HARBERT FUND ADVISORS, LLC Quant / Systematic

Location: Birmingham, AL

CIK: 0001616659 · Show all filings

Period: Q4 2020 (← Previous) (Next →)

Filing Date: Feb 16, 2021

Total Value: $132M (100.0% shares, 0.0% debt)

Holdings (18)

GBLI GLOBAL INDEMNITY GROUP LLC 17.8%

Value $23.51M Shares 822,477 Est. Cost $20.19 Unrealized +2.6%

SPY SPDR S&P 500 ETF TR 15.3%

Value $20.19M Shares 54,000 Est. Cost — Unrealized —

— ENZO BIOCHEM INC 10.7%

Value $14.16M Shares 5,620,681 Est. Cost $3.06 Unrealized —

— QUMU CORP 8.3%

Value $10.93M Shares 1,367,522 Est. Cost $1.95 Unrealized —

QQQ INVESCO QQQ TR 7.1%

Value $9.412M Shares 30,000 Est. Cost — Unrealized —

IIIV I3 VERTICALS INC 7.1%

Value $9.349M Shares 281,606 Est. Cost $20.92 Unrealized +28.1%

ASYS AMTECH SYS INC 4.1%

Value $5.361M Shares 840,351 Est. Cost $5.73 Unrealized +3.7%

— STREAMLINE HEALTH SOLUTIONS 3.9%

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

— AVID TECHNOLOGY INC 3.9%

Value $5.145M Shares 324,177 Est. Cost $6.73 Unrealized —

INVE IDENTIV INC 3.9%

Value $5.136M Shares 604,266 Est. Cost $6.08 Unrealized +13.2%

TACT TRANSACT TECHNOLOGIES INC 3.0%

Value $3.915M Shares 551,372 Est. Cost $10.01 Unrealized -21.4%

VSEC VSE CORP 2.9%

Value $3.77M Shares 97,936 Est. Cost $31.93 Unrealized +3.3%

MCHX MARCHEX INC 2.8%

Value $3.704M Shares 1,889,890 Est. Cost $2.90 Unrealized -30.2%

ALCO ALICO INC 2.6%

Value $3.496M Shares 112,700 Est. Cost $29.41 Unrealized -7.2%

LFCR LANDEC CORP 2.5%

Value $3.245M Shares 299,116 Est. Cost $10.79 Unrealized -4.2%

MAPS SILVER SPIKE ACQUISITION COR 2.0%

Value $2.682M Shares 210,000 Est. Cost $12.77 Unrealized —

RXT RACKSPACE TECHNOLOGY INC 1.5%

Value $1.948M Shares 102,200 Est. Cost $18.05 Unrealized 0.0%

— PROSHARES TR II 0.6%

Value $838K Shares 61,000 Est. Cost $13.74 Unrealized —

Ticker	Issuer	Shares	Value	%	Est. Cost	Unrealized	Class	CUSIP
GBLI	GLOBAL INDEMNITY GROUP LLC	822,477	$23.51M	17.8%	$20.19	+2.6%	COM CL A	37959R103
SPY	SPDR S&P 500 ETF TR	54,000	$20.19M	15.3%	—	—	Put	78462F103
—	ENZO BIOCHEM INC	5,620,681	$14.16M	10.7%	$3.06	—	COM	294100102
—	QUMU CORP	1,367,522	$10.93M	8.3%	$1.95	—	COM	749063103
QQQ	INVESCO QQQ TR	30,000	$9.412M	7.1%	—	—	Put	46090E103
IIIV	I3 VERTICALS INC	281,606	$9.349M	7.1%	$20.92	+28.1%	COM CL A	46571Y107
ASYS	AMTECH SYS INC	840,351	$5.361M	4.1%	$5.73	+3.7%	COM PAR $0.01N	032332504
—	STREAMLINE HEALTH SOLUTIONS	3,341,637	$5.213M	3.9%	$1.07	—	COM	86323X106
—	AVID TECHNOLOGY INC	324,177	$5.145M	3.9%	$6.73	—	COM	05367P100
INVE	IDENTIV INC	604,266	$5.136M	3.9%	$6.08	+13.2%	COM NEW	45170X205
TACT	TRANSACT TECHNOLOGIES INC	551,372	$3.915M	3.0%	$10.01	-21.4%	COM	892918103
VSEC	VSE CORP	97,936	$3.77M	2.9%	$31.93	+3.3%	COM	918284100
MCHX	MARCHEX INC	1,889,890	$3.704M	2.8%	$2.90	-30.2%	CL B	56624R108
ALCO	ALICO INC	112,700	$3.496M	2.6%	$29.41	-7.2%	COM	016230104
LFCR	LANDEC CORP	299,116	$3.245M	2.5%	$10.79	-4.2%	COM	514766104
MAPS	SILVER SPIKE ACQUISITION COR	210,000	$2.682M	2.0%	$12.77	—	CL A SHS	G8136L106
RXT	RACKSPACE TECHNOLOGY INC	102,200	$1.948M	1.5%	$18.05	0.0%	COM	750102105
—	PROSHARES TR II	61,000	$838K	0.6%	$13.74	—	VIX SH TRM FUTRS	74347W171