ES

Equitec Specialists Portfolio holdings

AUM $71K
This Quarter Return
+2.49%
1 Year Return
+10.76%
3 Year Return
+40.54%
5 Year Return
+63.33%
10 Year Return
–
AUM
$305M
AUM Growth
+$305M
Cap. Flow
-$105M
Cap. Flow %
-34.53%
Top 10 Hldgs %
59.96%
Holding
166
New
31
Increased
16
Reduced
26
Closed
25

Top Buys

1
AMZN icon
Amazon
AMZN
$12.6M
2
AIG.WS
American International Group, Inc.
AIG.WS
$9.8M
3
CCC.WS
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
$5.5M
4
XLK icon
Technology Select Sector SPDR Fund
XLK
$5.45M
5
EPR.PRC icon
EPR Properties 5.75% Series C Cumulative Convertible Preferred Shares
EPR.PRC
$5.44M

Top Sells

1
DTV
DTE Energy Company 2016 Corporate Units
DTV
$84M
2
DCUE
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
$20M
3
SJIU
South Jersey Industries, Inc.
SJIU
$11.7M
4
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
$11.7M
5
ENR.PRA
Energizer Holdings, Inc. 7.50% Series A Mandatory Convertible Preferred Stock
ENR.PRA
$8.02M

Sector Composition

1 Consumer Discretionary 4.6%
2 Utilities 2.57%
3 Financials 1.28%
4 Industrials 0.99%
5 Energy 0.9%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
NVTA
126
DELISTED
Invitae Corporation
NVTA
– – -1,648 Closed -$32K
TWNK
127
DELISTED
Hostess Brands, Inc. Class A Common Stock
TWNK
– – 0 – –
COUP
128
DELISTED
Coupa Software Incorporated
COUP
– – 0 – –
CHNG
129
DELISTED
Change Healthcare Inc. Common Stock
CHNG
– – 0 – –
SRE.PRB
130
DELISTED
Sempra 6.75% Mandatory Convertible Preferred Stock, Series B
SRE.PRB
– – -7,486 Closed -$881K
CATM
131
DELISTED
Cardtronics plc Class A Ordinary Shares (UK)
CATM
– – 0 – –
TRNE.WS
132
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
– – -25,000 Closed -$20K
PACK.WS
133
DELISTED
One Madison Corporation Warrants, each whole warrant is exercisable for one Class A Common Stock at
PACK.WS
– – -22,265 Closed -$17K
BRPM.WS
134
DELISTED
B. Riley Principal Merger Corp. Warrants, each whole warrant exercisable for one share of Class A co
BRPM.WS
– – -50,000 Closed -$23K
VRTSP
135
DELISTED
Virtus Investment Partners, Inc. 7.25% Series D Mandatory Convertible Preferred Stock
VRTSP
– – -5,109 Closed -$492K
SBFGP
136
DELISTED
SB Financial Group, Inc.
SBFGP
– – -700 Closed -$12K
PVT.WS
137
DELISTED
Pivotal Acquisition Corp. Redeemable Warrants, exercisable for shares of Class A Common Stock at an
PVT.WS
– – -66,001 Closed -$84K
GIG.WS
138
DELISTED
GigCapital, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exerci
GIG.WS
– – -50,000 Closed -$34K
TMCXW
139
DELISTED
Trinity Merger Corp. Warrant
TMCXW
– – -229,700 Closed -$292K
IPOA.WS
140
DELISTED
Social Capital Hedosophia Holdings Corp. Warrants, each whole warrant exercisable for one Class A Or
IPOA.WS
– – -25,000 Closed -$63K
ARE.PRD
141
DELISTED
Alexandria Real Estate Equities, Inc. 7.00% Series D Cumulative Convertible Preferred Stock
ARE.PRD
– – -50,571 Closed -$1.96M
DTV
142
DELISTED
DTE Energy Company 2016 Corporate Units
DTV
– – -1,447,244 Closed -$84M
STNLW
143
DELISTED
Sentinel Energy Services Inc. Warrant
STNLW
– – -28,842 Closed -$12K
CZR
144
DELISTED
Caesars Entertainment Corporation
CZR
– – 0 – –
2 3 4 5
6