Administrator

0001420506-21-001372.txt : 20211012 0001420506-21-001372.hdr.sgml : 20211012 20211012144851 ACCESSION NUMBER: 0001420506-21-001372 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211012 DATE AS OF CHANGE: 20211012 EFFECTIVENESS DATE: 20211012 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EQUITEC PROPRIETARY MARKETS, LLC CENTRAL INDEX KEY: 0001143261 IRS NUMBER: 364433608 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16423 FILM NUMBER: 211318376 BUSINESS ADDRESS: STREET 1: 111 W. JACKSON STREET 2: 20TH FL.OOR CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 312 692-5009 MAIL ADDRESS: STREET 1: 111 W. JACKSON STREET 2: 20TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 FORMER COMPANY: FORMER CONFORMED NAME: EQUITEC PROPRIETARY MARKETS LLC /BD DATE OF NAME CHANGE: 20010620 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0001143261 XXXXXXXX 09-30-2021 09-30-2021 false EQUITEC PROPRIETARY MARKETS, LLC

111 W. JACKSON 20TH FLOOR CHICAGO IL 60604

13F HOLDINGS REPORT 028-16423 N Robert Wenzel Administrator 312 692-5081 Robert Wenzel, Administrator CHICAGO IL 09-30-2021 0 274 540134 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR EQUITEC PROPRIETARY MARKETS, LLC 23ANDME HOLDING CO *W EXP 06/16/202 90138Q116 340 184800 SH SOLE 184800 0 0 26 CAPITAL ACQUISITION CORP *W EXP 12/31/202 90138P118 3 3000 SH SOLE 3000 0 0 7GC & CO HOLDINGS INC *W EXP 12/23/202 81786A115 3 5000 SH SOLE 5000 0 0 890 5TH AVE PARTNERS INC UNIT 01/12/2026 28250A204 10 1000 SH SOLE 1000 0 0 ABBVIE INC COM 00287Y109 5253 48700 SH Put SOLE 0 0 0 ABBVIE INC COM 00287Y109 852 7900 SH Call SOLE 0 0 0 ACCELERON PHARMA INC COM 00434H108 7451 43293 SH SOLE 43293 0 0 ACCELERON PHARMA INC COM 00434H108 5662 32900 SH Call SOLE 0 0 0 ACCELERON PHARMA INC COM 00434H108 7263 42200 SH Put SOLE 0 0 0 ACKRELL SPAC PARTNERS I CO *W EXP 12/01/202 00461L113 19 40000 SH SOLE 40000 0 0 ADIT EDTECH ACQUISITION CORP *W EXP 99/99/999 007024110 13 26000 SH SOLE 26000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 875 8500 SH Put SOLE 0 0 0 ADVANCED MICRO DEVICES INC COM 007903107 456 4430 SH SOLE 4430 0 0 ADVANCED MICRO DEVICES INC COM 007903107 1955 19000 SH Call SOLE 0 0 0 ADVENT TECHNOLOGIES HOLDNG I *W EXP 02/03/202 00788A113 159 100000 SH SOLE 100000 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 96 2200 SH SOLE 2200 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 113 2600 SH Put SOLE 0 0 0 AERSALE CORPORATION *W EXP 12/22/202 00810F114 123 20000 SH SOLE 20000 0 0 AEYE INC *W EXP 09/30/202 008183113 