Compliance Officer

0001420506-16-001269.txt : 20161024 0001420506-16-001269.hdr.sgml : 20161024 20161024124044 ACCESSION NUMBER: 0001420506-16-001269 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161024 DATE AS OF CHANGE: 20161024 EFFECTIVENESS DATE: 20161024 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: 161947727 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 1 primary_doc.xml 13F-HR LIVE false true true 0001108829 XXXXXXXX 09-30-2016 09-30-2016 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 10-24-2016 0 104 344432 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC ALLERGAN PLC PFD CONV SER A G0177J116 4662 5675 SH SOLE 5675 0 0 ALLERGAN PLC SHS G0177J108 392 1700 SH Call SOLE 0 0 0 ALTRA INDL MOTION CORP NOTE 2.750% 3/0 02208RAE6 1179 1000000 PRN SOLE 1000000 0 0 AMSURG CORP COM 03232P405 34 500 SH Put SOLE 0 0 0 AMSURG CORP PFD CNV SR A-1 % 03232P504 6696 52802 SH SOLE 52802 0 0 AMTRUST FINL SVCS INC COM 032359309 80 3000 SH Call SOLE 0 0 0 AMTRUST FINL SVCS INC NOTE 5.500%12/1 032359AC5 1577 850000 PRN SOLE 850000 0 0 ASHFORD HOSPITALITY PRIME IN PFD CV SER B 044102507 636 27240 SH SOLE 27240 0 0 B RILEY FINL INC COM 05580M108 26720 2000000 SH SOLE 2000000 0 0 BLACK HILLS CORP UNIT 99/99/9999 092113125 5046 73169 SH SOLE 73169 0 0 BLACK HILLS CORP COM 092113109 116 1900 SH Call SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 21 2700 SH Call SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 2 312 SH SOLE 312 0 0 CEPHEID COM 15670R107 237 4500 SH Put SOLE 0 0 0 CHINA LENDING CORP *W EXP 03/30/202 G21612117 13 62979 SH SOLE 62979 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 3231 34300 SH Put SOLE 0 0 0 CROWN CASTLE INTL CORP NEW CNV PFD STK SR A 22822V200 4422 39127 SH SOLE 39127 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 1903 20200 SH Call SOLE 0 0 0 DOMINION RES INC VA NEW UNIT 08/15/2019 25746U836 1527 30600 SH SOLE 30600 0 0 DYNEGY INC NEW DEL UNIT 07/01/20191 26817R405 5604 67611 SH SOLE 67611 0 0 EL PASO ENERGY CAP TR I PFD CV TR SECS 283678209 422 8688 SH SOLE 8688 0 0 ENCORE CAP GROUP INC COM 292554102 45 2000 SH Call SOLE 0 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 13487 439785 SH SOLE 439785 0 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 2471 386100 SH Call SOLE 0 0 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 193 30200 SH Put SOLE 0 0 0 FIAT CHRYSLER AUTOMOBILES 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