13F-HR filed by EQUITEC PROPRIETARY MARKETS, LLC
EQUITEC PROPRIETARY MARKETS, LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-01-26, with 128 holding rows worth $383,679,000.
- Accession
- 0001420506-21-000040
- Filer
- CIK 1143261
- Filed
- 2021-01-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 128 entries on the cover page, a total value of $383,679,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $383,679,000 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 |
|---|---|---|---|---|---|---|
| Amazon.com, Inc | 023135106 | COM | 24,800 | $80,772,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 68,000 | $47,986,000 | thousands by filing date | call |
| TIFFANY & CO NEW | 886547108 | COM | 326,100 | $42,866,000 | thousands by filing date | call |
| TIFFANY & CO NEW | 886547108 | COM | 304,200 | $39,987,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 438,145 | $19,375,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 200,900 | $14,658,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 816,800 | $14,139,000 | thousands by filing date | call |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 164,400 | $11,995,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 16,100 | $11,361,000 | thousands by filing date | put |
| AbbVie,Inc. | 00287Y109 | COM | 101,100 | $10,833,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 102,900 | $9,112,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 1,729,809 | $5,241,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 215,300 | $4,967,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 16,000 | $4,893,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,200 | $3,908,000 | thousands by filing date | call |
| REALPAGE INC | 75606N109 | COM | 37,000 | $3,228,000 | thousands by filing date | put |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 122,800 | $2,833,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 32,200 | $2,809,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 275,436 | $2,721,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 3,559,345 | $2,577,000 | thousands by filing date | |
| XPERI HLDG CORP | 98390M103 | COM | 116,454 | $2,434,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 18,000 | $2,368,000 | thousands by filing date | put |
| REALPAGE INC | 75606N109 | COM | 26,500 | $2,312,000 | thousands by filing date | call |
| QUANTUM CORP | 747906501 | COM | 361,987 | $2,215,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 20,600 | $2,207,000 | thousands by filing date | call |
| Raytheon Technologies Corporation | 75513E101 | COM | 24,700 | $1,766,000 | thousands by filing date | put |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 23,400 | $1,764,000 | thousands by filing date | put |
| Cigna Corporation | 125523100 | COM | 7,400 | $1,541,000 | thousands by filing date | call |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 39,900 | $1,511,000 | thousands by filing date | put |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 34,900 | $1,322,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 8,900 | $1,170,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 15,000 | $1,131,000 | thousands by filing date | call |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 14,622 | $1,103,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 8,370 | $1,101,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 5,601 | $1,098,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 270,900 | $1,024,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 16,900 | $1,015,000 | thousands by filing date | call |
| CMB.TECH NV SHS | B38564108 | Stock | 125,265 | $1,002,000 | thousands by filing date | |
| SEAPORT GLOBAL ACQUISITN COR | 812227205 | UNIT 99/99/9999 | 93,873 | $981,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 240,400 | $909,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 34,400 | $794,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 12,200 | $757,000 | thousands by filing date | call |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 215,378 | $756,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 10,300 | $737,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 186,500 | $705,000 | thousands by filing date | call |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 20,400 | $697,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 37,500 | $649,000 | thousands by filing date | put |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 89,640 | $641,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 8,600 | $620,000 | thousands by filing date | put |
| ROMAN DBDR TECH ACQUISITION | 77584N119 | *W EXP 10/31/202 | 462,767 | $564,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 7,600 | $548,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 65,100 | $531,000 | thousands by filing date | put |
| Cigna Corporation | 125523100 | COM | 2,400 | $500,000 | thousands by filing date | put |
| AbbVie,Inc. | 00287Y109 | COM | 4,541 | $487,000 | thousands by filing date | |
| FISKER INC | 33813J114 | *W EXP 12/01/202 | 98,716 | $486,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 19,800 | $415,000 | thousands by filing date | put |
| SPARTACUS ACQUISITION CORP | 84677L117 | *W EXP 10/31/202 | 335,565 | $376,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 22,500 | $365,000 | thousands by filing date | put |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 2,700 | $355,000 | thousands by filing date | call |
| PRECIGEN INC | 74017N105 | COM | 32,300 | $329,000 | thousands by filing date | call |
| VELODYNE LIDAR INC | 92259F101 | COM | 13,700 | $313,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 33,125 | $290,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 22,416 | $282,000 | thousands by filing date | |
| SOFTWARE ACQUISITN GRUP INC | 83407F119 | *W EXP 09/17/202 | 202,922 | $274,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 800 | $270,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 12,500 | $262,000 | thousands by filing date | |
| QUANTUMSCAPE CORP COM CL A | 74767V109 | Stock | 2,700 | $228,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 5,100 | $224,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 300 | $212,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 12,186 | $211,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 5,600 | $211,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 5,000 | $207,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 5,000 | $207,000 | thousands by filing date | put |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 10,600 | $195,000 | thousands by filing date | put |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 2,800 | $189,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 5,000 | $189,000 | thousands by filing date | call |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 4,300 | $189,000 | thousands by filing date | |
| NIKOLA CORP | 654110105 | COM | 11,300 | $172,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 5,000 | $171,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 9,200 | $149,000 | thousands by filing date | call |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 16,700 | $146,000 | thousands by filing date | put |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 8,800 | $143,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 1,800 | $129,000 | thousands by filing date | call |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 6,300 | $116,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 38,500 | $97,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 500 | $91,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 3,800 | $89,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 41,500 | $83,000 | thousands by filing date | call |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 7,700 | $63,000 | thousands by filing date | call |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 7,600 | $62,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 3,500 | $56,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,900 | $53,000 | thousands by filing date | call |
| GREAT ELM GROUP INC COM NEW | 39037G109 | COM NEW | 16,514 | $48,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 6,897 | $47,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,000 | $44,000 | thousands by filing date | put |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 3,865 | $43,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 200 | $35,000 | thousands by filing date | put |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 2,000 | $35,000 | thousands by filing date | put |
| FITBIT INC | 33812L102 | CL A | 4,800 | $33,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 4,800 | $33,000 | thousands by filing date | put |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 3,700 | $32,000 | thousands by filing date | call |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 1,700 | $30,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 200 | $26,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 1,000 | $24,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,100 | $22,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 500 | $22,000 | thousands by filing date | call |
| VARIAN MED SYS INC | 92220P105 | COM | 100 | $18,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 1,000 | $18,000 | thousands by filing date | call |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 4,976 | $13,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 152 | $7,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 10,100 | $7,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 100 | $7,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 100 | $6,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 173 | $5,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 1,300 | $3,000 | thousands by filing date | put |
| IDEANOMICS INC | 45166V106 | COM | 400 | $1,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 2,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Advanced Micro Devices,Inc. | 007903107 | COM | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CVS Health Corporation | 126650100 | COM | 2,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 5,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 5,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EASTMAN CHEM CO COM | 277432100 | Stock | 15,400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NIO INC SPON ADS | 62914V106 | ADR | 1,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NIO INC SPON ADS | 62914V106 | ADR | 400 | $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. |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 4,000 | $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. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-21-000040 | this filing | 2021-01-26 | acceptance time not in the bulk data set |