HARBERT FUND ADVISORS, LLC Quant / Systematic

Location: Birmingham, AL

CIK: 0001616659 · Show all filings

Period: Q1 2021 (← Previous) (Next →)

Filing Date: May 17, 2021

Total Value: $212M (100.0% shares, 0.0% debt)

Holdings (26)

HYG ISHARES TR 19.1%

Value $40.54M Shares 465,000 Share Price $87.18 Est. Cost/Share — Unrealized @ Report Date —

GBLI GLOBAL INDEMNITY GROUP LLC 11.9%

Value $25.19M Shares 849,985 Share Price $29.64 * Est. Cost/Share $20.29 Unrealized @ Report Date +15.7%

BOX BOX INC 10.8%

Value $22.96M Shares 1,000,000 Share Price $22.96 * Est. Cost/Share $19.47 Unrealized @ Report Date 0.0%

— ENZO BIOCHEM INC 8.4%

Value $17.8M Shares 5,175,913 Share Price $3.44 Est. Cost/Share $3.06 Unrealized @ Report Date —

TBCH TURTLE BEACH CORP 5.5%

Value $11.74M Shares 440,100 Share Price $26.67 * Est. Cost/Share $27.38 Unrealized @ Report Date 0.0%

YETI YETI HLDGS INC 4.9%

Value $10.47M Shares 145,000 Share Price $72.21 Est. Cost/Share $71.23 Unrealized @ Report Date 0.0%

— QUMU CORP 4.4%

Value $9.244M Shares 1,367,522 Share Price $6.76 Est. Cost/Share $1.95 Unrealized @ Report Date —

INVE IDENTIV INC 4.0%

Value $8.426M Shares 735,213 Share Price $11.46 * Est. Cost/Share $6.83 Unrealized @ Report Date +50.2%

— STREAMLINE HEALTH SOLUTIONS 3.8%

Value $8.132M Shares 3,966,637 Share Price $2.05 Est. Cost/Share $1.22 Unrealized @ Report Date —

— US ECOLOGY INC 3.8%

Value $8.12M Shares 195,000 Share Price $41.64 Est. Cost/Share $41.64 Unrealized @ Report Date —

ISOS/U ISOS ACQUISITION CORPORATION 3.5%

Value $7.47M Shares 750,000 Share Price $9.96 Est. Cost/Share $9.96 Unrealized @ Report Date —

VSEC VSE CORP 3.0%

Value $6.341M Shares 160,534 Share Price $39.50 * Est. Cost/Share $34.22 Unrealized @ Report Date +10.5%

TACT TRANSACT TECHNOLOGIES INC 2.9%

Value $6.238M Shares 573,913 Share Price $10.87 * Est. Cost/Share $10.02 Unrealized @ Report Date +1.8%

BOX BOX INC 2.7%

Value $5.74M Shares 250,000 Share Price $22.96 * Est. Cost/Share $19.47 Unrealized @ Report Date 0.0%

AXTA AXALTA COATING SYS LTD 2.3%

Value $4.881M Shares 165,000 Share Price $29.58 * Est. Cost/Share $28.64 Unrealized @ Report Date 0.0%

TIGR UP FINTECH HLDG LTD 2.2%

Value $4.714M Shares 265,000 Share Price $17.79 Est. Cost/Share $17.79 Unrealized @ Report Date —

IIIV I3 VERTICALS INC 1.2%

Value $2.54M Shares 81,606 Share Price $31.13 * Est. Cost/Share $20.92 Unrealized @ Report Date +52.3%

— AVAYA HLDGS CORP 1.1%

Value $2.262M Shares 80,700 Share Price $28.03 Est. Cost/Share $28.03 Unrealized @ Report Date —

— DEL TACO RESTAURANTS INC NEW 0.9%

Value $1.899M Shares 198,198 Share Price $9.58 Est. Cost/Share $9.58 Unrealized @ Report Date —

LFCR LANDEC CORP 0.8%

Value $1.617M Shares 152,505 Share Price $10.60 * Est. Cost/Share $10.79 Unrealized @ Report Date +4.2%

MCHX MARCHEX INC 0.6%

Value $1.243M Shares 442,270 Share Price $2.81 * Est. Cost/Share $2.90 Unrealized @ Report Date +0.5%

