ES

Equitec Specialists Portfolio holdings

AUM $71K
1-Year Return 10.76%
This Quarter Return
+1.87%
1 Year Return
+10.76%
3 Year Return
+40.54%
5 Year Return
+63.33%
10 Year Return
–
AUM
$335M
AUM Growth
-$109M
Cap. Flow
-$193M
Cap. Flow %
-57.81%
Top 10 Hldgs %
55.43%
Holding
144
New
38
Increased
21
Reduced
14
Closed
11

Top Buys

1
DCUE
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
$28.9M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$19.5M
3
DYNC
Vistra Energy Corp.
DYNC
$9.78M
4
CNP.PRB
CenterPoint Energy, Inc. Depositary Shares Each Representing a 1/20th Interest in a Share of 7.00% S
CNP.PRB
$8.03M
5
BDXA
Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6
BDXA
$7.48M

Top Sells

1
IRDMB
Iridium Communications Inc - 6.75% Series B
IRDMB
$111M
2
CCI.PRA
Crown Castle International Corp. 6.875% Mandatory Convertible Preferred Stock, Series A
CCI.PRA
$24.8M
3
EPR.PRC icon
EPR Properties 5.75% Series C Cumulative Convertible Preferred Shares
EPR.PRC
$17.8M
4
SRE.PRA
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
$16.5M
5
DTV
DTE Energy Company 2016 Corporate Units
DTV
$6.05M

Sector Composition

1 Financials 1.35%
2 Industrials 1.32%
3 Healthcare 0.73%
4 Real Estate 0.52%
5 Technology 0.48%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
CCX.U
51
DELISTED
Churchill Capital Corp II
CCX.U
$102K 0.03%
+10,000
New +$102K
PBPB icon
52
Potbelly
PBPB
$382M
$96K 0.03%
18,843
-100
-0.5% -$509
KERNW
53
DELISTED
Akerna Corp Warrant
KERNW
$96K 0.03%
+32,230
New +$96K
PVT.WS
54
DELISTED
Pivotal Acquisition Corp. Redeemable Warrants, exercisable for shares of Class A Common Stock at an
PVT.WS
$78K 0.02%
+57,500
New +$78K
BILI icon
55
Bilibili
BILI
$9.29B
$68K 0.02%
+4,194
New +$68K
BLNKW
56
DELISTED
Blink Charging Co. Warrant
BLNKW
$67K 0.02%
133,897
+118,060
+745% +$59.1K
NIO icon
57
NIO
NIO
$13.8B
$65K 0.02%
25,409
-30,636
-55% -$78.4K
PACK.WS
58
DELISTED
One Madison Corporation Warrants, each whole warrant is exercisable for one Class A Common Stock at
PACK.WS
$53K 0.01%
+43,791
New +$53K
BBBY
59
Bed Bath & Beyond, Inc.
BBBY
$503M
$42K 0.01%
+3,751
New +$42K
BWMCW
60
DELISTED
Boxwood Merger Corp. Warrant
BWMCW
$40K 0.01%
+65,254
New +$40K
LSEAW
61
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$33K 0.01%
109,500
+59,500
+119% +$17.9K
FMCIW
62
DELISTED
Forum Merger II Corporation Warrant
FMCIW
$32K 0.01%
50,000
– –
MUDSW
63
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
$31K 0.01%
63,232
– –
GOEVW
64
DELISTED
Canoo Inc. Warrant
GOEVW
$30K 0.01%
+50,000
New +$30K
CDZI icon
65
Cadiz
CDZI
$294M
$28K 0.01%
+2,500
New +$28K
STNLW
66
DELISTED
Sentinel Energy Services Inc. Warrant
STNLW
$21K 0.01%
30,637
-8,163
-21% -$5.6K
ASLEW
67
DELISTED
AerSale Corporation Warrants
ASLEW
$20K 0.01%
+60,000
New +$20K
PACQW
68
DELISTED
Pure Acquisition Corp. Warrant
PACQW
$20K 0.01%
+18,700
New +$20K
TRNE.WS
69
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$19K ﹤0.01%
+25,000
New +$19K
GRAF.WS
70
DELISTED
Graf Industrial Corp. Warrants (each exercisable for three-quarters of one share of common stock, ea
GRAF.WS
$18K ﹤0.01%
50,000
– –
ADNWW
71
Advent Technologies Holdings Warrant
ADNWW
$11K
$17K ﹤0.01%
55,000
– –
AAOI icon
72
Applied Optoelectronics
AAOI
$1.45B
$16K ﹤0.01%
+1,568
New +$16K
BW icon
73
Babcock & Wilcox
BW
$221M
$16K ﹤0.01%
4,549
-335,291
-99% -$1.18M
LGC.WS
74
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$16K ﹤0.01%
50,000
– –
TIBRW
75
DELISTED
Tiberius Acquisition Corporation Warrant
TIBRW
$16K ﹤0.01%
+50,000
New +$16K
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3
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