HARBERT FUND ADVISORS, LLC Quant / Systematic

Location: Birmingham, AL

CIK: 0001616659 · Show all filings

Period: Q2 2020 (← Previous) (Next →)

Filing Date: Aug 13, 2020

Total Value: $87.81M (100.0% shares, 0.0% debt)

Holdings (22)

IIIV I3 VERTICALS INC 24.1%

Value $21.16M Shares 699,672 Share Price $30.25 * Est. Cost/Share $20.92 Unrealized @ Report Date +21.4%

— ENZO BIOCHEM INC 14.3%

Value $12.59M Shares 5,620,681 Share Price $2.24 Est. Cost/Share $3.06 Unrealized @ Report Date —

— QUMU CORP 5.6%

Value $4.909M Shares 1,367,522 Share Price $3.59 Est. Cost/Share $1.95 Unrealized @ Report Date —

— STREAMLINE HEALTH SOLUTIONS 5.1%

Value $4.444M Shares 3,341,637 Share Price $1.33 Est. Cost/Share $1.07 Unrealized @ Report Date —

ALCO ALICO INC 4.8%

Value $4.179M Shares 134,104 Share Price $31.16 * Est. Cost/Share $29.41 Unrealized @ Report Date -11.0%

— GLOBAL INDTY LTD CAYMAN 4.7%

Value $4.136M Shares 172,766 Share Price $23.94 Est. Cost/Share $24.62 Unrealized @ Report Date —

MCHX MARCHEX INC 4.6%

Value $4.017M Shares 2,542,311 Share Price $1.58 * Est. Cost/Share $2.95 Unrealized @ Report Date -48.7%

SITE SITEONE LANDSCAPE SUPPLY INC 4.5%

Value $3.989M Shares 35,000 Share Price $113.97 Est. Cost/Share — Unrealized @ Report Date —

ASYS AMTECH SYS INC 4.5%

Value $3.986M Shares 818,501 Share Price $4.87 Est. Cost/Share $5.74 Unrealized @ Report Date -13.8%

FOXF FOX FACTORY HLDG CORP 4.2%

Value $3.717M Shares 45,000 Share Price $82.60 Est. Cost/Share — Unrealized @ Report Date —

— PERCEPTRON INC 3.7%

Value $3.267M Shares 987,091 Share Price $3.31 Est. Cost/Share $6.34 Unrealized @ Report Date —

BC BRUNSWICK CORP 3.6%

Value $3.201M Shares 50,000 Share Price $64.02 Est. Cost/Share — Unrealized @ Report Date —

— AVID TECHNOLOGY INC 3.4%

Value $2.977M Shares 409,428 Share Price $7.27 Est. Cost/Share $6.73 Unrealized @ Report Date —

LFCR LANDEC CORP 2.8%

Value $2.465M Shares 309,612 Share Price $7.96 * Est. Cost/Share $10.79 Unrealized @ Report Date -4.4%

BKLN INVESCO EXCHANGE-TRADED FD T 2.6%

Value $2.316M Shares 108,500 Share Price $21.35 Est. Cost/Share — Unrealized @ Report Date —

TACT TRANSACT TECHNOLOGIES INC 2.4%

Value $2.083M Shares 454,698 Share Price $4.58 * Est. Cost/Share $10.88 Unrealized @ Report Date -61.4%

MZTI LANCASTER COLONY CORP 2.2%

Value $1.937M Shares 12,500 Share Price $154.96 Est. Cost/Share — Unrealized @ Report Date —

HYG ISHARES TR 0.9%

Value $775K Shares 9,500 Share Price $81.58 Est. Cost/Share $77.05 Unrealized @ Report Date —

HUM HUMANA INC 0.6%

Value $508K Shares 1,310 Share Price $387.79 * Est. Cost/Share $355.71 Unrealized @ Report Date 0.0%

CI CIGNA CORP NEW 0.5%

Value $468K Shares 2,495 Share Price $187.58 * Est. Cost/Share $173.56 Unrealized @ Report Date 0.0%

CNC CENTENE CORP DEL 0.5%

Value $427K Shares 6,715 Share Price $63.59 * Est. Cost/Share $65.11 Unrealized @ Report Date 0.0%

— HC2 HLDGS INC 0.3%

Value $251K Shares 75,000 Share Price $3.35 Est. Cost/Share $3.35 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
IIIV	I3 VERTICALS INC	699,672	$21.16M	24.1%	$30.25 *	$20.92	+21.4%	COM CL A	46571Y107
—	ENZO BIOCHEM INC	5,620,681	$12.59M	14.3%	$2.24	$3.06	—	COM	294100102
—	QUMU CORP	1,367,522	$4.909M	5.6%	$3.59	$1.95	—	COM	749063103
—	STREAMLINE HEALTH SOLUTIONS	3,341,637	$4.444M	5.1%	$1.33	$1.07	—	COM	86323X106
ALCO	ALICO INC	134,104	$4.179M	4.8%	$31.16 *	$29.41	-11.0%	COM	016230104
—	GLOBAL INDTY LTD CAYMAN	172,766	$4.136M	4.7%	$23.94	$24.62	—	USD CL A SHS	G3933F105
MCHX	MARCHEX INC	2,542,311	$4.017M	4.6%	$1.58 *	$2.95	-48.7%	CL B	56624R108
SITE	SITEONE LANDSCAPE SUPPLY INC	35,000	$3.989M	4.5%	$113.97	—	—	Put	82982L103
ASYS	AMTECH SYS INC	818,501	$3.986M	4.5%	$4.87	$5.74	-13.8%	COM PAR $0.01N	032332504
FOXF	FOX FACTORY HLDG CORP	45,000	$3.717M	4.2%	$82.60	—	—	Put	35138V102
—	PERCEPTRON INC	987,091	$3.267M	3.7%	$3.31	$6.34	—	COM	71361F100
BC	BRUNSWICK CORP	50,000	$3.201M	3.6%	$64.02	—	—	Put	117043109
—	AVID TECHNOLOGY INC	409,428	$2.977M	3.4%	$7.27	$6.73	—	COM	05367P100
LFCR	LANDEC CORP	309,612	$2.465M	2.8%	$7.96 *	$10.79	-4.4%	COM	514766104
BKLN	INVESCO EXCHANGE-TRADED FD T	108,500	$2.316M	2.6%	$21.35	—	—	Call	46138G508
TACT	TRANSACT TECHNOLOGIES INC	454,698	$2.083M	2.4%	$4.58 *	$10.88	-61.4%	COM	892918103
MZTI	LANCASTER COLONY CORP	12,500	$1.937M	2.2%	$154.96	—	—	Put	513847103
HYG	ISHARES TR	9,500	$775K	0.9%	$81.58	$77.05	—	Call	464288513
HUM	HUMANA INC	1,310	$508K	0.6%	$387.79 *	$355.71	0.0%	COM	444859102
CI	CIGNA CORP NEW	2,495	$468K	0.5%	$187.58 *	$173.56	0.0%	COM	125523100
CNC	CENTENE CORP DEL	6,715	$427K	0.5%	$63.59 *	$65.11	0.0%	COM	15135B101
—	HC2 HLDGS INC	75,000	$251K	0.3%	$3.35	$3.35	—	COM	404139107