Compliance Officer

0001420506-17-000640.txt : 20171023 0001420506-17-000640.hdr.sgml : 20171023 20171023104004 ACCESSION NUMBER: 0001420506-17-000640 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171023 DATE AS OF CHANGE: 20171023 EFFECTIVENESS DATE: 20171023 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: 171148454 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 09-30-2017 09-30-2017 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 10-23-2017 0 101 649834 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 27 49210 SH SOLE 49210 0 0 ALLERGAN PLC SHS G0177J108 9940 48500 SH Call SOLE 0 0 0 ALLERGAN PLC PFD CONV SER A G0177J116 13953 18911 SH SOLE 18911 0 0 AMAZON COM INC COM 023135106 96 100 SH SOLE 100 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 645 32240 SH SOLE 32240 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 227 3700 SH Put SOLE 0 0 0 AMERICAN TOWER CORP NEW COM 03027X100 765 5600 SH Call SOLE 0 0 0 AMERICAN TOWER CORP NEW DEP PFD CONV SE 03027X407 23731 194390 SH SOLE 194390 0 0 AMTRUST FINL SVCS INC COM 032359309 269 20000 SH Put SOLE 0 0 0 AMTRUST FINL SVCS INC COM 032359309 470 34900 SH Call SOLE 0 0 0 AMTRUST FINL SVCS INC NOTE 5.500%12/1 032359AC5 2426 1850000 PRN SOLE 1850000 0 0 ANTHEM INC NOTE 2.750%10/1 94973VBG1 13844 5335000 PRN SOLE 5335000 0 0 ARCONIC INC COM 03965L100 60 2400 SH Put SOLE 0 0 0 ARCONIC INC 5.375% PFD B 1 03965L308 63992 1645051 SH SOLE 1645051 0 0 AVISTA HEALTHCARE PUB ACQ CO *W EXP 99/99/999 G0726L117 10 25000 SH SOLE 25000 0 0 BANK AMER CORP *W EXP 10/28/201 060505153 73 93249 SH SOLE 93249 0 0 BECTON DICKINSON & CO COM 075887109 288 1470 SH SOLE 1470 0 0 BLACK HILLS CORP UNIT 99/99/9999 092113125 42346 562734 SH SOLE 562734 0 0 BLACKSTONE MTG TR INC NOTE 5.250%12/0 09257WAA8 2284 2000000 PRN SOLE 2000000 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 45 5000 SH Call SOLE 0 0 0 CEMEX SAB DE CV NOTE 3.750% 3/1 151290BC6 1141 1000000 PRN SOLE 1000000 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 45 5000 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 25 2700 SH Call SOLE 0 0 0 CF CORP *W EXP 05/25/202 G20307115 25 12000 SH SOLE 12000 0 0 CISION LTD *W EXP 06/22/202 G1992S117 613 207934 SH SOLE 207934 0 0 CONVERGYS CORP SDCV 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CORP COM NEW 35906A306 348 29500 SH Call SOLE 0 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 33 2834 SH SOLE 2834 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 8687 387645 SH SOLE 387645 0 0 GENERAL MTRS CO COM 37045V100 202 5000 SH Put SOLE 0 0 0 HALCON RES CORP COM PAR NEW 40537Q605 0 67 SH SOLE 67 0 0 HALCON RES CORP COM PAR NEW 40537Q605 67 9800 SH Call SOLE 0 0 0 HESS CORP COM 42809H107 700 14934 SH SOLE 14934 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 1048 513732 SH SOLE 513732 0 0 HOSTESS BRANDS INC CL A 44109J106 14 1000 SH Put SOLE 0 0 0 HOSTESS BRANDS INC CL A 44109J106 249 18200 SH Call SOLE 0 0 0 IONIS PHARMACEUTICALS INC COM 462222100 324 6400 SH Put SOLE 0 0 0 IONIS PHARMACEUTICALS INC COM 462222100 8 158 SH SOLE 158 0 0 IRIDIUM COMMUNICATIONS INC PERP PFD CNV B 46269C409 412 1143 SH SOLE 1143 0 0 ISTAR INC COM 45031U101 30 2500 SH Put SOLE 0 0 0 ISTAR INC COM 45031U101 59 5000 SH Call SOLE 0 0 0 JANUS HENDERSON GROUP PLC NOTE 0.750% 7/1 47102XAH8 6522 4199000 PRN SOLE 4199000 