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
TMCXW
76
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$16K ﹤0.01%
50,000
– –
MFAC.WS
77
DELISTED
Megalith Financial Acquisition Corp. Warrants, each warrant exercisable for one share of Class A Com
MFAC.WS
$15K ﹤0.01%
+50,000
New +$15K
SAMAW
78
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
$15K ﹤0.01%
+50,000
New +$15K
GIG.WS
79
DELISTED
GigCapital, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exerci
GIG.WS
$15K ﹤0.01%
50,000
– –
TKKSW
80
DELISTED
TKK Symphony Acquisition Corporation Warrant
TKKSW
$14K ﹤0.01%
+108,800
New +$14K
VTIQW
81
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$13K ﹤0.01%
29,300
– –
NRCG.WS
82
DELISTED
NRC Group Holdings Corp.
NRCG.WS
$13K ﹤0.01%
+8,100
New +$13K
BFIIW
83
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
$11K ﹤0.01%
50,000
– –
DDMXW
84
DELISTED
DD3 Acquisition Corp. Warrants
DDMXW
$10K ﹤0.01%
+50,000
New +$10K
LTRYW icon
85
Lottery.com, Inc. Warrants
LTRYW
$305K
$8K ﹤0.01%
59,914
– –
PECKW
86
DELISTED
The Peck Company, Inc. Warrants
PECKW
$5K ﹤0.01%
+25,000
New +$5K
MBIO icon
87
Mustang Bio
MBIO
$10.6M
$4K ﹤0.01%
+1
New +$4K
MMDMW
88
DELISTED
Modern Media Acquisition Corp. Warrant
MMDMW
$2K ﹤0.01%
10,000
– –
AEP icon
89
American Electric Power
AEP
$58.1B
– –
0
– –
AIG icon
90
American International
AIG
$45.3B
– –
0
– –
ANIP icon
91
ANI Pharmaceuticals
ANIP
$2.08B
– –
0
– –
AVTR icon
92
Avantor
AVTR
$8.99B
– –
0
– –
BABA icon
93
Alibaba
BABA
$312B
– –
0
– –
BDX icon
94
Becton Dickinson
BDX
$54.8B
– –
0
– –
CCI icon
95
Crown Castle
CCI
$41.6B
– –
0
– –
CNP icon
96
CenterPoint Energy
CNP
$24.5B
– –
0
– –
D icon
97
Dominion Energy
D
$50.2B
– –
0
– –
DHR icon
98
Danaher
DHR
$143B
– –
-28,223
Closed -$3.3M
DTE icon
99
DTE Energy
DTE
$28.3B
– –
0
– –
ENR icon
100
Energizer
ENR
$1.96B
– –
0
– –
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4
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