Compliance Officer

0001420506-18-000036.txt : 20180124 0001420506-18-000036.hdr.sgml : 20180124 20180124110042 ACCESSION NUMBER: 0001420506-18-000036 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180124 DATE AS OF CHANGE: 20180124 EFFECTIVENESS DATE: 20180124 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: 18544412 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 12-31-2017 12-31-2017 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 01-24-2018 0 108 522550 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AGROFRESH SOLUTIONS COM 00856G109 12 1600 SH Call SOLE 0 0 0 AGROFRESH SOLUTIONS COM 00856G109 5 700 SH SOLE 700 0 0 ALLERGAN PLC SHS G0177J108 15213 93000 SH Call SOLE 0 0 0 ALLERGAN PLC 5.5% CNV PFD A G0177J116 58862 100404 SH SOLE 100404 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 220 3700 SH Put SOLE 0 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 1635 90222 SH SOLE 90222 0 0 AMERICAN TOWER CORP NEW DEP PFD CONV SE 03027X407 40602 322876 SH SOLE 322876 0 0 AMERICAN TOWER CORP NEW COM 03027X100 43 300 SH Put SOLE 0 0 0 AMTRUST FINL SVCS INC COM 032359309 834 82800 SH Put SOLE 0 0 0 AMTRUST FINL SVCS INC COM 032359309 259 25700 SH Call SOLE 0 0 0 AMTRUST FINL SVCS INC NOTE 5.500%12/1 032359AC5 1966 1850000 PRN SOLE 1850000 0 0 ANADARKO PETE CORP UNIT 99/99/9999 032511404 22 633 SH SOLE 633 0 0 ANTHEM INC UNIT 05/01/20188 036752202 6280 112144 SH SOLE 112144 0 0 BANK AMER CORP *W EXP 10/28/201 060505153 219 102202 SH SOLE 102202 0 0 BLACK HILLS CORP COM 092113109 150 2500 SH Put SOLE 0 0 0 BLACK HILLS CORP UNIT 99/99/9999 092113125 21290 321987 SH SOLE 321987 0 0 BLACK HILLS CORP COM 092113109 361 6000 SH Call SOLE 0 0 0 BLACKSTONE MTG TR INC NOTE 5.250%12/0 09257WAA8 4695 4000000 PRN SOLE 4000000 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 120 16000 SH Put SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 131 17400 SH Call SOLE 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 20 2700 SH Call SOLE 0 0 0 CISION LTD *W EXP 06/22/202 G1992S117 388 142775 SH SOLE 142775 0 0 CONVERGYS CORP SDCV 5.750% 9/1 212485AE6 16350 7500000 PRN SOLE 7500000 0 0 CROWN CASTLE INTL CORP NEW 6.875% CON PFD A 22822V309 1567 1384 SH SOLE 1384 0 0 DASEKE INC *W EXP 02/27/202 23753F115 1673 819877 SH SOLE 819877 0 0 DEL TACO RESTAURANTS INC *W EXP 06/30/202 245496112 123 41720 SH SOLE 41720 0 0 DYNEGY INC NEW DEL COM 26817R108 15 1300 SH Put SOLE 0 0 0 DYNEGY INC NEW DEL COM 26817R108 24 2066 SH SOLE 2066 0 0 DYNEGY INC NEW DEL COM 26817R108 178 15000 SH Call SOLE 0 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 17147 636953 SH SOLE 636953 0 0 EPR PPTYS COM SH BEN INT 26884U109 4268 65200 SH Put SOLE 0 0 0 EPR PPTYS COM SH BEN INT 26884U109 20 300 SH Call SOLE 0 0 0 EPR PPTYS CONV PFD 9% SR E 26884U307 329 8925 SH SOLE 8925 0 0 EQT CORP COM 26884L109 1045 18360 SH SOLE 18360 0 0 FGL HLDGS *W EXP 11/30/202 G3402M110 19 12000 SH SOLE 12000 0 0 FRONTIER COMMUNICATIONS CORP PFD CONV SER-A 35906A207 1327 122658 SH SOLE 122658 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 387 57200 SH Call SOLE 0 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 2501 369900 SH Put SOLE 0 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 261 38683 SH SOLE 38683 0 0 GENERAL CABLE CORP DEL NEW COM 369300108 89 3000 SH Put SOLE 0 0 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845467208 4022 337952 SH SOLE 337952 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 1 SH SOLE 1 0 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 7 3000 SH Put SOLE 0 0 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 7 3000 SH SOLE 3000 0 0 T MOBILE US INC COM 872590104 0 2000 SH Put SOLE 0 0 0 T MOBILE US INC COM 872590104 0 600 SH Call SOLE 0 0 0 TESLA INC COM 88160R101 0 200 SH Put SOLE 0 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 767 40500 SH Call SOLE 0 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 1950 102900 SH Put SOLE 0 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 412 12102 SH SOLE 12102 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 85 2500 SH Call SOLE 0 0 0 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 1700 1070000 PRN SOLE 1070000 0 0 TTM TECHNOLOGIES INC COM 87305R109 41 2600 SH SOLE 2600 0 0 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 7439 7022000 PRN SOLE 7022000 0 0 VECTOR GROUP LTD FRNT 1/1 92240MAY4 18656 11784000 PRN SOLE 11784000 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 49717 14891000 PRN SOLE 14891000 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 5699 56016 SH SOLE 56016 0 0 WELLTOWER INC 6.50% PFD PREPET 95040Q203 595 9930 SH SOLE 9930 0 0 WESTERN DIGITAL CORP COM 958102105 5432 68300 SH Put SOLE 0 0 0 WILLSCOT CORP *W EXP 09/10/202 971375118 319 221600 SH SOLE 221600 0 0 WPX ENERGY INC PFD SER A CV 98212B202 2127 34382 SH SOLE 34382 0 0 XENCOR INC COM 98401F105 120 5489 SH SOLE 5489 0 0 XPO LOGISTICS INC COM 983793100 394 4300 SH Put SOLE 0 0 0 XPO LOGISTICS INC COM 983793100 2977 32500 SH SOLE 32500 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 152 8079 SH SOLE 8079 0 0