SEC 13F Intelligence

Managers / Q1 2023 · view latest →

EQUITEC PROPRIETARY MARKETS, LLC

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

Reported Value
$212M
Q1 2023
Positions
162
Filings on Record
25
2019–present window
Filed
Apr 28, 2023
original filing

Summary

Equitec Proprietary Markets, LLC reported $212M in U.S.-listed holdings across 162 positions for Q1 2023.

Its largest position, RILY, represents 16.7% of the portfolio.

Compared with Q4 2022, the fund opened 21 new positions and exited 59.

Portfolio Metrics

Turnover
+11.8%
vs prior filed quarter
Top-10 Concentration
+42.7%
share of reported value
Largest Position
+16.7%
B Riley Financial
New / Exited
21 / 59
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. 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: 84.9%Other: 8.2%Equity WRT: 3.3%Closed-End Fund: 1.2%ADR: 1.2%Other: 1.1%
  • Common Stock · 84.9% · $180M
  • Other · 8.2% · $17M
  • Equity WRT · 3.3% · $7M
  • Closed-End Fund · 1.2% · $3M
  • ADR · 1.2% · $3M
  • Other · 1.1% · $2M

Quarter-over-Quarter Changes full breakdown →

vs Q4 2022 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
TAUSDTRAVELCENTERS OF AMERICA INCNEW+66.8K66.8K+$6M$6M
SGENUSDSEAGEN INCNEW+27.4K27.4K+$6M$6M
AMRYT PHARMA PLCNEW+316.3K316.3K+$5M$5M
FORGEROCK INCNEW+83.6K83.6K+$2M$2M
MOMENTIVE GLOBAL INCNEW+33.1K33.1K+$308,492$308,492
PLUNPLUG POWER INCNEW+25.9K25.9K+$303,548$303,548
CCIVGBPLUCID GROUP INCNEW+30.8K30.8K+$247,632$247,632
SMMTSUMMIT THERAPEUTICS INCNEW+124.2K124.2K+$217,350$217,350

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

Holdings — Q1 2023

26 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1RILYB. RILEY FINANCIAL INChistory →COM16.70%$35M1.25M
2FRANCHISE GROUP INCCOM11.48%$24M892.9K
3ATVIEURACTIVISION BLIZZARD INChistory →COM4.41%$9M109.1K
4OCCIDENTAL PETE CORP*W EXP 08/03/2023.21%$7M166.1K
5GINKGO BIOWORKS HOLDINGS INCCL A SHS2.29%$5M3.65M
6ANGEL OAK FINL STRATEGIES INCOM BEN INT1.22%$3M210.0K
7CANADIAN PAC RY LTDCOM1.05%$2M28.8K
8AMRYT PHARMA PLCSPONSORED ADS0.86%$2M124.8K
9BWBABCOCK & WILCOX ENTERPRISESCOM0.78%$2M273.5K
10APLDAPPLIED DIGITAL CORPCOM NEW0.72%$2M683.3K
11TAUSDTRAVELCENTERS OF AMERICA INCCOM NEW0.62%$1M15.1K
12FT2FIRST HORIZON CORPORATIONCOM0.58%$1M69.2K
13SAVEEURSPIRIT AIRLS INCCOM0.57%$1M70.5K
14LILIUM N VCLASS A ORD SHS0.55%$1M1.80M
15DDIDOUBLEDOWN INTERACTIVE CO LTADS0.49%$1M131.1K
16ORION ENGINEERED CARBONS S ACOM0.45%$962,53836.9K
17PMCBPHARMACYTE BIOTECH INCCOM NEW0.45%$962,320330.7K
18AOMRANGEL OAK MORTGAGE REIT INCCOM0.43%$911,252124.8K
19TGNATEGNA INCCOM0.42%$892,84852.8K
20TOWER SEMICONDUCTOR LTDSHS NEW0.33%$696,50816.4K
21FORGEROCK INCCL A0.29%$605,64029.4K
22SIMOSILICON MOTION TECHNOLOGY COSPONSORED ADR0.24%$517,6087.9K
23BIOHAVEN LTDCOM0.23%$492,44336.0K
24SNCREURSYNCHRONOSS TECHNOLOGIES INCCOM0.23%$488,781520.0K
25ARENTHE ARENA GROUP HOLDINGS INCCOM0.20%$419,31898.7K
26PLUNPLUG POWER INCCOM NEW0.14%$303,54825.9K

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 ↗.