 57 66481 SH SOLE 66481 0 0 NETFIN ACQUISITION CORP *W EXP 08/01/202 G6455A115 15 50000 SH SOLE 50000 0 0 NETFLIX INC COM 64110L106 910 3400 SH SOLE 3400 0 0 NEW MEDIA INVT GROUP INC COM 64704V106 317 36000 SH SOLE 36000 0 0 NEW SR INVT GROUP INC COM 648691103 1299 194467 SH SOLE 194467 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 9145 182381 SH SOLE 182381 0 0 NIO INC SPON ADS 62914V106 8 4965 SH SOLE 4965 0 0 NIO INC SPON ADS 62914V106 27 17400 SH Call SOLE 0 0 0 NIO INC SPON ADS 62914V106 16 10100 SH Put SOLE 0 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 11376 1592000 PRN SOLE 1592000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 3612 33100 SH Call SOLE 0 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 7073 6500000 PRN SOLE 6500000 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 5 27090 SH SOLE 27090 0 0 PIVOTAL ACQUISITION CORP *W EXP 12/01/202 72583A119 84 66001 SH SOLE 66001 0 0 POTBELLY CORP COM 73754Y100 26 5900 SH SOLE 5900 0 0 PROS HOLDINGS INC COM 74346Y103 131 2200 SH Put SOLE 0 0 0 PROS HOLDINGS INC NOTE 2.000%12/0 74346YAB9 6372 3616000 PRN SOLE 3616000 0 0 PRUDENTIAL FINL INC COM 744320102 729 8100 SH SOLE 8100 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 26 24800 SH SOLE 24800 0 0 RANPAK HLDGS CORP *W EXP 06/03/202 75321W111 17 22265 SH SOLE 22265 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 194 44900 SH Call SOLE 0 0 0 RESTORATION HARDWARE HLDGS I DBCV 7/1 761283AC4 2978 2000000 PRN SOLE 2000000 0 0 REXNORD CORP NEW COM 76169B102 2056 76000 SH Call SOLE 0 0 0 REXNORD CORP NEW COM 76169B102 3560 131600 SH Put SOLE 0 0 0 SB FINL GROUP INC DEP SHS PFD 6.5% 78408D204 12 700 SH SOLE 700 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 18 50000 SH SOLE 50000 0 0 SEMPRA ENERGY COM 816851109 59 400 SH Call SOLE 0 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 26642 225394 SH SOLE 225394 0 0 SEMPRA ENERGY 6.75% CNV PFD B 816851505 881 7486 SH SOLE 7486 0 0 SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 12 28842 SH SOLE 28842 0 0 SILVER STD RES INC NOTE 2.875% 2/0 82823LAC0 6684 6545000 PRN SOLE 6545000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 63 25000 SH SOLE 25000 0 0 SONIM TECHNOLOGIES INC COM 83548F101 7 2400 SH SOLE 2400 0 0 SOUTH JERSEY INDS INC UNIT 99/99/9999 838518116 11969 231645 SH SOLE 231645 0 0 SOUTHERN CO UNIT 08/01/2022 842587602 9477 177107 SH SOLE 177107 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