ES

Equitec Specialists Portfolio holdings

AUM $71K
This Quarter Return
+3.53%
1 Year Return
+10.76%
3 Year Return
+40.54%
5 Year Return
+63.33%
10 Year Return
–
AUM
$594M
AUM Growth
+$594M
Cap. Flow
-$54M
Cap. Flow %
-9.1%
Top 10 Hldgs %
76.89%
Holding
176
New
46
Increased
10
Reduced
19
Closed
23

Top Buys

1
PCGU
PG&E Corporation
PCGU
$16.5M
2
PRPLW
Purple Innovation, Inc.
PRPLW
$13M
3
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
$10.4M
4
UTZ.WS
Utz Brands, Inc. Warrants, each whole warrant exercisable for one Class A common stock at an exercis
UTZ.WS
$7.81M
5
NEE.PRQ
NextEra Energy, Inc. 6.219% Corporate Units
NEE.PRQ
$7.26M

Top Sells

1
CCI.PRA
Crown Castle International Corp. 6.875% Mandatory Convertible Preferred Stock, Series A
CCI.PRA
$59.3M
2
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$17.6M
3
DCUE
Dominion Energy, Inc. 2019 Series A Corporate Units
DCUE
$13.4M
4
EPR.PRC icon
EPR Properties 5.75% Series C Cumulative Convertible Preferred Shares
EPR.PRC
$10.6M
5
ENR.PRA
Energizer Holdings, Inc. 7.50% Series A Mandatory Convertible Preferred Stock
ENR.PRA
$7.08M

Sector Composition

1 Consumer Discretionary 1.23%
2 Utilities 0.45%
3 Financials 0.18%
4 Industrials 0.15%
5 Communication Services 0.06%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
DHR.PRA
1
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$23.3M 2.61% 15,776 +678 +4% +$1M
PCGU
2
DELISTED
PG&E Corporation
PCGU
$16.5M 1.85% +168,631 New +$16.5M
PRPLW
3
DELISTED
Purple Innovation, Inc.
PRPLW
$13M 1.46% +1,925,183 New +$13M
GFLU
4
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
$10.4M 1.16% +194,439 New +$10.4M
QTS.PRB
5
DELISTED
QTS Realty Trust, Inc. 6.50% Series B Cumulative Convertible Perpetual Preferred Stock
QTS.PRB
$10.2M 1.14% 71,808 +23,778 +50% +$3.36M
CHNGU
6
DELISTED
Change Healthcare Inc. Tangible Equity Units
CHNGU
$9.83M 1.1% 184,077 -7,764 -4% -$415K
BLNKW
7
DELISTED
Blink Charging Co. Warrant
BLNKW
$9.04M 1.01% 1,489,724 +951,056 +177% +$5.77M
UTZ.WS
8
DELISTED
Utz Brands, Inc. Warrants, each whole warrant exercisable for one Class A common stock at an exercis
UTZ.WS
$7.81M 0.87% +1,194,152 New +$7.81M
NEE.PRQ
9
DELISTED
NextEra Energy, Inc. 6.219% Corporate Units
NEE.PRQ
$7.26M 0.81% +152,124 New +$7.26M
NEE.PRO
10
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$7.26M 0.81% 134,037 -324,552 -71% -$17.6M
NEE.PRP
11
DELISTED
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
$4.45M 0.5% 95,349 +70,349 +281% +$3.28M
SPY icon
12
SPDR S&P 500 ETF Trust
SPY
$658B
$4.26M 0.48% 12,721 +12,713 +158,913% +$4.26M
CCL icon
13
Carnival Corp
CCL
$43.2B
$4.18M 0.47% +275,019 New +$4.18M
SRE.PRA
14
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
$3.49M 0.39% 35,435 -35,045 -50% -$3.45M
CFXA
15
DELISTED
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$2.93M 0.33% 21,861 -27,696 -56% -$3.72M
VVNT.WS
16
DELISTED
Vivint Smart Home, Inc. Warrants, each exercisable for one Class A Common Stock at an exercise price
VVNT.WS
$2.77M 0.31% +435,100 New +$2.77M
TWNKW
17
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$2.49M 0.28% 3,031,183 -143,970 -5% -$118K
SOLN
18
DELISTED
The Southern Company
SOLN
$2.33M 0.26% 50,084 -61,564 -55% -$2.87M
DKNG icon
19
DraftKings
DKNG
$23.8B
$2.18M 0.24% 37,062 -62,600 -63% -$3.68M
ELAT
20
DELISTED
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
$1.19M 0.13% +26,724 New +$1.19M
AEPPZ
21
DELISTED
American Electric Power Company, Inc. Corporate Units
AEPPZ
$1.14M 0.13% +23,244 New +$1.14M
RCL icon
22
Royal Caribbean
RCL
$98.7B
$937K 0.1% 14,472 +2,579 +22% +$167K
KKR icon
23
KKR & Co
KKR
$124B
$901K 0.1% +26,234 New +$901K
IFFT
24
DELISTED
International Flavors & Fragrances Inc. 6.00% Tangible Equity Units
IFFT
$897K 0.1% +20,253 New +$897K
OXY.WS icon
25
Occidental Petroleum Corporation Warrants to Purchase Common Stock
OXY.WS
$24B
$640K 0.07% +213,322 New +$640K
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