Compliance Officer

0001420506-15-000077.txt : 20150209 0001420506-15-000077.hdr.sgml : 20150209 20150209160529 ACCESSION NUMBER: 0001420506-15-000077 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150209 DATE AS OF CHANGE: 20150209 EFFECTIVENESS DATE: 20150209 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: 15588617 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: EQUITEC SPECIALISTS LLC /BD DATE OF NAME CHANGE: 20010611 FORMER COMPANY: FORMER CONFORMED NAME: LCS LLC /BD DATE OF NAME CHANGE: 20010611 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false true 0001108829 XXXXXXXX 12-31-2014 12-31-2014 true 1 RESTATEMENT false EQUITEC SPECIALISTS, LLC

111 WEST JACKSON BLVD 20 TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-16417 N Christopher Kuehner Compliance Officer 312-692-5011 Christopher Kuehner , Compliance Officer CHICAGO IL 02-09-2015 0 181 387334 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AAR CORP COM 000361105 189 6800 SH Call SOLE 0 0 0 AAR CORP COM 000361105 144 5200 SH Call SOLE 0 0 0 AIRTRAN HLDGS INC NOTE 5.250%11/0 00949PAD0 21104 7209000 PRN SOLE 7209000 0 0 ANNALY CAP MGMT INC NOTE 4.000% 2/1 035710AA0 1016 1000000 PRN SOLE 1000000 0 0 APPLIED DNA SCIENCES INC *W EXP 11/21/201 03815U110 85 70000 SH SOLE 70000 0 0 ATHERSYS INC COM 04744L106 3 2000 SH SOLE 2000 0 0 AXION PWR INTL INC COM NEW 05460X208 25 26993 SH SOLE 26993 0 0 AXION PWR INTL INC *W EXP 10/24/201 05460X117 16 27972 SH SOLE 27972 0 0 BANK AMER CORP *W EXP 01/16/201 060505146 187 26494 SH SOLE 26494 0 0 BEAZER HOMES USA INC UNIT 99/99/9999 07556Q709 0 2 SH SOLE 2 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 2285 118020 SH SOLE 118020 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 2254 116400 SH Put SOLE 0 0 0 BSD MED CORP DEL COM 055662100 69 194564 SH SOLE 194564 0 0 CADENCE DESIGN SYSTEM INC NOTE 2.625% 6/0 127387AJ7 188 75000 PRN SOLE 75000 0 0 CAN-FITE BIOPHARMA LTD SPONSORED ADR 13471N102 1755 501364 SH SOLE 501364 0 0 CATHAY GEN BANCORP *W EXP 12/05/201 149150112 212 32509 SH SOLE 32509 0 0 CEL SCI CORP *W EXP 10/11/201 150837177 1 8219 SH SOLE 8219 0 0 CELSION CORPORATION COM PAR $0.01 15117N404 0 200 SH Call SOLE 0 0 0 CELSION CORPORATION COM PAR $0.01 15117N404 0 100 SH Put SOLE 0 0 0 CELSION CORPORATION COM PAR $0.01 15117N404 73 31200 SH Call SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 501 49200 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 66 6500 SH Put SOLE 0 0 0 CEMEX SAB DE CV NOTE 3.750% 3/1 151290BC6 1808 1500000 PRN SOLE 1500000 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 512 50200 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 182 17900 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 628 61600 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 972 95405 SH SOLE 95405 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 265 26000 SH Put SOLE 0 0 0 CESCA THERAPEUTICS INC COM 157131103 20 19505 SH SOLE 19505 0 0 CONTINENTAL AIRLS INC NOTE 4.500% 1/1 210795PU8 48886 13955000 PRN SOLE 13955000 0 0 CONVERGYS CORP SDCV 5.750% 9/1 212485AE6 66 34000 PRN SOLE 34000 0 0 CUBIST PHARMACEUTICALS INC COM 229678107 50 500 SH Call SOLE 0 0 0 CUBIST PHARMACEUTICALS INC NOTE 2.500%11/0 229678AD9 26412 7624000 PRN SOLE 7624000 0 0 DOMINION RES INC VA NEW UNIT 07/01/2016 25746U885 1757 29231 SH SOLE 29231 0 0 DRAGONWAVE INC *W EXP 08/01/201 26144M129 38 388086 SH SOLE 388086 0 0 DRAGONWAVE INC COM 26144M103 148 153341 SH SOLE 153341 0 0 EL PASO ENERGY CAP TR I PFD CV TR SECS 283678209 22855 375651 SH SOLE 375651 0 0 ENDO HEALTH SOLUTIONS INC NOTE 1.750% 4/1 29264FAB2 6308 2563000 PRN SOLE 2563000 0 0 ENERSYS COM 29275Y102 6 100 SH Call SOLE 0 0 0 ENERSYS NOTE 3.375% 6/0 29275YAA0 8666 5607000 PRN SOLE 5607000 0 0 ENPRO INDS INC DBCV 3.938%10/1 29355XAB3 19 10000 PRN SOLE 10000 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 1510 64519 SH SOLE 64519 0 0 EQUINIX INC NOTE 4.750% 6/1 29444UAH9 22397 7967000 PRN SOLE 7967000 0 0 EXELIXIS INC COM 30161Q104 4 2500 SH Call SOLE 0 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 5113 203874 SH SOLE 203874 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 6 339 SH SOLE 339 0 0 GENESEE & WYO INC UNIT 10/01/2015 371559204 1986 17114 SH SOLE 17114 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 68 5000 SH Put SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 438 12000 SH Call SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 22 600 