Administrator

0001420506-21-000040.txt : 20210126 0001420506-21-000040.hdr.sgml : 20210126 20210126111139 ACCESSION NUMBER: 0001420506-21-000040 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210126 DATE AS OF CHANGE: 20210126 EFFECTIVENESS DATE: 20210126 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: 21552278 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 12-31-2020 12-31-2020 false EQUITEC PROPRIETARY MARKETS, LLC

111 W. JACKSON 20TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-16423 N Robert Wenzel Administrator 312 692-5081 Robert Wenzel, Administrator CHICAGO IL 12-31-2020 0 128 383679 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC PROPRIETARY MARKETS, LLC ABBVIE INC COM 00287Y109 487 4541 SH SOLE 4541 0 0 ABBVIE INC COM 00287Y109 10833 101100 SH Put SOLE 0 0 0 ABBVIE INC COM 00287Y109 2207 20600 SH Call SOLE 0 0 0 ACACIA COMMUNICATIONS INC COM 00401C108 7 100 SH Call SOLE 0 0 0 ACACIA COMMUNICATIONS INC COM 00401C108 14658 200900 SH Put SOLE 0 0 0 ACACIA COMMUNICATIONS INC COM 00401C108 11995 164400 SH SOLE 164400 0 0 ADVANCED MICRO DEVICES INC COM 007903107 0 400 SH Call SOLE 0 0 0 ADVANCED MICRO DEVICES INC COM 007903107 0 2200 SH Put SOLE 0 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 0 100 SH Put SOLE 0 0 0 AES CORP COM 00130H105 24 1000 SH SOLE 1000 0 0 ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 2721 275436 SH SOLE 275436 0 0 ALTICE USA INC CL A 02156K103 1322 34900 SH SOLE 34900 0 0 ALTICE USA INC CL A 02156K103 1511 39900 SH Put SOLE 0 0 0 ALTICE USA INC CL A 02156K103 189 5000 SH Call SOLE 0 0 0 AMAZON COM INC COM 023135106 80772 24800 SH SOLE 24800 0 0 AMAZON COM INC COM 023135106 3908 1200 SH Call SOLE 0 0 0 AQUABOUNTY TECHNOLOGIES INC COM NEW 03842K200 32 3700 SH Call SOLE 0 0 0 AQUABOUNTY TECHNOLOGIES INC COM NEW 03842K200 146 16700 SH Put SOLE 0 0 0 AQUABOUNTY TECHNOLOGIES INC COM NEW 03842K200 290 33125 SH SOLE 33125 0 0 B. RILEY FINANCIAL INC COM 05580M108 19375 438145 SH SOLE 438145 0 0 BABCOCK & WILCOX ENTERPRISES COM 05614L209 756 215378 SH SOLE 215378 0 0 BIOTELEMETRY INC COM 090672106 548 7600 SH SOLE 7600 0 0 BIOTELEMETRY INC COM 090672106 620 8600 SH Put SOLE 0 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 6 100 SH SOLE 100 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 757 12200 SH Call SOLE 0 0 0 BRISTOL-MYERS SQUIBB CO RIGHT 99/99/9999 110122157 7 10100 SH SOLE 10100 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 211 5600 SH SOLE 5600 0 0 CELLULAR BIOMEDICINE GROUP I COM NEW 15117P102 116 6300 SH SOLE 6300 0 0 CELLULAR BIOMEDICINE GROUP I COM NEW 15117P102 53 2900 SH Call SOLE 0 0 0 CELLULAR BIOMEDICINE GROUP I COM NEW 15117P102 195 10600 SH Put SOLE 0 0 0 CENTENE CORP DEL COM 15135B101 1015 16900 SH Call SOLE 0 0 0 CIGNA CORP NEW COM 125523100 1541 7400 SH Call SOLE 0 0 0 CIGNA CORP NEW COM 125523100 500 2400 SH Put SOLE 0 0 0 CINER RESOURCES LP COM UNIT LTD 172464109 282 22416 SH SOLE 22416 0 0 COLLECTORS UNIVERSE INC COM NEW 19421R200 1103 14622 SH SOLE 14622 0 0 COLLECTORS UNIVERSE INC COM NEW 19421R200 1131 15000 SH Call SOLE 0 0 0 COLLECTORS UNIVERSE INC COM NEW 19421R200 1764 23400 SH Put SOLE 0 0 0 CVS HEALTH CORP COM 126650100 0 2500 SH Put SOLE 0 0 0 DISNEY WALT CO COM 254687106 91 500 SH SOLE 500 0 0 EASTMAN CHEM CO COM 277432100 0 15400 SH Put SOLE 0 0 0 EIDOS THERAPEUTICS INC COM 28249H104 1101 8370 SH SOLE 8370 0 0 EIDOS THERAPEUTICS INC COM 28249H104 355 2700 SH Call SOLE 0 0 0 EIDOS THERAPEUTICS INC COM 28249H104 2368 18000 SH Put SOLE 0 0 0 EURONAV NV SHS B38564108 1002 125265 SH SOLE 125265 