0001420506-17-000261.txt : 20170425 0001420506-17-000261.hdr.sgml : 20170425 20170425092427 ACCESSION NUMBER: 0001420506-17-000261 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170425 DATE AS OF CHANGE: 20170425 EFFECTIVENESS DATE: 20170425 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: 17779891 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 03-31-2017 03-31-2017 false EQUITEC SPECIALISTS, LLC

111 WEST JACKSON BLVD 20 TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-16417 N Christopher Kuehner 312-692-5011 Christopher Kuehner , Compliance Officer CHICAGO IL 04-24-2017 0 70 452575 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC ALLERGAN PLC PFD CONV SER A G0177J116 1467 1729 SH SOLE 1729 0 0 AMERICAN TOWER CORP NEW PFD CONV SER A 03027X308 11574 101327 SH SOLE 101327 0 0 AMERICAN TOWER CORP NEW COM 03027X100 5360 44100 SH Put SOLE 0 0 0 AMTRUST FINL SVCS INC NOTE 5.500%12/1 032359AC5 1085 850000 PRN SOLE 850000 0 0 AMTRUST FINL SVCS INC COM 032359309 224 12118 SH SOLE 12118 0 0 AMTRUST FINL SVCS INC COM 032359309 2178 118000 SH Put SOLE 0 0 0 ARRAY BIOPHARMA INC COM 04269X105 134 15000 SH Call SOLE 0 0 0 ASHFORD HOSPITALITY PRIME IN PFD CV SER B 044102507 280 14223 SH SOLE 14223 0 0 B RILEY FINL INC COM 05580M108 30000 2000000 SH SOLE 2000000 0 0 BANK AMER CORP *W EXP 10/28/201 060505153 42 45460 SH SOLE 45460 0 0 BLACK HILLS CORP UNIT 99/99/9999 092113125 25382 345898 SH SOLE 345898 0 0 BLACK HILLS CORP COM 092113109 246 3700 SH Call SOLE 0 0 0 COMERICA INC *W EXP 11/14/201 200340115 1023 26051 SH SOLE 26051 0 0 CONVERGYS CORP SDCV 5.750% 9/1 212485AE6 4878 2500000 PRN SOLE 2500000 0 0 DASEKE INC *W EXP 03/31/202 23753F115 148 131900 SH SOLE 131900 0 0 DYNEGY INC NEW DEL COM 26817R108 118 15000 SH Call SOLE 0 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 1103 1000000 PRN SOLE 1000000 0 0 ENVISION HEALTHCARE CORP PFD CNV 5.25% A1 29414D209 1093 9590 SH SOLE 9590 0 0 ENVISION HEALTHCARE CORP COM 29414D100 368 6000 SH Put SOLE 0 0 0 ENVISION HEALTHCARE CORP COM 29414D100 300 4900 SH Call SOLE 0 0 0 EPR PPTYS COM SH BEN INT 26884U109 1222 16600 SH Put SOLE 0 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 16919 589923 SH SOLE 589923 0 0 EPR PPTYS CONV PFD 9% SR E 26884U307 3098 86563 SH SOLE 86563 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 1192 556800 SH Put SOLE 0 0 0 FRONTIER COMMUNICATIONS CORP PFD CONV SER-A 35906A207 2235 45363 SH SOLE 45363 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 138 64500 SH Call SOLE 0 0 0 GALENA BIOPHARMA INC COM NEW 363256504 14 22500 SH Put SOLE 0 0 0 GALENA BIOPHARMA INC COM NEW 363256504 106 174500 SH Call SOLE 0 0 0 GENERAL MTRS CO COM 37045V100 738 20866 SH SOLE 20866 0 0 GREAT PLAINS ENERGY INC DEP SHS 1/20 B 391164878 1120 20849 SH SOLE 20849 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 1530 542685 SH SOLE 542685 0 0 IONIS PHARMACEUTICALS INC COM 462222100 209 5200 SH Put SOLE 0 0 0 JAZZ US HLDGS INC NOTE 8.000%12/3 47216EAA8 5914 2545000 PRN SOLE 2545000 0 0 JONES ENERGY INC COM CL A 48019R108 197 77200 SH Put SOLE 0 0 0 JPMORGAN CHASE & CO COM 46625H100 418 4760 SH SOLE 4760 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 1 430548 SH SOLE 430548 0 0 KINDRED HEALTHCARE INC COM 494580103 225 27000 SH Call SOLE 0 0 0 LABORATORY CORP AMER HLDGS NOTE 9/1 50540RAG7 440 230000 PRN SOLE 230000 0 0 MANNKIND CORP COM NEW 56400P706 16 10700 SH Put SOLE 0 0 0 MANNKIND CORP COM NEW 56400P706 223 150700 SH Call SOLE 0 0 0 MCDERMOTT INTL INC COM 580037109 210 31100 SH Put SOLE 0 0 0 MCDERMOTT INTL INC COM 580037109 78 11500 SH Call SOLE 0 0 0 MGIC INVT CORP WIS NOTE 2.000% 4/0 552848AE3 9847 6759000 PRN SOLE 6759000 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 178 247388 SH SOLE 247388 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 70616 18620000 PRN SOLE 18620000 0 0 PACIRA PHARMACEUTICALS INC COM 695127100 410 9000 SH Put SOLE 0 0 0 PACIRA PHARMACEUTICALS INC COM 695127100 257 5646 SH SOLE 5646 0 0 RADIAN GROUP INC NOTE 3.000%11/1 750236AK7 4601 2990000 PRN SOLE 2990000 0 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 12323 227362 SH SOLE 227362 0 0 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 446 31800 SH Put SOLE 0 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 2890 28270 SH SOLE 28270 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 306 1300 SH SOLE 1300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 283 1200 SH Put SOLE 0 0 0 T MOBILE US INC CONV PFD SER A 872590203 140265 1325631 SH SOLE 1325631 0 0 T MOBILE US INC COM 872590104 788 12200 SH Call SOLE 0 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 626 19500 SH Call SOLE 0 0 0 TIME INC NEW COM 887228104 2155 111365 SH SOLE 111365 0 0 TITAN INTL INC ILL COM 88830M102 103 10000 SH Put SOLE 0 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 231 10000 SH Call SOLE 0 0 0 UNIVERSAL CORP VA COM 913456109 2526 35700 SH Put SOLE 0 0 0 UNIVERSAL CORP VA COM 913456109 2183 30851 SH SOLE 30851 0 0 VECTOR GROUP LTD FRNT 1/1 92240MAY4 14397 9948000 PRN SOLE 9948000 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 2139 21830 SH SOLE 21830 0 0 WELLTOWER INC 6.50% PFD PREPET 95040Q203 13085 207307 SH SOLE 207307 0 0 WESTERN DIGITAL CORP COM 958102105 429 5200 SH Call SOLE 0 0 0 WESTERN DIGITAL CORP COM 958102105 5637 68300 SH Put SOLE 0 0 0 WPX ENERGY INC PFD SER A CV 98212B202 6342 104934 SH SOLE 104934 0 0 XPO LOGISTICS INC NOTE 4.500%10/0 983793AA8 35927 12296000 PRN SOLE 12296000 0 0 XPO LOGISTICS INC COM 983793100 206 4300 SH Put SOLE 0 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 133 11567 SH SOLE 11567 0 0