0001420506-20-000394.txt : 20200423
0001420506-20-000394.hdr.sgml : 20200423
20200423094156
ACCESSION NUMBER: 0001420506-20-000394
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200423
DATE AS OF CHANGE: 20200423
EFFECTIVENESS DATE: 20200423
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: 20809562
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
03-31-2020
03-31-2020
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
03-31-2020
0
122
435972
false
INFORMATION TABLE
2
Form13F_InfoTable.xml
INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC
AKERNA CORP
*W EXP 06/17/202
00973W110
36
103561
SH
SOLE
103561
0
0
ALLEGRO MERGER CORP
*W EXP 01/06/202
01749N111
3
55000
SH
SOLE
55000
0
0
AMCI ACQUISITION CORP
*W EXP 05/20/202
00165R119
28
160000
SH
SOLE
160000
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
17676
728900
SH
Put
SOLE
0
0
0
AMERICAN INTL GROUP INC
*W EXP 01/19/202
026874156
1793
2241475
SH
SOLE
2241475
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
2769
114200
SH
Call
SOLE
0
0
0
ANDINA ACQUISITION CORP III
*W EXP 07/31/202
G04415124
5
50000
SH
SOLE
50000
0
0
ASSURANT INC
COM
04621X108
10
100
SH
Call
SOLE
0
0
0
ASSURANT INC
COM
04621X108
801
7700
SH
Put
SOLE
0
0
0
ASSURANT INC
6.50% CONV PFD D
04621X207
2562
24062
SH
SOLE
24062
0
0
AVANTOR INC
6.25 PFD CNV SR
05352A209
5161
119036
SH
SOLE
119036
0
0
AVANTOR INC
COM
05352A100
110
8800
SH
Call
SOLE
0
0
0
AVANTOR INC
COM
05352A100
1995
159700
SH
Put
SOLE
0
0
0
BECTON DICKINSON & CO
PFD SHS CONV A
075887208
19587
374648
SH
SOLE
374648
0
0
BECTON DICKINSON & CO
COM
075887109
13510
58800
SH
Put
SOLE
0
0
0
BLINK CHARGING CO
*W EXP 01/31/202
09354A118
140
233520
SH
SOLE
233520
0
0
BLINK CHARGING CO
COM
09354A100
0
100
SH
SOLE
100
0
0
BOOKING HLDGS INC
COM
09857L108
13184
9800
SH
Put
SOLE
0
0
0
BOOKING HLDGS INC
COM
09857L108
18162
13500
SH
Call
SOLE
0
0
0
BROADCOM INC
COM
11135F101
682
2875
SH
SOLE
2875
0
0
CAESARS ENTMT CORP
COM
127686103
98
14500
SH
Call
SOLE
0
0
0
CAESARS ENTMT CORP
COM
127686103
17
2500
SH
Put
SOLE
0
0
0
CARDTRONICS PLC
SHS CL A
G1991C105
262
12500
SH
Put
SOLE
0
0
0
CARDTRONICS PLC
SHS CL A
G1991C105
195
9312
SH
SOLE
9312
0
0
CARDTRONICS PLC
SHS CL A
G1991C105
23
1100
SH
Call
SOLE
0
0
0
CENTERPOINT ENERGY INC
COM
15189T107
131
8500
SH
Call
SOLE
0
0
0
CENTERPOINT ENERGY INC
COM
15189T107
522
33800
SH
Put
SOLE
0
0
0
CENTERPOINT ENERGY INC
DEP RP PFD CV B
15189T503
4309
149610
SH
SOLE
149610
0
0
CHANGE HEALTHCARE INC
COM
15912K100
47
4737
SH
SOLE
4737
0
0
CHANGE HEALTHCARE INC
COM
15912K100
338
33800
SH
Call
SOLE
0
0
0
CHANGE HEALTHCARE INC
COM
15912K100
635
63600
SH
Put
SOLE
0
0
0
CLARIVATE ANALYTICS PLC
COM
G21810109
2293
110500
SH
Call
SOLE
0
0
0
CLARIVATE ANALYTICS PLC
COM
G21810109
3081
148500
SH
Put
SOLE
0
0
0
CLARIVATE ANALYTICS PLC
COM
G21810109
4840
233274
SH
SOLE
233274
0
0
COLFAX CORP
COM
194014106
180
9100
SH
Call
SOLE
0
0
0
COLFAX CORP
COM
194014106
1051
53100
SH
Put
SOLE
0
0
0
COLFAX CORP
UNIT 01/15/2022T
194014205
6127
66714
SH
SOLE
66714
0
0
COUPA SOFTWARE INC
NOTE 0.375% 1/1
