SEC 13F Intelligence

Managers / Q3 2020 · view latest →

EQUITEC PROPRIETARY MARKETS, LLC

CIK 0001143261 · 111 W. JACKSON, 20TH FL.OOR, CHICAGO, IL, 60604 · 312 692-5009

Reported Value
$131M
Q3 2020
Positions
99
Filings on Record
25
2019–present window
Filed
Oct 13, 2020
original filing

Summary

Equitec Proprietary Markets, LLC reported $131M in U.S.-listed holdings across 99 positions for Q3 2020.

Its largest position, RILY, represents 6.9% of the portfolio.

Compared with Q4 2018, the fund opened 53 new positions and exited 24.

Portfolio Metrics

Turnover
+64.2%
vs prior filed quarter
Top-10 Concentration
+23.6%
share of reported value
Largest Position
+6.9%
B Riley Financial
New / Exited
53 / 24
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q4 ’18: $257MQ4 ’18Q3 ’20: $131MQ4 ’20: $384MQ1 ’21: $318MQ1 ’21Q2 ’21: $334MQ3 ’21: $540MQ4 ’21: $739MQ4 ’21Q1 ’22: $457MQ2 ’22: $353MQ3 ’22: $380MQ3 ’22Q4 ’22: $315MQ1 ’23: $212MQ2 ’23: $331MQ2 ’23Q3 ’23: $405MQ4 ’23: $135MQ1 ’24: $164MQ1 ’24Q2 ’24: $79MQ3 ’24: $117MQ4 ’24: $102MQ4 ’24Q1 ’25: $141MQ2 ’25: $106MQ3 ’25: $440MQ3 ’25Q4 ’25: $174MQ1 ’26: $187Mfilingsflow.com

Portfolio Composition

By security type
Common Stock: 76.5%ETP: 10.4%Other: 8.9%REIT: 3.9%Equity WRT: 0.3%Right: 0.0%
  • Common Stock · 76.5% · $100M
  • ETP · 10.4% · $14M
  • Other · 8.9% · $12M
  • REIT · 3.9% · $5M
  • Equity WRT · 0.3% · $422,000
  • Right · 0.0% · $38,000

Quarter-over-Quarter Changes full breakdown →

vs Q4 2018 (amended baseline) · note: prior filed quarter, not the immediately preceding one

IssuerMoveShare ΔShares nowValue ΔValue now
TIFFANY & CO NEWNEW+271.0K271.0K+$31M$31M
ABBVABBVIE INCNEW+156.3K156.3K+$14M$14M
SPYSPDR S&P 500 ETF TRNEW+39.8K39.8K+$13M$13M
TSLATESLA INCNEW+24.9K24.9K+$11M$11M
AIMTAIMMUNE THERAPEUTICS INCNEW+228.5K228.5K+$8M$8M
TCOTAUBMAN CTRS INCNEW+152.9K152.9K+$5M$5M
SOFTWARE ACQUISITN GRUP INCNEW+423.0K423.0K+$4M$4M
RTXRAYTHEON TECHNOLOGIES CORPNEW+56.8K56.8K+$3M$3M