36 31400 SH SOLE 31400 0 0 ALTIMETER GROWTH CORP *W EXP 09/30/202 G0370L116 15 6550 SH SOLE 6550 0 0 AMAZON COM INC COM 023135106 0 18200 SH Call SOLE 0 0 0 AMAZON COM INC COM 023135106 0 28400 SH Put SOLE 0 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 373 9800 SH SOLE 9800 0 0 ANGEL OAK FINL STRATEGIES IN COM BEN INT 03464A100 105 6161 SH SOLE 6161 0 0 ANGEL OAK FINL STRATEGIES IN RIGHT 10/14/2021 03464A118 1 6161 SH SOLE 6161 0 0 APOLLO STRATEGIC GROWTH CAPT *W EXP 10/29/202 G0411R114 2 3000 SH SOLE 3000 0 0 ARCHER AVIATION INC *W EXP 09/16/202 03945R110 85 53507 SH SOLE 53507 0 0 ARK ETF TR INNOVATION ETF 00214Q104 122 1100 SH Put SOLE 0 0 0 ASTREA ACQUISITION CORP *W EXP 01/28/202 04637C114 5 6000 SH SOLE 6000 0 0 ATHLON ACQUISITION CORP *W EXP 01/12/202 04748A114 1 2000 SH SOLE 2000 0 0 AUTHENTIC EQUITY ACQUISTN CO *W EXP 01/20/202 G06607124 5 7000 SH SOLE 7000 0 0 AVEPOINT INC *W EXP 09/18/202 053604112 183 93400 SH SOLE 93400 0 0 B RILEY PRINCIPAL 150 MERGER *W EXP 03/01/202 05601V111 0 233 SH SOLE 233 0 0 B RILEY PRINCIPAL 150 MERGER COM CL A 05601V103 7 700 SH SOLE 700 0 0 B. RILEY FINANCIAL INC COM 05580M108 41665 705703 SH SOLE 705703 0 0 BABCOCK & WILCOX ENTERPRISES COM 05614L209 1872 292043 SH SOLE 292043 0 0 BENESSERE CAPITAL ACQUSTN CO *W EXP 99/99/999 08179B111 22 50000 SH SOLE 50000 0 0 BENSON HILL INC *W EXP 99/99/999 082490111 1 892 SH SOLE 892 0 0 BENSON HILL INC COMMON STOCK 082490103 25 3571 SH SOLE 3571 0 0 BIG CYPRESS ACQUISITION CORP *W EXP 07/25/202 089115117 41 45000 SH SOLE 45000 0 0 BLACKBERRY LTD COM 09228F103 31 3200 SH SOLE 3200 0 0 BLACKSKY TECHNOLOGY INC *W EXP 10/30/202 09263B116 12 7900 SH SOLE 7900 0 0 BLUESCAPE OPPORTUNITIES ACQU *W EXP 10/28/202 G1195N113 4 4000 SH SOLE 4000 0 0 BM TECHNOLOGIES INC *W EXP 01/04/202 05591L115 104 70000 SH SOLE 70000 0 0 BRIDGETOWN HOLDINGS LTD *W EXP 09/30/202 G1355U121 50 40700 SH SOLE 40700 0 0 BROOGE ENERGY LTD *W EXP 12/20/202 G1611B115 25 50148 SH SOLE 50148 0 0 BURGERFI INTERNATIONAL INC *W EXP 12/16/202 12122L119 227 142151 SH SOLE 142151 0 0 BURGUNDY TECHNOLOGY ACQU COR *W EXP 08/31/202 G1702T124 24 35000 SH SOLE 35000 0 0 CAI INTERNATIONAL INC COM 12477X106 0 300 SH Put SOLE 0 0 0 CANADIAN PAC RY LTD COM 13645T100 781 12000 SH Put SOLE 0 0 0 CANADIAN PAC RY LTD COM 13645T100 65 1000 SH SOLE 1000 0 0 CASSAVA SCIENCES INC COM 14817C107 118 1900 SH SOLE 1900 0 0 CAZOO GROUP LTD *W EXP 08/26/202 G2007L113 3 2200 SH SOLE 2200 0 0 CELULARITY INC *W EXP 05/24/202 151190113 153 133442 SH SOLE 133442 0 0 CENAQ ENERGY CORP UNIT 02/04/2026 