22266LAB2
37291
12000000
PRN
SOLE
12000000
0
0
CROWN CASTLE INTL CORP NEW
6.875% CON PFD A
22822V309
11171
8937
SH
SOLE
8937
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
2484
17200
SH
Put
SOLE
0
0
0
CYPRESS SEMICONDUCTOR CORP
NOTE 4.500% 1/1
232806AM1
7801
4591000
PRN
SOLE
4591000
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
107
4600
SH
Call
SOLE
0
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
424
18200
SH
Put
SOLE
0
0
0
CYTOKINETICS INC
COM NEW
23282W605
16
1375
SH
SOLE
1375
0
0
DANAHER CORPORATION
4.75 MND CV PFD
235851300
392
379
SH
SOLE
379
0
0
DIAMOND EAGLE ACQUISITION CO
COM CL A
25258L109
352
28500
SH
Call
SOLE
0
0
0
DIAMOND EAGLE ACQUISITION CO
COM CL A
25258L109
363
29400
SH
Put
SOLE
0
0
0
DIAMOND EAGLE ACQUISITION CO
*W EXP 06/30/202
25258L117
1647
575732
SH
SOLE
575732
0
0
DIAMOND EAGLE ACQUISITION CO
COM CL A
25258L109
826
66942
SH
SOLE
66942
0
0
DOMINION ENERGY INC
UNIT 99/99/9999
25746U133
2000
21732
SH
SOLE
21732
0
0
ENCORE CAP GROUP INC
COM
292554102
362
15500
SH
Call
SOLE
0
0
0
ENERGIZER HLDGS INC NEW
COM
29272W109
393
13000
SH
Call
SOLE
0
0
0
ENERGIZER HLDGS INC NEW
7.5 MCNV PFD A
29272W208
342
5042
SH
SOLE
5042
0
0
EPR PPTYS
PFD C CNV 5.75%
26884U208
6536
413959
SH
SOLE
413959
0
0
EPR PPTYS
COM SH BEN INT
26884U109
1385
57200
SH
Call
SOLE
0
0
0
EPR PPTYS
CONV PFD 9% SR E
26884U307
47
2173
SH
SOLE
2173
0
0
FAR PT ACQUISITION CORP
*W EXP 06/01/202
30734W117
9
16889
SH
SOLE
16889
0
0
FIRST MAJESTIC SILVER CORP
COM
32076V103
118
19101
SH
SOLE
19101
0
0
FIRST MAJESTIC SILVER CORP
COM
32076V103
104
16800
SH
Put
SOLE
0
0
0
FORTIVE CORP
COM
34959J108
3869
70100
SH
Put
SOLE
0
0
0
FORTIVE CORP
5% PFD CNV SER A
34959J207
4097
5693
SH
SOLE
5693
0
0
FORTIVE CORP
COM
34959J108
270
4900
SH
Call
SOLE
0
0
0
FORUM MERGER II CORP
*W EXP 09/30/202
34986F111
14
50000
SH
SOLE
50000
0
0
GALILEO ACQUISITION CORP
*W EXP 10/31/202
G3770A110
8
33190
SH
SOLE
33190
0
0
GIGCAPITAL2 INC
*W EXP 02/28/202
375036118
15
50000
SH
SOLE
50000
0
0
GLRY STR NW MDIA GRUP HLDG L
*W EXP 02/13/202
G39973113
8
94328
SH
SOLE
94328
0
0
GRAF INDL CORP
*W EXP 12/31/202
384278115
10
100000
SH
SOLE
100000
0
0
HENNESSY CAP ACQUSTION CORP
*W EXP 09/05/202
42589C112
13
36924
SH
SOLE
36924
0
0
HOSTESS BRANDS INC
*W EXP 11/04/202
44109J114
1499
2630557
SH
SOLE
2630557
0
0
INFINERA CORP
COM
45667G103
103
19483
SH
SOLE
19483
0
0
INOVIO PHARMACEUTICALS INC
COM NEW
45773H201
45
6100
SH
Call
SOLE
0
0
0
INTL GNRL INSURANCE HLDNGS L
*W EXP 03/17/202
G4809J114
16
37500
SH
SOLE
37500
0
0
LEGACY ACQUISITION CORP
*W EXP 11/30/202
524643111
11
43100
SH
SOLE
43100
0
0
LF CAP ACQUISITION CORP
*W EXP 06/22/202
50200K116
20
109500
SH
SOLE
109500
0
0
LIBERTY MEDIA CORP
DEB 3.500% 1/1
530715AN1
29632
35573000
PRN
SOLE
35573000
0
0
MEGALITH FINL ACQUISITION CO
*W EXP 08/26/202
58518F117
11
50600
SH
SOLE
50600
0
0
MERIDA MERGER CORP I
*W EXP 11/07/202
58953M114
3
5000
SH
SOLE
5000
0
0
MONOCLE ACQUISITION CORP
*W EXP 12/06/202
609754114
14
46332
SH
SOLE
46332
0
0
MUDRICK CAP ACQUISITION CORP
*W EXP 02/12/202
