Administrator

0001420506-20-000394.txt : 20200423 0001420506-20-000394.hdr.sgml : 20200423 20200423094156 ACCESSION NUMBER: 0001420506-20-000394 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200423 DATE AS OF CHANGE: 20200423 EFFECTIVENESS DATE: 20200423 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: 20809562 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: LCS LLC /BD DATE OF NAME CHANGE: 20010611 FORMER COMPANY: FORMER CONFORMED NAME: EQUITEC SPECIALISTS LLC /BD DATE OF NAME CHANGE: 20010611 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0001108829 XXXXXXXX 03-31-2020 03-31-2020 false EQUITEC SPECIALISTS, LLC

111 WEST JACKSON BLVD 20 TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-16417 N Robert Wenzel Administrator 312-692-5081 Robert Wenzel, Administrator CHICAGO IL 03-31-2020 0 122 435972 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC SPECIALISTS, LLC AKERNA CORP *W EXP 06/17/202 00973W110 36 103561 SH SOLE 103561 0 0 ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 3 55000 SH SOLE 55000 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 28 160000 SH SOLE 160000 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 17676 728900 SH Put SOLE 0 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 1793 2241475 SH SOLE 2241475 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 2769 114200 SH Call SOLE 0 0 0 ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 5 50000 SH SOLE 50000 0 0 ASSURANT INC COM 04621X108 10 100 SH Call SOLE 0 0 0 ASSURANT INC COM 04621X108 801 7700 SH Put SOLE 0 0 0 ASSURANT INC 6.50% CONV PFD D 04621X207 2562 24062 SH SOLE 24062 0 0 AVANTOR INC 6.25 PFD CNV SR 05352A209 5161 119036 SH SOLE 119036 0 0 AVANTOR INC COM 05352A100 110 8800 SH Call SOLE 0 0 0 AVANTOR INC COM 05352A100 1995 159700 SH Put SOLE 0 0 0 BECTON DICKINSON & CO PFD SHS CONV A 075887208 19587 374648 SH SOLE 374648 0 0 BECTON DICKINSON & CO COM 075887109 13510 58800 SH Put SOLE 0 0 0 BLINK CHARGING CO *W EXP 01/31/202 09354A118 140 233520 SH SOLE 233520 0 0 BLINK CHARGING CO COM 09354A100 0 100 SH SOLE 100 0 0 BOOKING HLDGS INC COM 09857L108 13184 9800 SH Put SOLE 0 0 0 BOOKING HLDGS INC COM 09857L108 18162 13500 SH Call SOLE 0 0 0 BROADCOM INC COM 11135F101 682 2875 SH SOLE 2875 0 0 CAESARS ENTMT CORP COM 127686103 98 14500 SH Call SOLE 0 0 0 CAESARS ENTMT CORP COM 127686103 17 2500 SH Put SOLE 0 0 0 CARDTRONICS PLC SHS CL A G1991C105 262 12500 SH Put SOLE 0 0 0 CARDTRONICS PLC SHS CL A G1991C105 195 9312 SH SOLE 9312 0 0 CARDTRONICS PLC SHS CL A G1991C105 23 1100 SH Call SOLE 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 131 8500 SH Call SOLE 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 522 33800 SH Put SOLE 0 0 0 CENTERPOINT ENERGY INC DEP RP PFD CV B 15189T503 4309 149610 SH SOLE 149610 0 0 CHANGE HEALTHCARE INC COM 15912K100 47 4737 SH SOLE 4737 0 0 CHANGE HEALTHCARE INC COM 15912K100 338 33800 SH Call SOLE 0 0 0 CHANGE HEALTHCARE INC COM 15912K100 635 63600 SH Put SOLE 0 0 0 CLARIVATE ANALYTICS PLC COM G21810109 2293 110500 SH Call SOLE 0 0 0 CLARIVATE ANALYTICS PLC COM G21810109 3081 148500 SH Put SOLE 0 0 0 CLARIVATE ANALYTICS PLC COM G21810109 4840 233274 SH SOLE 233274 0 0 COLFAX