SH Put SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 193 5300 SH Call SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 478 13100 SH Put SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 109 3000 SH Call SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 40 1100 SH Put SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 784 21500 SH Put SOLE 0 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 4 100 SH Put SOLE 0 0 0 GOODRICH PETE CORP COM NEW 382410405 2 450 SH SOLE 450 0 0 GOODRICH PETE CORP COM NEW 382410405 2 500 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 552 310200 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 59 33000 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 1 500 SH Call SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 67 37700 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 231 130000 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 318 178600 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 195 109300 SH SOLE 109300 0 0 HALCON RES CORP COM NEW 40537Q209 20 11000 SH Call SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 108 60700 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 10 5700 SH Call SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 14 8000 SH Call SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 8 4700 SH Call SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 23 13200 SH Call SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 7 4000 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 48 27200 SH Put SOLE 0 0 0 HALCON RES CORP COM NEW 40537Q209 16 9200 SH Put SOLE 0 0 0 HAWAIIAN HOLDINGS INC NOTE 5.000% 3/1 419879AD3 10974 3308000 PRN SOLE 3308000 0 0 HEALTH CARE REIT INC PFD PER CON I 42217K601 10644 161637 SH SOLE 161637 0 0 HORIZON PHARMA INC NOTE 5.000%11/1 44047TAB5 762 300000 PRN SOLE 300000 0 0 INTELSAT S A MAN CONV JR PFD L5140P119 654 13912 SH SOLE 13912 0 0 IRIDIUM COMMUNICATIONS INC PERP PFD CNV B 46269C409 3793 10366 SH SOLE 10366 0 0 ISIS PHARMACEUTICALS INC COM 464330109 6 100 SH Call SOLE 0 0 0 ISIS PHARMACEUTICALS INC COM 464330109 74 1200 SH Call SOLE 0 0 0 ISIS PHARMACEUTICALS INC COM 464330109 19 300 SH Put SOLE 0 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 2.750%10/0 464337AG9 8892 2393000 PRN SOLE 2393000 0 0 JANUS CAP GROUP INC COM 47102X105 2 100 SH Call SOLE 0 0 0 JANUS CAP GROUP INC NOTE 0.750% 7/1 47102XAH8 1517 1000000 PRN SOLE 1000000 0 0 JARDEN CORP NOTE 1.875% 9/1 471109AH1 28 18000 PRN SOLE 18000 0 0 JASON INDS INC *W EXP 06/30/201 471172114 89 69458 SH SOLE 69458 0 0 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143AG6 6574 2000000 PRN SOLE 2000000 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 176 41317 SH SOLE 41317 0 0 LIGHTBRIDGE CORP COM 53224K104 12 7900 SH SOLE 7900 0 0 LIGHTPATH TECHNOLOGIES INC CL A NEW 532257805 1 1300 SH SOLE 1300 0 0 MANNKIND CORP COM 56400P201 3 500 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 10 2000 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 246 47100 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 300 57600 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 5 1000 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 272 52200 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 80 15400 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 563 108000 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 15 2900 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 8 1500 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 164 31500 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 373 71600 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 5 1000 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 5 1000 SH Put SOLE 0 0 0 MANNKIND CORP COM 56400P201 14 2600 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 153 29300 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 101 19400 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 313 60000 SH Call SOLE 0 0 0 MANNKIND CORP COM 56400P201 33 6400 SH Call SOLE 0 0 0 MEDIVATION INC NOTE 2.625% 4/0 58501NAA9 17 9000 PRN SOLE 9000 0 0 MGM RESORTS INTERNATIONAL COM 552953101 214 10000 SH Put SOLE 0 0 0 MGM RESORTS INTERNATIONAL COM 552953101 244 11400 SH Call SOLE 0 0 0 MGM RESORTS INTERNATIONAL COM 552953101 229 10700 SH Put SOLE 0 0 0 MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 79 60000 PRN SOLE 60000 0 0 MICRON TECHNOLOGY INC NOTE 1.625% 2/1 595112AU7 8211 2570000 