15130M201 101 10000 SH SOLE 10000 0 0 CF ACQUISITION CORP IV *W EXP 12/31/202 12520T110 4 5000 SH SOLE 5000 0 0 CHANGE HEALTHCARE INC COM 15912K100 10 500 SH Call SOLE 0 0 0 CHANGE HEALTHCARE INC COM 15912K100 220 10500 SH SOLE 10500 0 0 CHANGE HEALTHCARE INC COM 15912K100 304 14500 SH Put SOLE 0 0 0 CHW ACQUISITION CORPORATION UNIT 03/01/2028 G2254A117 103 10109 SH SOLE 10109 0 0 CINER RESOURCES LP COM UNIT LTD 172464109 356 22416 SH SOLE 22416 0 0 CITIC CAPITAL ACQUISITION CO *W EXP 01/17/202 G21513117 9 11256 SH SOLE 11256 0 0 CLARUS THERAPEUTICS HLDNGS I *W EXP 08/11/202 18271L115 26 34555 SH SOLE 34555 0 0 CLEVER LEAVES HOLDINGS INC *W EXP 12/18/202 186760112 120 107150 SH SOLE 107150 0 0 CLOVER HEALTH INVESTMENTS CO COM CL A 18914F103 103 13900 SH Put SOLE 0 0 0 CLOVER HEALTH INVESTMENTS CO COM CL A 18914F103 1549 209600 SH SOLE 209600 0 0 COHERENT INC COM 192479103 2703 10807 SH SOLE 10807 0 0 COHERENT INC COM 192479103 5002 20000 SH Put SOLE 0 0 0 COHN ROBBINS HOLDINGS CORP *W EXP 08/28/202 G23726113 5 5000 SH SOLE 5000 0 0 COMSOVEREIGN HLDG CORP *W EXP 12/18/202 205650112 0 88 SH SOLE 88 0 0 COMSOVEREIGN HLDG CORP COM NEW 205650203 2 1400 SH SOLE 1400 0 0 CORNERSTONE ONDEMAND INC COM 21925Y103 6 100 SH SOLE 100 0 0 CORNERSTONE ONDEMAND INC COM 21925Y103 6 100 SH Put SOLE 0 0 0 COVANTA HLDG CORP COM 22282E102 99 4900 SH Call SOLE 0 0 0 DANIMER SCIENTIFIC INC COM CL A 236272100 5 300 SH SOLE 300 0 0 DEEP LAKE CAPITAL ACQUSTN CO *W EXP 01/04/202 G27029118 3 4000 SH SOLE 4000 0 0 DIGITAL MEDIA SOLUTIONS INC *W EXP 07/15/202 25401G114 53 69284 SH SOLE 69284 0 0 DILA CAPITAL ACQUISITION COR *W EXP 06/09/202 254028111 3 5000 SH SOLE 5000 0 0 DISNEY WALT CO COM 254687106 85 500 SH SOLE 500 0 0 DOMTAR CORP COM NEW 257559203 1091 20000 SH Put SOLE 0 0 0 DOMTAR CORP COM NEW 257559203 845 15500 SH SOLE 15500 0 0 DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 5552 315285 SH SOLE 315285 0 0 DPCM CAP INC *W EXP 10/14/202 23344P119 4 6000 SH SOLE 6000 0 0 DUNE ACQUISITION CORP *W EXP 10/29/202 265334110 5 7500 SH SOLE 7500 0 0 E MERGE TECHNOLOGY ACQUISITI *W EXP 07/30/202 26873Y112 14 20000 SH SOLE 20000 0 0 EAST STONE ACQUISITION CORP *W EXP 12/31/202 G2911D116 35 147454 SH SOLE 147454 0 0 ECHO GLOBAL LOGISTICS INC COM 27875T101 0 500 SH Put SOLE 0 0 0 EDIFY ACQUISITION CORP *W EXP 11/25/202 28059Q111 6 10523 SH SOLE 10523 0 0 EDIFY ACQUISITION CORP UNIT 11/25/2025 28059Q202 97 9742 SH SOLE 9742 0 0 EFFECTOR THERAPEUTICS INC *W EXP 12/31/202 28202V116 20 12700 SH SOLE 12700 0 0 EMPOWERMENT & INCLUSION CAPI *W EXP 