CORP COM 194014106 180 9100 SH Call SOLE 0 0 0 COLFAX CORP COM 194014106 1051 53100 SH Put SOLE 0 0 0 COLFAX CORP UNIT 01/15/2022T 194014205 6127 66714 SH SOLE 66714 0 0 COUPA SOFTWARE INC NOTE 0.375% 1/1 22266LAB2 37291 12000000 PRN SOLE 12000000 0 0 CROWN CASTLE INTL CORP NEW 6.875% CON PFD A 22822V309 11171 8937 SH SOLE 8937 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 2484 17200 SH Put SOLE 0 0 0 CYPRESS SEMICONDUCTOR CORP NOTE 4.500% 1/1 232806AM1 7801 4591000 PRN SOLE 4591000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 107 4600 SH Call SOLE 0 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 424 18200 SH Put SOLE 0 0 0 CYTOKINETICS INC COM NEW 23282W605 16 1375 SH SOLE 1375 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 392 379 SH SOLE 379 0 0 DIAMOND EAGLE ACQUISITION CO COM CL A 25258L109 352 28500 SH Call SOLE 0 0 0 DIAMOND EAGLE ACQUISITION CO COM CL A 25258L109 363 29400 SH Put SOLE 0 0 0 DIAMOND EAGLE ACQUISITION CO *W EXP 06/30/202 25258L117 1647 575732 SH SOLE 575732 0 0 DIAMOND EAGLE ACQUISITION CO COM CL A 25258L109 826 66942 SH SOLE 66942 0 0 DOMINION ENERGY INC UNIT 99/99/9999 25746U133 2000 21732 SH SOLE 21732 0 0 ENCORE CAP GROUP INC COM 292554102 362 15500 SH Call SOLE 0 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 393 13000 SH Call SOLE 0 0 0 ENERGIZER HLDGS INC NEW 7.5 MCNV PFD A 29272W208 342 5042 SH SOLE 5042 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 6536 413959 SH SOLE 413959 0 0 EPR PPTYS COM SH BEN INT 26884U109 1385 57200 SH Call SOLE 0 0 0 EPR PPTYS CONV PFD 9% SR E 26884U307 47 2173 SH SOLE 2173 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 9 16889 SH SOLE 16889 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 118 19101 SH SOLE 19101 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 104 16800 SH Put SOLE 0 0 0 FORTIVE CORP COM 34959J108 3869 70100 SH Put SOLE 0 0 0 FORTIVE CORP 5% PFD CNV SER A 34959J207 4097 5693 SH SOLE 5693 0 0 FORTIVE CORP COM 34959J108 270 4900 SH Call SOLE 0 0 0 FORUM MERGER II CORP *W EXP 09/30/202 34986F111 14 50000 SH SOLE 50000 0 0 GALILEO ACQUISITION CORP *W EXP 10/31/202 G3770A110 8 33190 SH SOLE 33190 0 0 GIGCAPITAL2 INC *W EXP 02/28/202 375036118 15 50000 SH SOLE 50000 0 0 GLRY STR NW MDIA GRUP HLDG L *W EXP 02/13/202 G39973113 8 94328 SH SOLE 94328 0 0 GRAF INDL CORP *W EXP 12/31/202 384278115 10 100000 SH SOLE 100000 0 0 HENNESSY CAP ACQUSTION CORP *W EXP 09/05/202 42589C112 13 36924 SH SOLE 36924 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 1499 2630557 SH SOLE 2630557 0 0 INFINERA CORP COM 45667G103 103 19483 SH SOLE 19483 0 0 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 45 6100 SH Call SOLE 0 0 0 INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 16 37500 SH SOLE 37500 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 11 43100 SH SOLE 43100 0 0 LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 20 109500 SH SOLE 109500 0 0 LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 29632 35573000 PRN SOLE 35573000 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 11 50600 SH SOLE 50600 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 3 5000 SH SOLE 5000 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 