ES

Equitec Specialists Portfolio holdings

AUM $71K
1-Year Return 10.76%
This Quarter Return
+3.57%
1 Year Return
+10.76%
3 Year Return
+40.54%
5 Year Return
+63.33%
10 Year Return
–
AUM
$1.2B
AUM Growth
+$610M
Cap. Flow
-$503M
Cap. Flow %
-41.77%
Top 10 Hldgs %
86.05%
Holding
221
New
73
Increased
15
Reduced
22
Closed
40

Top Buys

1
FSR.WS
Fisker Inc. Warrants, each whole warrant exercisable for one Class A common stock at an exercise pri
FSR.WS
$12.3M
2
PCGU
PG&E Corporation
PCGU
$11.8M
3
VLDR
Velodyne Lidar, Inc. Common Stock
VLDR
$9.93M
4
TTCFW
Tattooed Chef, Inc. Warrant
TTCFW
$8.86M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
$8.03M

Top Sells

1
BLNKW
Blink Charging Co. Warrant
BLNKW
$57.4M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$23.3M
3
PRPLW
Purple Innovation, Inc.
PRPLW
$13M
4
UTZ.WS
Utz Brands, Inc. Warrants, each whole warrant exercisable for one Class A common stock at an exercis
UTZ.WS
$12.4M
5
QTS.PRB
QTS Realty Trust, Inc. 6.50% Series B Cumulative Convertible Perpetual Preferred Stock
QTS.PRB
$10.2M

Sector Composition

1 Industrials 1.67%
2 Consumer Discretionary 1.27%
3 Energy 0.05%
4 Financials 0.04%
5 Technology 0.04%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
CATM
176
DELISTED
Cardtronics plc Class A Ordinary Shares (UK)
CATM
– –
0
– –
CGROW
177
DELISTED
Collective Growth Corporation Warrant
CGROW
– –
-50,000
Closed -$31K
SRE.PRA
178
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
– –
-35,435
Closed -$3.49M
LCAHW
179
DELISTED
Landcadia Holdings II, Inc. Warrant
LCAHW
– –
-48,200
Closed -$212K
RMG.WS
180
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
– –
-95,020
Closed -$203K
PTACW
181
DELISTED
PropTech Acquisition Corporation Warrant
PTACW
– –
-145,892
Closed -$240K
SAMAW
182
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
– –
-168,162
Closed -$87K
FEAC.WS
183
DELISTED
Flying Eagle Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A com
FEAC.WS
– –
-33,412
Closed -$109K
HCCHW
184
DELISTED
HL Acquisitions Corp. Warrant
HCCHW
– –
-10,174
Closed -$21K
PRPLW
185
DELISTED
Purple Innovation, Inc.
PRPLW
– –
-1,925,183
Closed -$13M
KCAC.WS
186
DELISTED
Kensington Capital Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class
KCAC.WS
– –
-2,987
Closed -$13K
LGC.WS
187
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
– –
-35,685
Closed -$19K
NFINW
188
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
– –
-106,511
Closed -$140K
CPAAW
189
DELISTED
Conyers Park II Acquisition Corp. Warrant
CPAAW
– –
-22,500
Closed -$38K
FMCIW
190
DELISTED
Forum Merger II Corporation Warrant
FMCIW
– –
-27,141
Closed -$241K
INSUW
191
DELISTED
Insurance Acquisition Corp. Warrant
INSUW
– –
-26,439
Closed -$73K
CCXX.WS
192
DELISTED
Churchill Capital Corp III Warrants, each exercisable for one share of Class A common stock at an ex
CCXX.WS
– –
-192,098
Closed -$384K
SHLL.WS
193
DELISTED
Tortoise Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common
SHLL.WS
– –
-22,087
Closed -$563K
COWN
194
DELISTED
Cowen Inc. Class A Common Stock
COWN
– –
0
– –
4 5 6 7
8