ULTA ULTA BEAUTY INC 0.5%

Value $1.082M Shares 3,500 Share Price $309.14 Est. Cost/Share $310.74 Unrealized @ Report Date 0.0%

UNFI UNITED NAT FOODS INC 0.4%

Value $942K Shares 28,587 Share Price $32.95 * Est. Cost/Share $27.85 Unrealized @ Report Date 0.0%

— MISONIX INC 0.4%

Value $813K Shares 41,495 Share Price $19.59 Est. Cost/Share $19.59 Unrealized @ Report Date —

— KALEYRA INC 0.4%

Value $783K Shares 55,500 Share Price $14.11 Est. Cost/Share $14.11 Unrealized @ Report Date —

— HC2 HLDGS INC 0.4%

Value $751K Shares 190,500 Share Price $3.94 Est. Cost/Share $3.94 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
HYG	ISHARES TR	465,000	$40.54M	19.1%	$87.18	—	—	Put	464288513
GBLI	GLOBAL INDEMNITY GROUP LLC	849,985	$25.19M	11.9%	$29.64 *	$20.29	+15.7%	COM CL A	37959R103
BOX	BOX INC	1,000,000	$22.96M	10.8%	$22.96 *	$19.47	0.0%	Call	10316T104
—	ENZO BIOCHEM INC	5,175,913	$17.8M	8.4%	$3.44	$3.06	—	COM	294100102
TBCH	TURTLE BEACH CORP	440,100	$11.74M	5.5%	$26.67 *	$27.38	0.0%	COM NEW	900450206
YETI	YETI HLDGS INC	145,000	$10.47M	4.9%	$72.21	$71.23	0.0%	COM	98585X104
—	QUMU CORP	1,367,522	$9.244M	4.4%	$6.76	$1.95	—	COM	749063103
INVE	IDENTIV INC	735,213	$8.426M	4.0%	$11.46 *	$6.83	+50.2%	COM NEW	45170X205
—	STREAMLINE HEALTH SOLUTIONS	3,966,637	$8.132M	3.8%	$2.05	$1.22	—	COM	86323X106
—	US ECOLOGY INC	195,000	$8.12M	3.8%	$41.64	$41.64	—	COM	91734M103
ISOS/U	ISOS ACQUISITION CORPORATION	750,000	$7.47M	3.5%	$9.96	$9.96	—	UNIT 99/99/9999	G4962C120
VSEC	VSE CORP	160,534	$6.341M	3.0%	$39.50 *	$34.22	+10.5%	COM	918284100
TACT	TRANSACT TECHNOLOGIES INC	573,913	$6.238M	2.9%	$10.87 *	$10.02	+1.8%	COM	892918103
BOX	BOX INC	250,000	$5.74M	2.7%	$22.96 *	$19.47	0.0%	CL A	10316T104
AXTA	AXALTA COATING SYS LTD	165,000	$4.881M	2.3%	$29.58 *	$28.64	0.0%	COM	G0750C108
TIGR	UP FINTECH HLDG LTD	265,000	$4.714M	2.2%	$17.79	$17.79	—	SPONSORED ADS	91531W106
IIIV	I3 VERTICALS INC	81,606	$2.54M	1.2%	$31.13 *	$20.92	+52.3%	COM CL A	46571Y107
—	AVAYA HLDGS CORP	80,700	$2.262M	1.1%	$28.03	$28.03	—	COM	05351X101
—	DEL TACO RESTAURANTS INC NEW	198,198	$1.899M	0.9%	$9.58	$9.58	—	COM	245496104
LFCR	LANDEC CORP	152,505	$1.617M	0.8%	$10.60 *	$10.79	+4.2%	COM	514766104
MCHX	MARCHEX INC	442,270	$1.243M	0.6%	$2.81 *	$2.90	+0.5%	CL B	56624R108
ULTA	ULTA BEAUTY INC	3,500	$1.082M	0.5%	$309.14	$310.74	0.0%	COM	90384S303
UNFI	UNITED NAT FOODS INC	28,587	$942K	0.4%	$32.95 *	$27.85	0.0%	COM	911163103
—	MISONIX INC	41,495	$813K	0.4%	$19.59	$19.59	—	COM	604871103
—	KALEYRA INC	55,500	$783K	0.4%	$14.11	$14.11	—	COM	483379103
—	HC2 HLDGS INC	190,500	$751K	0.4%	$3.94	$3.94	—	COM	404139107