0 0 JAZZ US HLDGS INC NOTE 8.000%12/3 47216EAA8 7649 2465000 PRN SOLE 2465000 0 0 JONES ENERGY INC COM CL A 48019R108 103 53900 SH Put SOLE 0 0 0 KINDRED HEALTHCARE INC COM 494580103 41 6000 SH Put SOLE 0 0 0 KINDRED HEALTHCARE INC COM 494580103 330 48500 SH Call SOLE 0 0 0 LAM RESEARCH CORP NOTE 1.250% 5/1 512807AL2 33197 10862000 PRN SOLE 10862000 0 0 MANNKIND CORP COM NEW 56400P706 26 11800 SH Put SOLE 0 0 0 MANNKIND CORP COM NEW 56400P706 426 196300 SH Call SOLE 0 0 0 MICRON TECHNOLOGY INC NOTE 2.125% 2/1 595112AV5 22406 6275000 PRN SOLE 6275000 0 0 MICRON TECHNOLOGY INC COM 595112103 197 5000 SH Call SOLE 0 0 0 MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 8291 6000000 PRN SOLE 6000000 0 0 MICRON TECHNOLOGY INC NOTE 1.625% 2/1 595112AU7 2871 800000 PRN SOLE 800000 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 82 186630 SH SOLE 186630 0 0 NEXTERA ENERGY INC UNIT 08/31/2018 65339F846 20553 309952 SH SOLE 309952 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 45604 8301000 PRN SOLE 8301000 0 0 NVIDIA CORP NOTE 1.000%12/0 67066GAC8 22623 2545000 PRN SOLE 2545000 0 0 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 65 5000 SH Put SOLE 0 0 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 2854 52729 SH SOLE 52729 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 245 17900 SH Call SOLE 0 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 7 500 SH Put SOLE 0 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 6890 65267 SH SOLE 65267 0 0 SALESFORCE COM INC NOTE 0.250% 4/0 79466LAD6 683 486000 PRN SOLE 486000 0 0 SILVER RUN ACQUISITION *W EXP 03/28/202 82812A111 74 48600 SH SOLE 48600 0 0 SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 65 27545 SH SOLE 27545 0 0 SOUTHWESTERN ENERGY CO DEP SHS 1/20 B 845467208 1861 130487 SH SOLE 130487 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 1 SH SOLE 1 0 0 STARWOOD PPTY TR INC NOTE 4.550% 3/0 85571BAA3 3176 3000000 PRN SOLE 3000000 0 0 STARWOOD PPTY TR INC NOTE 4.000% 1/1 85571BAB1 1114 1000000 PRN SOLE 1000000 0 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 9 3000 SH SOLE 3000 0 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 9 3000 SH Put SOLE 0 0 0 T MOBILE US INC CONV PFD SER A 872590203 145441 1455724 SH SOLE 1455724 0 0 T MOBILE US INC COM 872590104 123 2000 SH Put SOLE 0 0 0 T MOBILE US INC COM 872590104 37 600 SH Call SOLE 0 0 0 TESLA INC COM 88160R101 68 200 SH Put SOLE 0 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 623 35400 SH Call SOLE 0 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 2105 119600 SH Put SOLE 0 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 200 6500 SH Call SOLE 0 0 0 VECTOR GROUP LTD FRNT 1/1 92240MAY4 7047 4784000 PRN SOLE 4784000 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 21194 6812000 PRN SOLE 6812000 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 6756 65294 SH SOLE 65294 0 0 WELLTOWER INC 6.50% PFD PREPET 95040Q203 13492 212712 SH SOLE 212712 0 0 WESTERN DIGITAL CORP COM 958102105 5901 68300 SH Put SOLE 0 0 0 WPX ENERGY INC PFD SER A CV 98212B202 435 8154 SH SOLE 8154 0 0 XENCOR INC COM 98401F105 126 5489 SH SOLE 5489 0 0 XPO LOGISTICS INC COM 983793100 2304 33993 SH SOLE 33993 0 0 XPO LOGISTICS INC COM 983793100 291 4300 SH Put SOLE 0 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 460 30272 SH SOLE 30272 0 0