01/12/202 29248N118 5 6000 SH SOLE 6000 0 0 EOS ENERGY ENTERPRISES INC *W EXP 05/06/202 29415C119 62 12317 SH SOLE 12317 0 0 EVO ACQUISITION CORP UNIT 99/99/9999 30052G207 474 47600 SH SOLE 47600 0 0 FARADAY FUTRE INTLGT ELCTR I *W EXP 03/20/202 307359117 120 71000 SH SOLE 71000 0 0 FAST ACQUISITION CORP *W EXP 08/25/202 311875116 179 30000 SH SOLE 30000 0 0 FERRO CORP COM 315405100 0 200 SH Put SOLE 0 0 0 FINTECH ACQUISITION CORP V *W EXP 12/31/202 31810Q115 52 25000 SH SOLE 25000 0 0 FORESIGHT ACQUISITION CORP UNIT 01/29/2026 34552Y205 60 6000 SH SOLE 6000 0 0 FORTERRA INC COM 34960W106 106 4500 SH SOLE 4500 0 0 FORTERRA INC COM 34960W106 118 5000 SH Put SOLE 0 0 0 FOXWAYNE ENTERPRIS AQSTN COR *W EXP 01/12/202 35166L117 3 7000 SH SOLE 7000 0 0 FUSION ACQUISITION CORP II *W EXP 02/29/202 36118N110 3 5000 SH SOLE 5000 0 0 GAMESTOP CORP NEW CL A 36467W109 8423 48000 SH Call SOLE 0 0 0 GAMESTOP CORP NEW CL A 36467W109 53 300 SH SOLE 300 0 0 GAOTU TECHEDU INC SPONSORED ADS 36257Y109 105 34300 SH SOLE 34300 0 0 GCM GROSVENOR INC COM CL A 36831E108 10 900 SH SOLE 900 0 0 GCM GROSVENOR INC *W EXP 11/17/202 36831E116 513 257966 SH SOLE 257966 0 0 GENWORTH FINL INC COM CL A 37247D106 45 11900 SH SOLE 11900 0 0 GENWORTH FINL INC COM CL A 37247D106 14 3800 SH Call SOLE 0 0 0 GENWORTH FINL INC COM CL A 37247D106 45 11900 SH Put SOLE 0 0 0 GLOBAL BLUE GROUP HOLDING AG *W EXP 08/28/202 H33700115 26 43490 SH SOLE 43490 0 0 GLOBAL SYNERGY ACQUISIT CORP *W EXP 99/99/999 G3934J122 2 4000 SH SOLE 4000 0 0 GO ACQUISITION CORP *W EXP 08/31/202 362019119 13 18200 SH SOLE 18200 0 0 GORES METROPOULOS II INC *W EXP 01/31/202 382873115 9 5000 SH SOLE 5000 0 0 GREEN PLAINS INC COM 393222104 7699 235795 SH SOLE 235795 0 0 GREENIDGE GENERATION HLDGS I CLASS A COM 39531G100 46 1800 SH Call SOLE 0 0 0 GREENIDGE GENERATION HLDGS I CLASS A COM 39531G100 447 17500 SH Put SOLE 0 0 0 GREENIDGE GENERATION HLDGS I CLASS A COM 39531G100 660 25841 SH SOLE 25841 0 0 GREENSKY INC CL A 39572G100 2 200 SH SOLE 200 0 0 GROWTH CAP ACQUISITION CORP *W EXP 06/01/202 39986V115 123 121349 SH SOLE 121349 0 0 GROWTH CAP ACQUISITION CORP CL A 39986V107 236 23875 SH SOLE 23875 0 0 GX ACQUISITION CORP II *W EXP 03/17/202 36260F113 3 5000 SH SOLE 5000 0 0 HEALTHCARE CAPITAL CORP *W EXP 12/31/202 42228C119 2 3000 SH SOLE 3000 0 0 HEALTHCARE SERVICES ACQU COR *W EXP 99/99/999 42227K112 25 37772 SH SOLE 37772 0 0 HELBIZ INC *W EXP 08/13/202 42309B139 26 15000 SH SOLE 15000 0 0 HILL-ROM HLDGS INC COM 431475102 1455 9700 SH Put SOLE 0 0 0 HILL-ROM HLDGS INC COM 431475102 1725 11500 