PRN SOLE 2570000 0 0 MYOS CORP COM NEW 554051201 231 33548 SH SOLE 33548 0 0 NEXTERA ENERGY INC UNIT 09/01/2015 65339F887 5470 81715 SH SOLE 81715 0 0 NEXTERA ENERGY INC COM 65339F101 213 2000 SH Put SOLE 0 0 0 NXT ID INC COM 67091J107 4 2000 SH SOLE 2000 0 0 NXT ID INC *W EXP 02/09/201 67091J123 33 45454 SH SOLE 45454 0 0 OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 24382 271883 SH SOLE 271883 0 0 OXIGENE INC COM PAR$.001 691828404 40 25000 SH SOLE 25000 0 0 PLASMATECH BIOPHARMACEUTICAL *W EXP 10/24/201 72754H117 62 75000 SH SOLE 75000 0 0 PLASMATECH BIOPHARMACEUTICAL COM 72754H109 253 73250 SH SOLE 73250 0 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 15360 229500 SH SOLE 229500 0 0 RARE ELEMENT RES LTD COM 75381M102 6 15430 SH SOLE 15430 0 0 RECON TECHNOLOGY LTD SHS G7415M108 12 6325 SH SOLE 6325 0 0 RICEBRAN TECHNOLOGIES *W EXP 12/18/201 762831113 10 10000 SH SOLE 10000 0 0 RITE AID CORP NOTE 8.500% 5/1 767754BU7 5481 1875000 PRN SOLE 1875000 0 0 SALIX PHARMACEUTICALS INC NOTE 2.750% 5/1 795435AC0 23861 9648000 PRN SOLE 9648000 0 0 SALIX PHARMACEUTICALS INC COM 795435106 1161 10100 SH Call SOLE 0 0 0 SANDISK CORP COM 80004C101 39 400 SH Call SOLE 0 0 0 SANDISK CORP NOTE 1.500% 8/1 80004CAD3 13567 7066000 PRN SOLE 7066000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5139 25000 SH Put SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2055 10000 SH Put SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 534 2600 SH SOLE 2600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5139 25000 SH Put SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 10277 50000 SH Put SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5139 25000 SH Put SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2055 10000 SH Put SOLE 0 0 0 SUNPOWER CORP COM 867652406 129 5000 SH Put SOLE 0 0 0 SUNPOWER CORP COM 867652406 196 7600 SH Call SOLE 0 0 0 SUNPOWER CORP COM 867652406 129 5000 SH Call SOLE 0 0 0 SUNPOWER CORP COM 867652406 13 500 SH Put SOLE 0 0 0 SUNPOWER CORP DBCV 4.500% 3/1 867652AE9 4277 3665000 PRN SOLE 3665000 0 0 T MOBILE US INC CONV PFD SER A 872590203 535 10087 SH SOLE 10087 0 0 TEREX CORP NEW COM 880779103 761 27300 SH Put SOLE 0 0 0 TEREX CORP NEW NOTE 4.000% 6/0 880779AV5 5277 3026000 PRN SOLE 3026000 0 0 TEREX CORP NEW COM 880779103 730 26200 SH Put SOLE 0 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 2786 1500000 PRN SOLE 1500000 0 0 THOMPSON CREEK METALS CO INC COM 884768102 9 5100 SH Call SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 12 7400 SH Call SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 123 73700 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 1 500 SH Call SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 56 33400 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 194 116000 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 21 12700 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 81 48700 SH Call SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 465 278323 SH SOLE 278323 0 0 THOMPSON CREEK METALS CO INC COM 884768102 2 1000 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 8 5000 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 12 7000 SH Put SOLE 0 0 0 THOMPSON CREEK METALS CO INC COM 884768102 12 7200 SH Put SOLE 0 0 0 TONIX PHARMACEUTICALS HLDG C COM NEW 890260201 29 5000 SH SOLE 5000 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 910 68300 SH Call SOLE 0 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 493 37000 SH Call SOLE 0 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 624 46800 SH Call SOLE 0 0 0 UNITED CONTL HLDGS INC COM 910047109 983 14700 SH Put SOLE 0 0 0 UNITED CONTL HLDGS INC COM 910047109 227 3400 SH Put SOLE 0 0 0 UNITED STATES STL CORP NEW COM 912909108 134 5000 SH Put SOLE 0 0 0 UNITED STATES STL CORP NEW COM 912909108 334 12500 SH Put SOLE 0 0 0 UNITED STATES STL CORP NEW NOTE 2.750% 4/0 912909AH1 2056 1655000 PRN SOLE 1655000 0 0 UNITED STATES STL CORP NEW COM 912909108 134 5000 SH Put SOLE 0 0 0 URANERZ ENERGY CORP COM 91688T104 18 16500 SH SOLE 16500 0 0 VALLEY NATL BANCORP *W EXP 11/14/201 919794131 24 90223 SH SOLE 90223 0 0 VECTOR GROUP LTD FRNT 1/1 92240MAY4 1759 1250000 PRN SOLE 1250000 0 0 VISTEON CORP COM NEW 92839U206 2041 19100 SH Call SOLE 0 0 0 VISTEON CORP COM NEW 92839U206 21 200 SH Call SOLE 0 0 0 WINTRUST FINL CORP *W EXP 12/19/201 97650W157 629 25688 SH SOLE 25688 0 0 XENCOR INC COM 98401F105 88 5489 SH SOLE 5489 0 0