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q3 2020

49 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1RILYB. RILEY FINANCIAL INChistory →COM6.89%$9M360.6K
2SOFTWARE ACQUISITN GRUP INCUNIT 99/99/99993.21%$4M423.0K
3AIMTAIMMUNE THERAPEUTICS INChistory →COM2.73%$4M103.8K
4NATIONAL HOLDINGS CORPCOM NEW2.20%$3M1.36M
5QUANTUM CORPCOM NEW2.06%$3M587.5K
6SPYSPDR S&P 500 ETF TRhistory →TR UNIT1.48%$2M5.8K
7ALTGALTA EQUIPMENT GROUP INChistory →COMMON STOCK1.41%$2M236.0K
8NFLXNETFLIX INChistory →COM1.30%$2M3.4K
9SONIM TECHNOLOGIES INCCOM1.15%$2M1.94M
10UISUNISYS CORPhistory →COM NEW1.14%$1M140.4K
11KANSAS CITY SOUTHERNCOM NEW1.09%$1M7.9K
12SICSELECT INTERIOR CONCEPTS INCCL A0.97%$1M183.8K
13AMZNAMAZON COM INCCOM0.96%$1M400
14TIFFANY & CO NEWCOM0.74%$973,0008.4K
15XPERI HOLDING CORPCOM0.46%$598,00052.1K
16RTXRAYTHEON TECHNOLOGIES CORPCOM0.45%$593,00010.3K
17BWBABCOCK & WILCOX ENTERPRISESCOM0.42%$552,000237.9K
18STNGSCORPIO TANKERS INCSHS0.40%$521,00047.1K
19OXY/WSOCCIDENTAL PETE CORP*W EXP 08/03/202 · COM0.39%$514,000149.9K
20ABBVABBVIE INCCOM0.27%$359,0004.1K
21ACIAACACIA COMMUNICATIONS INCCOM0.17%$219,0003.3K
22EURONAV NVSHS0.17%$218,00024.7K
23IMMUIMMUNOMEDICS INCCOM0.16%$213,0002.5K
24GLDSPDR GOLD TRGOLD SHS0.16%$213,0001.2K
25OTISOTIS WORLDWIDE CORPCOM0.13%$175,0002.8K
26AKCEA THERAPEUTICS INCCOM0.13%$172,0009.5K
27CARRCARRIER GLOBAL CORPORATIONCOM0.13%$171,0005.6K
28LVGOLIVONGO HEALTH INCCOM0.09%$119,000847
29CELLULAR BIOMEDICINE GROUP ICOM NEW0.09%$114,0006.2K
30DISDISNEY WALT COCOM DISNEY0.05%$62,000500
31GREAT ELM CAP GROUP INCCOM NEW0.05%$60,00025.3K
32DBAINVESCO DB MULTI-SECTOR COMMAGRICULTURE FD0.04%$52,0003.5K
33NIKOLA CORPCOM0.03%$41,0002.0K
34BRISTOL-MYERS SQUIBB CORIGHT 99/99/99990.03%$38,00016.9K
35GSLGLOBAL SHIP LEASE INC NEWCOM CL A0.03%$36,0005.3K
36VIRTUSA CORPCOM0.03%$34,000700
37PGENPRECIGEN INCCOM0.02%$32,0009.2K
38FITBIT INCCL A0.02%$28,0004.0K
39TIPISHARES TRTIPS BD ETF0.02%$25,000200
40GNWGENWORTH FINL INCCOM CL A0.02%$23,0007.0K
41TURQUOISE HILL RES LTDCOM0.01%$18,00020.9K
42VARIAN MED SYS INCCOM0.01%$17,000100
43ZIOPHARM ONCOLOGY INCCOM0.01%$17,0006.9K
44FNFFIDELITY NATIONAL FINANCIALFNF GROUP COM0.01%$11,000350
45WRIGHT MED GROUP N VORD SHS0.00%$6,000200
46RSTROSETTA STONE INCCOM0.00%$6,000200
47NKSHNATIONAL BANKSHARES INC VACOM0.00%$4,000173
48AQUABOUNTY TECHNOLOGIES INCCOM NEW0.00%$2,000448
49INVESTORS BANCORP INC NEWCOM0.00%$01

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2026$187M81May 11, 202613F-HRchanges · EDGAR ↗
Q4 2025$174M84Feb 17, 202613F-HRchanges · EDGAR ↗
Q3 2025$440M77Nov 26, 202513F-HRchanges · EDGAR ↗
Q2 2025$106M65Aug 6, 202513F-HRchanges · EDGAR ↗
Q1 2025$141M66May 14, 202513F-HRchanges · EDGAR ↗
Q4 2024$102M72Jan 29, 202513F-HRchanges · EDGAR ↗
Q3 2024$117M73Oct 18, 202413F-HRchanges · EDGAR ↗
Q2 2024$79M80Jul 12, 202413F-HRchanges · EDGAR ↗
Q1 2024$164M90Apr 26, 2024RESTATEMENTchanges · EDGAR ↗
Q4 2023$135M109Jan 29, 202413F-HRchanges · EDGAR ↗
Q3 2023$405M132Oct 17, 202313F-HRchanges · EDGAR ↗
Q2 2023$331M106Jul 12, 202313F-HRchanges · EDGAR ↗
Q1 2023$212M162Apr 28, 202313F-HRchanges · EDGAR ↗
Q4 2022$315M213Jan 31, 202313F-HRchanges · EDGAR ↗
Q3 2022$380M292Oct 11, 202213F-HRchanges · EDGAR ↗
Q2 2022$353M300Jul 18, 202213F-HRchanges · EDGAR ↗
Q1 2022$457M265Apr 22, 202213F-HRchanges · EDGAR ↗
Q4 2021$739M441Jan 31, 202213F-HRchanges · EDGAR ↗
Q3 2021$540M274Oct 12, 202113F-HRchanges · EDGAR ↗
Q2 2021$334M304Jul 20, 202113F-HRchanges · EDGAR ↗
Q1 2021$318M321Apr 19, 202113F-HRchanges · EDGAR ↗
Q4 2020$384M128Jan 26, 202113F-HRchanges · EDGAR ↗
Q3 2020$131M99Oct 13, 202013F-HRchanges · EDGAR ↗
Q4 2018$257M58Jan 30, 201913F-HRchanges · EDGAR ↗

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.