SH SOLE 11500 0 0 HILL-ROM HLDGS INC COM 431475102 6255 41700 SH Call SOLE 0 0 0 HIPPO HLDGS INC *W EXP 99/99/999 433539111 5 5800 SH SOLE 5800 0 0 IMEDIA BRANDS INC COM CL A 452465206 591 102788 SH SOLE 102788 0 0 INDIE SEMICONDUCTOR INC *W EXP 06/15/202 45569U119 160 45200 SH SOLE 45200 0 0 INDUSTRIAL TECH ACQU INC *W EXP 08/06/202 456357110 28 25700 SH SOLE 25700 0 0 INNOVIZ TECHNOLOGIES LTD *W EXP 04/05/202 M5R635116 49 30000 SH SOLE 30000 0 0 INOVALON HLDGS INC COM CL A 45781D101 1108 27500 SH Call SOLE 0 0 0 INTERSECT ENT INC COM 46071F103 0 9200 SH Call SOLE 0 0 0 INVESCO DB MULTI-SECTOR COMM AGRICULTURE FD 46140H106 67 3500 SH SOLE 3500 0 0 IRONNET INC *W EXP 08/26/202 46323Q113 11 2500 SH SOLE 2500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1682 7688 SH SOLE 7688 0 0 ISHARES TR TIPS BD ETF 464287176 26 200 SH SOLE 200 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 56 430 SH SOLE 430 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 9753 74900 SH Put SOLE 0 0 0 KADMON HLDGS INC COM 48283N106 247 28401 SH SOLE 28401 0 0 KADMON HLDGS INC COM 48283N106 449 51600 SH Put SOLE 0 0 0 KAIROS ACQUISITION CORP *W EXP 11/30/202 G52110106 9 15000 SH SOLE 15000 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 32017 118300 SH Put SOLE 0 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 17129 63289 SH SOLE 63289 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 3221 11900 SH Call SOLE 0 0 0 KATAPULT HOLDINGS INC *W EXP 06/09/202 485859110 31 20000 SH SOLE 20000 0 0 KINGSWOOD ACQUISITION CORP *W EXP 05/01/202 496861113 24 50000 SH SOLE 50000 0 0 KL ACQUISITION CORP *W EXP 01/12/202 49837C117 3 4000 SH SOLE 4000 0 0 KRATON CORP COM 50077C106 46 1000 SH Put SOLE 0 0 0 KRATON CORP COM 50077C106 1807 39600 SH Call SOLE 0 0 0 LENNAR CORP CL A 526057104 0 1000 SH Put SOLE 0 0 0 LIFEMD INC COM 53216B104 248 40000 SH SOLE 40000 0 0 LIGHTNING EMOTORS INC *W EXP 08/18/202 53228T119 201 125000 SH SOLE 125000 0 0 LIVE OAK ACQUISITION CORP II COM CL A 53804W106 17 1750 SH SOLE 1750 0 0 LIVE OAK ACQUISITION CORP II UNIT 99/99/9999 53804W205 35 3327 SH SOLE 3327 0 0 LIVEVOX HOLDING INC *W EXP 06/18/202 53838L118 25 20101 SH SOLE 20101 0 0 LMF ACQUISITION OPPORTUNIT I CL A COM 502015100 202 20072 SH SOLE 20072 0 0 LMF ACQUISITION OPPORTUNIT I *W EXP 01/26/202 502015118 84 181921 SH SOLE 181921 0 0 LUCID GROUP INC COM 549498103 1459 57500 SH SOLE 57500 0 0 LYDALL INC COM 550819106 0 8600 SH Put SOLE 0 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 158 8900 SH Call SOLE 0 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 