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Equitec Specialists Portfolio holdings

AUM $708K Turnover 98.64%
1-Year Est. Return 25.27%
This Fund
S&P 500
This Quarter Est. Return
+2.76%
1 Year Est. Return
+25.27%
3 Year Est. Return
+65.41%
5 Year Est. Return
+95.52%
10 Year Est. Return
–
AUM
$434M
AUM Growth
+$50.5M
Cap. Flow
+$16.5M
Cap. Flow %
3.8%
Top 10 Hldgs %
55.79%
Holding
182
New
38
Increased
25
Reduced
41
Closed
42
Avg Time Held Equity + Options
0.5 years
Top 10 Avg Time Held Equity + Options
0.2 years
Top 20 Avg Time Held Equity + Options
0.2 years
Avg Time Held Equity only
0.5 years
Top 10 Avg Time Held Equity only
0.2 years
Top 20 Avg Time Held Equity only
0.2 years

Top Buys

Rank Stock Value
1
DTV
DTE Energy Company 2016 Corporate Units
DTV
+$77.3M
2
CCC.WS icon
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
+$17.7M
3
FTV.PRA icon
Fortive Corporation 5.00% Mandatory Convertible Preferred Stock, Series A
FTV.PRA
+$14.7M
4
AIG.WS icon
American International Group, Inc.
AIG.WS
+$14.3M
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
+$13.2M

Top Sells

Rank Stock Value
1
CCI.PRA icon
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
+$14.3M
3
DCUD
Dominion Energy, Inc 2016 Series A Corporate Units
DCUD
+$11.6M
4
DYNC icon
Vistra Energy Corp.
DYNC
+$9.78M
5
DCUE
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
+$8.56M

Sector Composition

Rank Sector Weight
1 Miscellaneous 94.09%
2 Utilities 2.18%
3 Industrials 1.13%
4 Financials 0.97%
5 Real Estate 0.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow Held Since
INO icon
101
PUT
Inovio Pharmaceuticals
INO
$108M
$24K 0.01%
+958
New +$29.1K
2019 Q3
0 quarters
BRPM.WS
102
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 +$23.2K
2019 Q3
0 quarters
TRNE.WS
103
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$20K ﹤0.01%
25,000
– –
2019 Q2
1 quarter
ADNWW
104
DELISTED
Advent Technologies Holdings Warrant
ADNWW
$19K ﹤0.01%
55,000
– –
2019 Q1
2 quarters
MFAC.WS
105
DELISTED
Megalith Financial Acquisition Corp. Warrants, each warrant exercisable for one share of Class A Com
MFAC.WS
$19K ﹤0.01%
50,000
– –
2019 Q2
1 quarter
SAMAW
106
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
$18K ﹤0.01%
50,000
– –
2019 Q2
1 quarter
LGC.WS
107
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
– –
2019 Q1
2 quarters
PACK.WS icon
108
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% -$18K
2019 Q2
1 quarter
DDMXW
109
DELISTED
DD3 Acquisition Corp. Warrants
DDMXW
$17K ﹤0.01%
50,000
– –
2019 Q2
1 quarter
NIO icon
110
PUT
NIO
NIO
$8.77B
$16K ﹤0.01%
10,100
-27,200
-73% -$83.2K
2019 Q1
2 quarters
NFINW
111
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
$15K ﹤0.01%
+50,000
New +$15.4K
2019 Q3
0 quarters
VTIQW
112
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$13K ﹤0.01%
29,300
– –
2019 Q1
2 quarters
SBFGP icon
113
DELISTED
SB Financial Group, Inc.
SBFGP
$12K ﹤0.01%
700
-39,336
-98% -$644K
2019 Q2
1 quarter
STNLW
114
DELISTED
Sentinel Energy Services Inc. Warrant
STNLW
$12K ﹤0.01%
28,842
-1,795
-6% -$886
2019 Q1
2 quarters
ECPG icon
115
CALL
Encore Capital Group
ECPG
$2.18B
$10K ﹤0.01%
+300
New +$10.5K
2019 Q3
0 quarters
MDCO
116
PUT
DELISTED
Medicines Co
MDCO
$10K ﹤0.01%
+200
New +$7.98K
2019 Q3
0 quarters
LTRYW icon
117
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$141
$9K ﹤0.01%
59,914
– –
2019 Q1
2 quarters
TKKSW
118
DELISTED
TKK Symphony Acquisition Corporation Warrant
TKKSW
$9K ﹤0.01%
99,728
-9,072
-8% -$834
2019 Q2
1 quarter
NIO icon
119
NIO
NIO
$8.77B
$8K ﹤0.01%
4,965
-20,444
-80% -$62.5K
2019 Q1
2 quarters
SONM icon
120
DNA X Inc
SONM
$4.81M
$7K ﹤0.01%
+1
New +$15.3K
2019 Q3
0 quarters
BFIIW
121
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
$5K ﹤0.01%
27,090
-22,910
-46% -$4.45K
2019 Q1
2 quarters
AAOI icon
122
Applied Optoelectronics
AAOI
$7.11B
– –
-1,568
Closed -$16K –
AAOI icon
123
PUT
Applied Optoelectronics
AAOI
$7.11B
– –
-1,500
Closed -$15K –
BILI icon
124
Bilibili
BILI
$5.94B
– –
-4,194
Closed -$68K –
BILI icon
125
PUT
Bilibili
BILI
$5.94B
– –
-5,000
Closed -$81K –
3 4
5
6 7

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YECIP
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SA
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FRGX
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KA
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TG
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DHRFI
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HCMT
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Equitec Specialists's Q3 2019 Portfolio in Review

As of Q3 2019, Equitec Specialists held 182 positions worth $434M, up 13% from $384M the previous quarter. Its ten largest holdings account for 56% of the portfolio.

Equitec Specialists deployed $16.5M of net new capital in Q3 2019, opening 38 new positions and adding to 25 existing holdings. Its largest new stake was The Southern Company: 177,107 shares worth $9.48M.

By sector, the portfolio is most concentrated in Miscellaneous at 94% of assets, down from 96% a quarter earlier, followed by Utilities and Industrials.

On the sell side, the largest reduction was Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6, an estimated $14.3M trimmed.

  • Equitec Specialists's largest Q3 2019 buy was The Southern Company: 177,107 shares worth $9.48M.
  • Equitec Specialists added most to DTE Energy Company 2016 Corporate Units in Q3 2019, an estimated $77.3M increase.
  • Equitec Specialists's biggest Q3 2019 reduction was Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6, cutting an estimated $14.3M.
  • Equitec Specialists fully exited Crown Castle International Corp. 6.875% Mandatory Convertible Preferred Stock, Series A in Q3 2019, selling an estimated $17.2M.
  • Equitec Specialists's ten largest holdings make up 56% of its $434M portfolio in Q3 2019.
  • Equitec Specialists opened 38 new positions and closed 42 in Q3 2019.
  • Equitec Specialists's portfolio value rose 13% quarter-over-quarter to $434M.

Based on Equitec Specialists's 13F filing for Q3 2019, filed 29 Oct 2019.