0 0 FISKER INC *W EXP 12/01/202 33813J114 486 98716 SH SOLE 98716 0 0 FITBIT INC CL A 33812L102 33 4800 SH SOLE 4800 0 0 FITBIT INC CL A 33812L102 33 4800 SH Put SOLE 0 0 0 FRONT YD RESIDENTIAL CORP COM 35904G107 143 8800 SH SOLE 8800 0 0 FRONT YD RESIDENTIAL CORP COM 35904G107 365 22500 SH Put SOLE 0 0 0 FRONT YD RESIDENTIAL CORP COM 35904G107 149 9200 SH Call SOLE 0 0 0 GENWORTH FINL INC COM CL A 37247D106 705 186500 SH Call SOLE 0 0 0 GENWORTH FINL INC COM CL A 37247D106 1024 270900 SH Put SOLE 0 0 0 GENWORTH FINL INC COM CL A 37247D106 909 240400 SH SOLE 240400 0 0 GREAT ELM GROUP INC COM NEW 39037G109 48 16514 SH SOLE 16514 0 0 IDEANOMICS INC COM 45166V106 1 400 SH SOLE 400 0 0 IDEANOMICS INC COM 45166V106 83 41500 SH Call SOLE 0 0 0 IDEANOMICS INC COM 45166V106 3 1300 SH Put SOLE 0 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 0 5000 SH Call SOLE 0 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 0 5000 SH Put SOLE 0 0 0 INVESCO DB MULTI-SECTOR COMM AGRICULTURE FD 46140H106 56 3500 SH SOLE 3500 0 0 INVESTORS BANCORP INC NEW COM 46146L101 0 1 SH SOLE 1 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1098 5601 SH SOLE 5601 0 0 ISHARES TR TIPS BD ETF 464287176 26 200 SH SOLE 200 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 0 4000 SH Put SOLE 0 0 0 NATIONAL BANKSHARES INC VA COM 634865109 5 173 SH SOLE 173 0 0 NATIONAL GEN HLDGS CORP COM 636220303 697 20400 SH 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Put SOLE 0 0 0 PRECIGEN INC COM 74017N105 329 32300 SH Call SOLE 0 0 0 PREVAIL THERAPEUTICS INC COM 74140Y101 4967 215300 SH Put SOLE 0 0 0 PREVAIL THERAPEUTICS INC COM 74140Y101 794 34400 SH Call SOLE 0 0 0 PREVAIL THERAPEUTICS INC COM 74140Y101 2833 122800 SH SOLE 122800 0 0 QUANTUM CORP COM NEW 747906501 2215 361987 SH SOLE 361987 0 0 QUANTUMSCAPE CORP COM CL A 74767V109 228 2700 SH SOLE 2700 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 129 1800 SH Call SOLE 0 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1766 24700 SH Put SOLE 0 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 737 10300 SH SOLE 10300 0 0 REALPAGE INC COM 75606N109 2809 32200 SH SOLE 32200 0 0 REALPAGE INC COM 75606N109 2312 26500 SH Call SOLE 0 0 0 REALPAGE INC COM 75606N109 3228 37000 SH Put SOLE 0 0 0 ROMAN DBDR TECH ACQUISITION *W EXP 10/31/202 77584N119 564 462767 SH SOLE 462767 0 0 SCORPIO TANKERS INC SHS Y7542C130 43 3865 SH SOLE 3865 0 0 SEACOR HOLDINGS INC COM 811904101 207 5000 SH SOLE 5000 0 0 SEACOR HOLDINGS INC COM 811904101 207 5000 SH Put SOLE 0 0 0 SEAPORT GLOBAL ACQUISITN COR UNIT 99/99/9999 812227205 981 93873 SH SOLE 93873 0 0 SELECT INTERIOR CONCEPTS INC CL A 816120307 641 89640 SH SOLE 89640 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 9112 102900 SH SOLE 102900 0 0 SOFTWARE ACQUISITN GRUP INC *W EXP 09/17/202 83407F119 274 202922 SH SOLE 202922 0 0 SOGOU INC ADR REPSTG A 83409V104 531 65100 SH Put SOLE 0 0 0 SOGOU INC ADR REPSTG A 83409V104 62 7600 SH SOLE 7600 0 0 SOGOU INC ADR REPSTG A 83409V104 63 7700 SH Call SOLE 0 0 0 SONIM TECHNOLOGIES INC COM 83548F101 2577 3559345 SH SOLE 3559345 0 0 SPARTACUS ACQUISITION CORP *W EXP 10/31/202 84677L117 376 335565 SH SOLE 335565 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 4893 16000 SH SOLE 16000 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 30 1700 SH SOLE 1700 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 35 2000 SH Put SOLE 0 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 18 1000 SH Call SOLE 0 0 0 TESLA INC COM 88160R101 47986 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