485 27300 SH Put SOLE 0 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 542 30500 SH SOLE 30500 0 0 MARATHON DIGITAL HOLDINGS IN COM 565788106 3 100 SH SOLE 100 0 0 MARLIN TECHNOLOGY CORP *W EXP 01/12/202 G58411110 3 4000 SH SOLE 4000 0 0 MCAP ACQUISITION CORP UNIT 02/18/2030 55282T208 45 4400 SH SOLE 4400 0 0 MEDALLIA INC COM 584021109 0 12500 SH Call SOLE 0 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 12 10000 SH SOLE 10000 0 0 META MATERIALS INC COM 59134N104 43 7400 SH SOLE 7400 0 0 META MATERIALS INC COM 59134N104 185 32000 SH Put SOLE 0 0 0 META MATERIALS INC COM 59134N104 238 41100 SH Call SOLE 0 0 0 MICROSTRATEGY INC CL A NEW 594972408 174 300 SH SOLE 300 0 0 MICROVAST HOLDINGS INC *W EXP 04/01/202 59516C114 4 2100 SH SOLE 2100 0 0 MINIM INC COM 60365W102 795 427382 SH SOLE 427382 0 0 MONEYLION INC *W EXP 09/22/202 60938K114 71 73300 SH SOLE 73300 0 0 MONUMENT CIRCLE ACQUISITN CO *W EXP 01/14/202 61531M119 2 3000 SH SOLE 3000 0 0 MUDRICK CAPITAL ACQU CORP II *W EXP 09/10/202 62477L115 6 10000 SH SOLE 10000 0 0 NEW FRONTIER HEALTH CORP *W EXP 11/30/202 G6461G114 1 500 SH SOLE 500 0 0 NEXTERS INC *W EXP 08/26/202 G6529J118 17 20000 SH SOLE 20000 0 0 NORTH MOUNTAIN MERGER CORP *W EXP 09/16/202 661204115 12 15000 SH SOLE 15000 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 3985 72400 SH Put SOLE 0 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 11 200 SH Call SOLE 0 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 2873 52198 SH SOLE 52198 0 0 OCCIDENTAL PETE CORP COM 674599105 12350 417500 SH Call SOLE 0 0 0 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 1 126 SH SOLE 126 0 0 OCEANTECH ACQUISITIONS I COR *W EXP 99/99/999 675507115 30 68000 SH SOLE 68000 0 0 OPPFI INC *W EXP 07/20/202 68386H111 31 20000 SH SOLE 20000 0 0 ORION ENGINEERED CARBONS S A COM L72967109 4940 270960 SH SOLE 270960 0 0 OSIRIS ACQUISITION CORP *W EXP 05/01/202 68829A111 6 12500 SH SOLE 12500 0 0 OTONOMO TECHNOLOGIES LTD ORDINARY SHARES M7571L103 35 7330 SH SOLE 7330 0 0 OTONOMO TECHNOLOGIES LTD *W EXP 08/13/202 M7571L111 56 69749 SH SOLE 69749 0 0 OUSTER INC *W EXP 03/11/202 68989M111 80 50400 SH SOLE 50400 0 0 OXUS ACQUISITION CORP UNIT 99/99/9999 G6859L113 51 5000 SH SOLE 5000 0 0 OYSTER ENTERPRISES ACQ CORP *W EXP 01/20/202 69242M112 4 7000 SH SOLE 7000 0 0 PARABELLUM ACQUISITION CORP UNIT 99/99/9999 69901P208 4553 456713 SH SOLE 456713 0 0 PERELLA WEINBERG PARTNERS *W EXP 12/31/202 71367G110 316 100000 SH SOLE 100000 0 0 PETRA ACQUISITION INC *W EXP 05/25/202 716421110 25 