14 46332 SH SOLE 46332 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 6 18032 SH SOLE 18032 0 0 NABORS INDUSTRIES LTD SHS G6359F103 42 106900 SH Call SOLE 0 0 0 NABORS INDUSTRIES LTD SHS G6359F103 1 1400 SH Put SOLE 0 0 0 NABORS INDUSTRIES LTD 6% PFD CNV SR A G6359F129 11 3088 SH SOLE 3088 0 0 NESCO HLDGS INC *W EXP 01/01/202 64083J112 5 30651 SH SOLE 30651 0 0 NETFIN ACQUISITION CORP *W EXP 08/01/202 G6455A115 39 100000 SH SOLE 100000 0 0 NEW SR INVT GROUP INC COM 648691103 2 600 SH SOLE 600 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 135 2848 SH SOLE 2848 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN 65341B106 1462 34000 SH Call SOLE 0 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN 65341B106 86 2000 SH Put SOLE 0 0 0 NIO INC SPON ADS 62914V106 36 12893 SH SOLE 12893 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 2027 269000 PRN SOLE 269000 0 0 ONESPAWORLD HOLDINGS LIMITED COM P73684113 10 2400 SH Put SOLE 0 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 11 1600 SH Put SOLE 0 0 0 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 21625 19538000 PRN SOLE 19538000 0 0 QTS RLTY TR INC 6.50% CON PFD B 74736A301 1176 9150 SH SOLE 9150 0 0 RESTORATION HARDWARE HLDGS I DBCV 7/1 761283AC4 33301 31515000 PRN SOLE 31515000 0 0 RH COM 74967X103 502 5000 SH Call SOLE 0 0 0 RH COM 74967X103 2793 27800 SH Put SOLE 0 0 0 RMG ACQUISITION CORP *W EXP 02/21/202 749641114 64 103000 SH SOLE 103000 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 11 50000 SH SOLE 50000 0 0 SEMPRA ENERGY COM 816851109 2147 19000 SH Call SOLE 0 0 0 SEMPRA ENERGY 6.75% CNV PFD B 816851505 37 398 SH SOLE 398 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 1440 15566 SH SOLE 15566 0 0 SEMPRA ENERGY COM 816851109 7378 65300 SH Put SOLE 0 0 0 SILVER SPIKE ACQUISITION COR *W EXP 08/02/202 G8136L114 40 175000 SH SOLE 175000 0 0 SOUTHERN CO UNIT 08/01/2022 842587602 491 11056 SH SOLE 11056 0 0 SPARTAN ENERGY ACQUISITION C *W EXP 08/27/202 846784122 15 50800 SH SOLE 50800 0 0 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 36077 10190000 PRN SOLE 10190000 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 31511 20508000 PRN SOLE 20508000 0 0 TESLA INC COM 88160R101 8908 17000 SH Call SOLE 0 0 0 TESLA INC COM 88160R101 40348 77000 SH Put SOLE 0 0 0 TORTOISE ACQUISITION CORP *W EXP 03/04/202 89154L118 28 100000 SH SOLE 100000 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 6 59914 SH SOLE 59914 0 0 TTM TECHNOLOGIES INC COM 87305R109 110 10600 SH Put SOLE 0 0 0 TTM TECHNOLOGIES INC COM 87305R109 110 10600 SH SOLE 10600 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 83 42790 SH SOLE 42790 0 0 VERRA MOBILITY CORP COM 92511U102 47 6600 SH Call SOLE 0 0 0 VERTIV HOLDINGS CO *W EXP 06/12/202 92537N116 18 10062 SH SOLE 10062 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 1508 102000 SH Put SOLE 0 0 0 VIRGIN GALACTIC HOLDINGS INC *W EXP 11/25/202 92766K114 438 58561 SH SOLE 58561 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 183 12362 SH SOLE 12362 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 2334 157900 SH Call SOLE 0 0 0 WORKDAY INC NOTE 1.500% 7/1 98138HAD3 3179 2000000 PRN SOLE 2000000 0 0