13F-HR filed by EQUITEC PROPRIETARY MARKETS, LLC
EQUITEC PROPRIETARY MARKETS, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-13, with 99 holding rows worth $131,198,000.
- Accession
- 0001420506-20-001056
- Filer
- CIK 1143261
- Filed
- 2020-10-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 99 entries on the cover page, a total value of $131,198,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $131,198,000 with VALUE read as thousands by filing date, 13F file number 028-16423. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| TIFFANY & CO NEW | 886547108 | COM | 209,900 | $24,317,000 | thousands by filing date | call |
| AbbVie,Inc. | 00287Y109 | COM | 107,100 | $9,381,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 360,634 | $9,037,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 20,500 | $8,795,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 23,400 | $7,836,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 52,700 | $6,105,000 | thousands by filing date | put |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 124,700 | $4,296,000 | thousands by filing date | put |
| SOFTWARE ACQUISITN GRUP INC | 83407F200 | UNIT 99/99/9999 | 423,000 | $4,209,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 45,100 | $3,950,000 | thousands by filing date | call |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 103,800 | $3,576,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 10,600 | $3,550,000 | thousands by filing date | call |
| TAUBMAN CTRS INC | 876664103 | COM | 105,200 | $3,502,000 | thousands by filing date | put |
| National Holdings Corporation | 636375206 | COM NEW | 1,358,418 | $2,880,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 273,600 | $2,739,000 | thousands by filing date | call |
| QUANTUM CORP | 747906501 | COM | 587,544 | $2,703,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 34,700 | $1,997,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 5,800 | $1,942,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 4,400 | $1,888,000 | thousands by filing date | call |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 236,049 | $1,848,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 10,100 | $1,826,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 3,400 | $1,700,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 55,500 | $1,695,000 | thousands by filing date | put |
| TAUBMAN CTRS INC | 876664103 | COM | 47,700 | $1,588,000 | thousands by filing date | call |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 1,941,980 | $1,507,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 140,366 | $1,498,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 7,900 | $1,429,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 183,794 | $1,268,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 400 | $1,259,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 7,400 | $1,254,000 | thousands by filing date | call |
| TIFFANY & CO NEW | 886547108 | COM | 8,400 | $973,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 11,800 | $679,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 10,000 | $603,000 | thousands by filing date | call |
| XPERI HLDG CORP | 98390M103 | COM | 52,078 | $598,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 10,300 | $593,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 237,923 | $552,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 47,055 | $521,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 140,710 | $422,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 2,400 | $407,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 37,500 | $375,000 | thousands by filing date | put |
| AbbVie,Inc. | 00287Y109 | COM | 4,099 | $359,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 10,800 | $330,000 | thousands by filing date | call |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 90,500 | $316,000 | thousands by filing date | call |
| GENWORTH FINL INC | 37247D106 | COM SHS | 85,500 | $286,000 | thousands by filing date | call |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 4,100 | $276,000 | thousands by filing date | put |
| IMMUNOMEDICS INC | 452907108 | COM | 2,700 | $230,000 | thousands by filing date | put |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 12,500 | $229,000 | thousands by filing date | call |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 3,250 | $219,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 24,666 | $218,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,200 | $213,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 2,500 | $213,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 2,500 | $213,000 | thousands by filing date | call |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 6,400 | $200,000 | thousands by filing date | call |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 10,600 | $194,000 | thousands by filing date | put |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 2,800 | $175,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 9,600 | $174,000 | thousands by filing date | put |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 9,500 | $172,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 5,600 | $171,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 48,400 | $162,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 5,000 | $150,000 | thousands by filing date | put |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 39,900 | $139,000 | thousands by filing date | put |
| LIVONGO HEALTH INC | 539183103 | COM | 847 | $119,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 6,200 | $114,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 9,154 | $92,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 9,700 | $86,000 | thousands by filing date | put |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 31,300 | $79,000 | thousands by filing date | call |
| FITBIT INC | 33812L102 | CL A | 9,300 | $65,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 500 | $62,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 25,300 | $60,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 3,500 | $52,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 1,400 | $44,000 | thousands by filing date | put |
| NIKOLA CORP | 654110105 | COM | 2,000 | $41,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 16,900 | $38,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 5,286 | $36,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 3,800 | $34,000 | thousands by filing date | call |
| VARIAN MED SYS INC | 92220P105 | COM | 200 | $34,000 | thousands by filing date | put |
| VIRTUSA CORP | 92827P102 | COM | 700 | $34,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 700 | $34,000 | thousands by filing date | put |
| PRECIGEN INC | 74017N105 | COM | 9,171 | $32,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 8,200 | $29,000 | thousands by filing date | call |
| FITBIT INC | 33812L102 | CL A | 4,000 | $28,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 200 | $25,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 7,000 | $23,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 20,900 | $18,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 100 | $17,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 6,900 | $17,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 4,500 | $16,000 | thousands by filing date | put |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 350 | $11,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 200 | $6,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 200 | $6,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 173 | $4,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 4,000 | $3,000 | thousands by filing date | call |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 448 | $2,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 2,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CENTENE CORP DEL COM | 15135B101 | Stock | 16,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INNERWORKINGS INC | 45773Y105 | COM | 4,300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 195,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-20-001056 | this filing | 2020-10-13 | acceptance time not in the bulk data set |