40000 SH SOLE 40000 0 0 PINE IS ACQUISITION CORP *W EXP 10/19/202 722615119 8 10000 SH SOLE 10000 0 0 PONTEM CORPORATION *W EXP 01/05/202 G71707122 4 6000 SH SOLE 6000 0 0 PPD INC COM 69355F102 9 200 SH Put SOLE 0 0 0 PPD INC COM 69355F102 9 200 SH SOLE 200 0 0 PPD INC COM 69355F102 5 100 SH Call SOLE 0 0 0 PRECIGEN INC COM 74017N105 57 11400 SH Call SOLE 0 0 0 PROGRESS ACQUISITION CORP *W EXP 11/11/202 74327P113 6 10000 SH SOLE 10000 0 0 QAD INC CL A 74727D306 5121 58600 SH Put SOLE 0 0 0 QAD INC CL A 74727D306 437 5000 SH Call SOLE 0 0 0 QAD INC CL A 74727D306 4857 55576 SH SOLE 55576 0 0 QUANTUM FINTECH ACQUISTIN CO *W EXP 01/30/202 74767A113 4 13800 SH SOLE 13800 0 0 QUANTUM FINTECH ACQUISTIN CO COMMON STOCK 74767A105 136 13800 SH SOLE 13800 0 0 RAVEN INDS INC COM 754212108 0 1500 SH Put SOLE 0 0 0 REE AUTOMOTIVE LTD *W EXP 07/22/202 M8287R111 31 35594 SH SOLE 35594 0 0 ROMAN DBDR TECH ACQUISITION *W EXP 10/31/202 77584N119 117 72450 SH SOLE 72450 0 0 RUMBLEON INC COM CL B 781386305 1293 33177 SH SOLE 33177 0 0 SANDERSON FARMS INC COM 800013104 3294 17500 SH Put SOLE 0 0 0 SANDERSON FARMS INC COM 800013104 2936 15600 SH SOLE 15600 0 0 SARCOS TECHN AND ROBOTICS CO *W EXP 06/15/202 80359A114 3 3900 SH SOLE 3900 0 0 SARISSA CAPITAL ACQUISITN CO *W EXP 10/23/202 G7823W110 7 7348 SH SOLE 7348 0 0 SCION TECH GROWTH I *W EXP 11/01/202 G31067112 19 25000 SH SOLE 25000 0 0 SCP & CO HEALTHCARE ACQUSTN *W EXP 01/27/202 784065112 3 5000 SH SOLE 5000 0 0 SEAPORT GLOBAL ACQUISITN COR *W EXP 12/15/202 812227114 87 92164 SH SOLE 92164 0 0 SEVEN OAKS ACQUISITION CORP *W EXP 12/22/202 81787X114 12 15000 SH SOLE 15000 0 0 SHARECARE INC *W EXP 07/01/202 81948W112 92 46100 SH SOLE 46100 0 0 SILVER CREST ACQUISITION COR *W EXP 12/15/202 G81355128 4 6000 SH SOLE 6000 0 0 SKILLSOFT CORP *W EXP 06/11/202 83066P119 3 1100 SH SOLE 1100 0 0 SMITH MICRO SOFTWARE INC COM NEW 832154207 880 181900 SH SOLE 181900 0 0 SOS LIMITED SPNSORD ADS NEW 83587W106 130 61037 SH SOLE 61037 0 0 SPARTACUS ACQUISITION CORP *W EXP 10/31/202 84677L117 27 17225 SH SOLE 17225 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2661 6200 SH Call SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 14677 34200 SH Put SOLE 0 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 35 2000 SH Put SOLE 0 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 18 1000 SH Call SOLE 0 0 0 SPORTSMANS WHSE HLDGS INC COM 84920Y106 12 700 SH SOLE 700 0 0 STAMPS COM INC COM NEW 852857200 71169 215800 SH Call SOLE 0 0 0 STAMPS COM INC COM NEW 852857200 88944 269700 SH Put SOLE 0 0 