HARBERT FUND ADVISORS, LLC Quant / Systematic

Location: Birmingham, AL

CIK: 0001616659 · Show all filings

Period: Q3 2020 (← Previous) (Next →)

Filing Date: Nov 13, 2020

Total Value: $81.83M (100.0% shares, 0.0% debt)

Holdings (17)

IIIV I3 VERTICALS INC 17.3%

Value $14.18M Shares 561,606 Est. Cost $20.92 Unrealized +28.0%

— ENZO BIOCHEM INC 14.5%

Value $11.86M Shares 5,620,681 Est. Cost $3.06 Unrealized —

— PERCEPTRON INC 8.2%

Value $6.712M Shares 987,091 Est. Cost $6.34 Unrealized —

— QUMU CORP 7.7%

Value $6.304M Shares 1,367,522 Est. Cost $1.95 Unrealized —

MCHX MARCHEX INC 6.8%

Value $5.598M Shares 2,640,513 Est. Cost $2.90 Unrealized -39.4%

— STREAMLINE HEALTH SOLUTIONS 6.4%

Value $5.213M Shares 3,341,637 Est. Cost $1.07 Unrealized —

GBLI GLOBAL INDEMNITY GROUP LLC 6.4%

Value $5.201M Shares 250,166 Est. Cost $18.98 Unrealized 0.0%

SITE SITEONE LANDSCAPE SUPPLY INC 5.2%

Value $4.268M Shares 35,000 Est. Cost — Unrealized —

ASYS AMTECH SYS INC 5.0%

Value $4.059M Shares 829,994 Est. Cost $5.73 Unrealized -10.0%

ALCO ALICO INC 4.7%

Value $3.847M Shares 134,411 Est. Cost $29.41 Unrealized -6.6%

— AVID TECHNOLOGY INC 4.0%

Value $3.29M Shares 384,328 Est. Cost $6.73 Unrealized —

LFCR LANDEC CORP 3.6%

Value $2.907M Shares 299,116 Est. Cost $10.79 Unrealized -11.7%

TACT TRANSACT TECHNOLOGIES INC 3.1%

Value $2.57M Shares 513,911 Est. Cost $10.17 Unrealized -53.5%

BKLN INVESCO EXCH TRADED FD TR II 2.9%

Value $2.359M Shares 108,500 Est. Cost — Unrealized —

INVE IDENTIV INC 2.4%

Value $1.967M Shares 314,215 Est. Cost $5.34 Unrealized 0.0%

HYG ISHARES TR 1.0%

Value $797K Shares 9,500 Est. Cost — Unrealized —

VSEC VSE CORP 0.9%

Value $701K Shares 22,868 Est. Cost $28.46 Unrealized 0.0%

Ticker	Issuer	Shares	Value	%	Est. Cost	Unrealized	Class	CUSIP
IIIV	I3 VERTICALS INC	561,606	$14.18M	17.3%	$20.92	+28.0%	COM CL A	46571Y107
—	ENZO BIOCHEM INC	5,620,681	$11.86M	14.5%	$3.06	—	COM	294100102
—	PERCEPTRON INC	987,091	$6.712M	8.2%	$6.34	—	COM	71361F100
—	QUMU CORP	1,367,522	$6.304M	7.7%	$1.95	—	COM	749063103
MCHX	MARCHEX INC	2,640,513	$5.598M	6.8%	$2.90	-39.4%	CL B	56624R108
—	STREAMLINE HEALTH SOLUTIONS	3,341,637	$5.213M	6.4%	$1.07	—	COM	86323X106
GBLI	GLOBAL INDEMNITY GROUP LLC	250,166	$5.201M	6.4%	$18.98	0.0%	COM CL A	37959R103
SITE	SITEONE LANDSCAPE SUPPLY INC	35,000	$4.268M	5.2%	—	—	Put	82982L103
ASYS	AMTECH SYS INC	829,994	$4.059M	5.0%	$5.73	-10.0%	COM PAR $0.01N	032332504
ALCO	ALICO INC	134,411	$3.847M	4.7%	$29.41	-6.6%	COM	016230104
—	AVID TECHNOLOGY INC	384,328	$3.29M	4.0%	$6.73	—	COM	05367P100
LFCR	LANDEC CORP	299,116	$2.907M	3.6%	$10.79	-11.7%	COM	514766104
TACT	TRANSACT TECHNOLOGIES INC	513,911	$2.57M	3.1%	$10.17	-53.5%	COM	892918103
BKLN	INVESCO EXCH TRADED FD TR II	108,500	$2.359M	2.9%	—	—	Call	46138G508
INVE	IDENTIV INC	314,215	$1.967M	2.4%	$5.34	0.0%	COM NEW	45170X205
HYG	ISHARES TR	9,500	$797K	1.0%	—	—	Call	464288513
VSEC	VSE CORP	22,868	$701K	0.9%	$28.46	0.0%	COM	918284100