ES

Equitec Specialists Portfolio holdings

AUM $71K
1-Year Return 10.76%
This Quarter Return
+2.57%
1 Year Return
+10.76%
3 Year Return
+40.54%
5 Year Return
+63.33%
10 Year Return
–
AUM
$403M
AUM Growth
+$68.6M
Cap. Flow
-$22.5M
Cap. Flow %
-5.59%
Top 10 Hldgs %
60.09%
Holding
159
New
20
Increased
19
Reduced
27
Closed
26

Top Buys

1
DTV
DTE Energy Company 2016 Corporate Units
DTV
$79M
2
CCC.WS
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
$18.6M
3
AIG.WS
American International Group, Inc.
AIG.WS
$14.6M
4
FTV.PRA
Fortive Corporation 5.00% Mandatory Convertible Preferred Stock, Series A
FTV.PRA
$14M
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
$11.8M

Top Sells

1
CCI.PRA
Crown Castle International Corp. 6.875% Mandatory Convertible Preferred Stock, Series A
CCI.PRA
$17.2M
2
BDXA
Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6
BDXA
$14.2M
3
DCUD
Dominion Energy, Inc 2016 Series A Corporate Units
DCUD
$11.6M
4
DYNC
Vistra Energy Corp.
DYNC
$9.78M
5
DCUE
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
$8.79M

Sector Composition

1 Utilities 2.35%
2 Industrials 1.22%
3 Financials 1.04%
4 Real Estate 0.9%
5 Communication Services 0.39%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
MUDSW
51
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
$38K 0.01%
63,232
– –
LSEAW
52
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$35K 0.01%
109,500
– –
GIG.WS
53
DELISTED
GigCapital, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exerci
GIG.WS
$34K 0.01%
50,000
– –
CFFAW
54
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
$33K 0.01%
+50,000
New +$33K
GPRE icon
55
Green Plains
GPRE
$731M
$32K 0.01%
+3,000
New +$32K
NVTA
56
DELISTED
Invitae Corporation
NVTA
$32K 0.01%
+1,648
New +$32K
GOEVW
57
DELISTED
Canoo Inc. Warrant
GOEVW
$31K 0.01%
40,000
-10,000
-20% -$7.75K
FMCIW
58
DELISTED
Forum Merger II Corporation Warrant
FMCIW
$30K 0.01%
50,000
– –
FPAC.WS
59
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
$30K 0.01%
+25,000
New +$30K
TIBRW
60
DELISTED
Tiberius Acquisition Corporation Warrant
TIBRW
$30K 0.01%
50,000
– –
BWMCW
61
DELISTED
Boxwood Merger Corp. Warrant
BWMCW
$27K 0.01%
38,954
-26,300
-40% -$18.2K
PBPB icon
62
Potbelly
PBPB
$382M
$26K 0.01%
5,900
-12,943
-69% -$57K
PACQW
63
DELISTED
Pure Acquisition Corp. Warrant
PACQW
$26K 0.01%
24,800
+6,100
+33% +$6.4K
ASLEW
64
DELISTED
AerSale Corporation Warrants
ASLEW
$25K 0.01%
60,000
– –
BRPM.WS
65
DELISTED
B. Riley Principal Merger Corp. Warrants, each whole warrant exercisable for one share of Class A co
BRPM.WS
$23K 0.01%
+50,000
New +$23K
TRNE.WS
66
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$20K ﹤0.01%
25,000
– –
ADNWW
67
Advent Technologies Holdings Warrant
ADNWW
$11K
$19K ﹤0.01%
55,000
– –
MFAC.WS
68
DELISTED
Megalith Financial Acquisition Corp. Warrants, each warrant exercisable for one share of Class A Com
MFAC.WS
$19K ﹤0.01%
50,000
– –
SAMAW
69
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
$18K ﹤0.01%
50,000
– –
LGC.WS
70
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$18K ﹤0.01%
50,000
– –
PACK.WS
71
DELISTED
One Madison Corporation Warrants, each whole warrant is exercisable for one Class A Common Stock at
PACK.WS
$17K ﹤0.01%
22,265
-21,526
-49% -$16.4K
DDMXW
72
DELISTED
DD3 Acquisition Corp. Warrants
DDMXW
$17K ﹤0.01%
50,000
– –
NFINW
73
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
$15K ﹤0.01%
+50,000
New +$15K
VTIQW
74
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$13K ﹤0.01%
29,300
– –
SBFGP
75
DELISTED
SB Financial Group, Inc.
SBFGP
$12K ﹤0.01%
700
-39,336
-98% -$674K
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