0 STAMPS COM INC COM NEW 852857200 48675 147594 SH SOLE 147594 0 0 STRYVE FOODS INC *W EXP 07/31/202 863685111 102 131000 SH SOLE 131000 0 0 SUPERNOVA PARTNERS ACQUISTN *W EXP 99/99/999 G8T86C121 4 5000 SH SOLE 5000 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 1293 538789 SH SOLE 538789 0 0 TASTEMAKER ACQUISITION CORP *W EXP 01/07/202 876545112 3 5000 SH SOLE 5000 0 0 TELLURIAN INC NEW COM 87968A104 471 120498 SH SOLE 120498 0 0 TESLA INC COM 88160R101 775 1000 SH Call SOLE 0 0 0 TESLA INC COM 88160R101 42884 55300 SH Put SOLE 0 0 0 THE BEACHBODY COMPANY INC *W EXP 12/31/202 073463119 111 93000 SH SOLE 93000 0 0 TILRAY INC COM CL 2 88688T100 0 500 SH Call SOLE 0 0 0 TLG ACQUISITION ONE CORP *W EXP 01/25/202 87257M116 4 7000 SH SOLE 7000 0 0 TMC THE METALS COMPANY INC *W EXP 09/09/202 87261Y114 63 65492 SH SOLE 65492 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 71 35000 SH SOLE 35000 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 2386 135900 SH Put SOLE 0 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 88 5000 SH Call SOLE 0 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 2223 126597 SH SOLE 126597 0 0 TRIPLE-S MGMT CORP COM 896749108 25 700 SH SOLE 700 0 0 TRIPLE-S MGMT CORP COM 896749108 35 1000 SH Put SOLE 0 0 0 TUSCAN HLDGS CORP II *W EXP 04/01/202 90070A111 17 25000 SH SOLE 25000 0 0 UNISYS CORP COM NEW 909214306 1421 56526 SH SOLE 56526 0 0 UPHEALTH INC *W EXP 06/08/202 91532B119 12 25750 SH SOLE 25750 0 0 UWM HOLDINGS CORPORATION *W EXP 01/21/202 91823B117 66 67600 SH SOLE 67600 0 0 VENTOUX CCM ACQUISITION CORP *W EXP 09/30/202 92280L119 1 5000 SH SOLE 5000 0 0 VENUS ACQUISITION CORPORATIO *W EXP 04/30/202 G9420F110 13 40000 SH SOLE 40000 0 0 VEONEER INC COM 92336X109 2531 74313 SH SOLE 74313 0 0 VEONEER INC COM 92336X109 167 4900 SH Call SOLE 0 0 0 VEONEER INC COM 92336X109 2905 85300 SH Put SOLE 0 0 0 VIACOMCBS INC CL B 92556H206 2663 67400 SH SOLE 67400 0 0 VIEW INC *W EXP 03/08/202 92671V114 44 48200 SH SOLE 48200 0 0 VINCO VENTURES INC COM 927330100 168 26200 SH SOLE 26200 0 0 VISTAS MEDIA ACQUISITION CO *W EXP 08/01/202 92840T115 5 7500 SH SOLE 7500 0 0 WELBILT INC COM 949090104 28 1200 SH Put SOLE 0 0 0 WELBILT INC COM 949090104 28 1200 SH SOLE 1200 0 0 XILINX INC COM 983919101 3699 24500 SH Put SOLE 0 0 0 XILINX INC COM 983919101 2340 15500 SH SOLE 15500 0 0 XPERI HOLDING CORP COM 98390M103 157 8344 SH SOLE 8344 0 0 ZANITE ACQUISITION CORP *W EXP 10/08/202 98907K111 82 97052 SH SOLE 97052 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 35 19000 SH Call SOLE 0 0 0