624745113
6
18032
SH
SOLE
18032
0
0
NABORS INDUSTRIES LTD
SHS
G6359F103
42
106900
SH
Call
SOLE
0
0
0
NABORS INDUSTRIES LTD
SHS
G6359F103
1
1400
SH
Put
SOLE
0
0
0
NABORS INDUSTRIES LTD
6% PFD CNV SR A
G6359F129
11
3088
SH
SOLE
3088
0
0
NESCO HLDGS INC
*W EXP 01/01/202
64083J112
5
30651
SH
SOLE
30651
0
0
NETFIN ACQUISITION CORP
*W EXP 08/01/202
G6455A115
39
100000
SH
SOLE
100000
0
0
NEW SR INVT GROUP INC
COM
648691103
2
600
SH
SOLE
600
0
0
NEXTERA ENERGY INC
UNIT 09/01/2022S
65339F796
135
2848
SH
SOLE
2848
0
0
NEXTERA ENERGY PARTNERS LP
COM UNIT PART IN
65341B106
1462
34000
SH
Call
SOLE
0
0
0
NEXTERA ENERGY PARTNERS LP
COM UNIT PART IN
65341B106
86
2000
SH
Put
SOLE
0
0
0
NIO INC
SPON ADS
62914V106
36
12893
SH
SOLE
12893
0
0
NOVELLUS SYS INC
NOTE 2.625% 5/1
670008AD3
2027
269000
PRN
SOLE
269000
0
0
ONESPAWORLD HOLDINGS LIMITED
COM
P73684113
10
2400
SH
Put
SOLE
0
0
0
PAR PACIFIC HOLDINGS INC
COM NEW
69888T207
11
1600
SH
Put
SOLE
0
0
0
PRICELINE GRP INC
NOTE 0.350% 6/1
741503AS5
21625
19538000
PRN
SOLE
19538000
0
0
QTS RLTY TR INC
6.50% CON PFD B
74736A301
1176
9150
SH
SOLE
9150
0
0
RESTORATION HARDWARE HLDGS I
DBCV 7/1
761283AC4
33301
31515000
PRN
SOLE
31515000
0
0
RH
COM
74967X103
502
5000
SH
Call
SOLE
0
0
0
RH
COM
74967X103
2793
27800
SH
Put
SOLE
0
0
0
RMG ACQUISITION CORP
*W EXP 02/21/202
749641114
64
103000
SH
SOLE
103000
0
0
SCHULTZE SPL PURP ACQUSTN CO
*W EXP 12/31/202
80821R117
11
50000
SH
SOLE
50000
0
0
SEMPRA ENERGY
COM
816851109
2147
19000
SH
Call
SOLE
0
0
0
SEMPRA ENERGY
6.75% CNV PFD B
816851505
37
398
SH
SOLE
398
0
0
SEMPRA ENERGY
6% PFD CONV A
816851406
1440
15566
SH
SOLE
15566
0
0
SEMPRA ENERGY
COM
816851109
7378
65300
SH
Put
SOLE
0
0
0
SILVER SPIKE ACQUISITION COR
*W EXP 08/02/202
G8136L114
40
175000
SH
SOLE
175000
0
0
SOUTHERN CO
UNIT 08/01/2022
842587602
491
11056
SH
SOLE
11056
0
0
SPARTAN ENERGY ACQUISITION C
*W EXP 08/27/202
846784122
15
50800
SH
SOLE
50800
0
0
TELADOC HEALTH INC
NOTE 3.000%12/1
87918AAB1
36077
10190000
PRN
SOLE
10190000
0
0
TESLA INC
NOTE 1.250% 3/0
88160RAC5
31511
20508000
PRN
SOLE
20508000
0
0
TESLA INC
COM
88160R101
8908
17000
SH
Call
SOLE
0
0
0
TESLA INC
COM
88160R101
40348
77000
SH
Put
SOLE
0
0
0
TORTOISE ACQUISITION CORP
*W EXP 03/04/202
89154L118
28
100000
SH
SOLE
100000
0
0
TRIDENT ACQUISITIONS CORP
*W EXP 05/09/202
89615T114
6
59914
SH
SOLE
59914
0
0
TTM TECHNOLOGIES INC
COM
87305R109
110
10600
SH
Put
SOLE
0
0
0
TTM TECHNOLOGIES INC
COM
87305R109
110
10600
SH
SOLE
10600
0
0
VECTOIQ ACQUISITION CORP
*W EXP 05/11/202
92243N111
83
42790
SH
SOLE
42790
0
0
VERRA MOBILITY CORP
COM
92511U102
47
6600
SH
Call
SOLE
0
0
0
VERTIV HOLDINGS CO
*W EXP 06/12/202
92537N116
18
10062
SH
SOLE
10062
0
0
VIRGIN GALACTIC HOLDINGS INC
COM
92766K106
1508
102000
SH
Put
SOLE
0
0
0
VIRGIN GALACTIC HOLDINGS INC
*W EXP 11/25/202
92766K114
438
58561
SH
SOLE
58561
0
0
VIRGIN GALACTIC HOLDINGS INC
COM
92766K106
183
12362
SH
SOLE
12362
0
0
VIRGIN GALACTIC HOLDINGS INC
COM
92766K106
2334
157900
SH
Call
SOLE
0
0
0
WORKDAY INC
NOTE 1.500% 7/1
98138HAD3
3179
2000000
PRN
SOLE
2000000
0
0