HARBERT FUND ADVISORS, LLC Quant / Systematic

Location: Birmingham, AL

CIK: 0001616659 · Show all filings

Period: Q3 2021 (← Previous) (Next →)

Filing Date: Nov 12, 2021

Total Value: $282M (100.0% shares, 0.0% debt)

Holdings (36)

GBLI GLOBAL INDEMNITY GROUP LLC 8.2%

Value $23.16M Shares 849,985 Share Price $27.25 * Est. Cost/Share $20.29 Unrealized @ Report Date +10.1%

TGNA TEGNA INC 7.0%

Value $19.72M Shares 1,000,000 Share Price $19.72 * Est. Cost/Share $18.16 Unrealized @ Report Date 0.0%

— ENZO BIOCHEM INC 6.5%

Value $18.32M Shares 5,175,913 Share Price $3.54 Est. Cost/Share $3.06 Unrealized @ Report Date —

— SPX FLOW INC 6.5%

Value $18.27M Shares 250,000 Share Price $73.10 Est. Cost/Share $73.10 Unrealized @ Report Date —

— SPX FLOW INC 6.5%

Value $18.27M Shares 250,000 Share Price $73.10 Est. Cost/Share $73.10 Unrealized @ Report Date —

TBCH TURTLE BEACH CORP 5.8%

Value $16.3M Shares 585,816 Share Price $27.82 * Est. Cost/Share $27.96 Unrealized @ Report Date +4.3%

INVE IDENTIV INC 5.5%

Value $15.35M Shares 814,750 Share Price $18.84 * Est. Cost/Share $7.63 Unrealized @ Report Date +122.8%

TBCH TURTLE BEACH CORP 5.2%

Value $14.61M Shares 525,000 Share Price $27.82 * Est. Cost/Share $27.96 Unrealized @ Report Date +4.3%

TBCH TURTLE BEACH CORP 4.9%

Value $13.91M Shares 500,000 Share Price $27.82 * Est. Cost/Share $27.96 Unrealized @ Report Date +4.3%

— US ECOLOGY INC 4.2%

Value $11.72M Shares 362,317 Share Price $32.35 Est. Cost/Share $39.37 Unrealized @ Report Date —

— SPX FLOW INC 3.8%

Value $10.71M Shares 146,520 Share Price $73.10 Est. Cost/Share $73.10 Unrealized @ Report Date —

MXCT MAXCYTE INC 3.1%

Value $8.85M Shares 724,856 Share Price $12.21 * Est. Cost/Share $15.08 Unrealized @ Report Date 0.0%

VSEC VSE CORP 3.0%

Value $8.557M Shares 177,652 Share Price $48.17 Est. Cost/Share $35.22 Unrealized @ Report Date +34.3%

TGNA TEGNA INC 3.0%

Value $8.515M Shares 431,790 Share Price $19.72 * Est. Cost/Share $18.16 Unrealized @ Report Date 0.0%

TACT TRANSACT TECHNOLOGIES INC 3.0%

Value $8.396M Shares 604,061 Share Price $13.90 * Est. Cost/Share $10.21 Unrealized @ Report Date +39.4%

— ISOS ACQUISITION CORPORATION 2.7%

Value $7.485M Shares 750,000 Share Price $9.98 Est. Cost/Share $9.88 Unrealized @ Report Date —

— SHARECARE INC 2.6%

Value $7.189M Shares 873,488 Share Price $8.23 Est. Cost/Share $8.23 Unrealized @ Report Date —

ARAY ACCURAY INC 2.5%

Value $7.127M Shares 1,804,184 Share Price $3.95 Est. Cost/Share $4.61 Unrealized @ Report Date -14.0%

DFIN DONNELLEY FINL SOLUTIONS INC 2.5%

Value $7.097M Shares 205,000 Share Price $34.62 * Est. Cost/Share $30.34 Unrealized @ Report Date +8.8%

— STREAMLINE HEALTH SOLUTIONS 2.5%

Value $6.942M Shares 3,966,637 Share Price $1.75 Est. Cost/Share $1.22 Unrealized @ Report Date —

— CITRIX SYS INC 1.7%

Value $4.841M Shares 45,085 Share Price $107.37 Est. Cost/Share $107.37 Unrealized @ Report Date —

— QUMU CORP 1.5%

Value $4.206M Shares 1,695,785 Share Price $2.48 Est. Cost/Share $2.05 Unrealized @ Report Date —

MSOS ADVISORSHARES TR 1.3%

Value $3.787M Shares 120,000 Share Price $31.56 Est. Cost/Share — Unrealized @ Report Date —

CROX CROCS INC 1.0%

Value $2.87M Shares 20,000 Share Price $143.50 * Est. Cost/Share $137.30 Unrealized @ Report Date 0.0%

MCFT MASTERCRAFT BOAT HLDGS INC 0.8%

Value $2.273M Shares 90,640 Share Price $25.08 * Est. Cost/Share $25.63 Unrealized @ Report Date 0.0%

ULTA ULTA BEAUTY INC 0.8%

Value $2.166M Shares 6,000 Share Price $361.00 Est. Cost/Share $361.20 Unrealized @ Report Date 0.0%

WSC WILLSCOT MOBILE MINI HLDNG CO 0.7%

Value $1.988M Shares 62,682 Share Price $31.72 * Est. Cost/Share $28.90 Unrealized @ Report Date 0.0%

IIIV I3 VERTICALS INC 0.7%

Value $1.976M Shares 81,606 Share Price $24.21 * Est. Cost/Share $20.92 Unrealized @ Report Date +37.9%

FENC FENNEC PHARMACEUTICALS INC 0.6%

Value $1.646M Shares 174,750 Share Price $9.42 * Est. Cost/Share $6.93 Unrealized @ Report Date +8.3%

— DURECT CORP 0.6%

Value $1.627M Shares 1,271,402 Share Price $1.28 Est. Cost/Share $1.63 Unrealized @ Report Date —

LQDA LIQUIDIA CORPORATION 0.4%

Value $1.162M Shares 420,939 Share Price $2.76 * Est. Cost/Share $2.62 Unrealized @ Report Date -0.7%

PCT PURECYCLE TECHNOLOGIES INC 0.3%

Value $880K Shares 66,255 Share Price $13.28 * Est. Cost/Share $19.76 Unrealized @ Report Date -23.7%

— KALEYRA INC 0.2%

Value $649K Shares 59,000 Share Price $11.00 Est. Cost/Share $12.91 Unrealized @ Report Date —

— INNOVATE CORP 0.2%

Value $568K Shares 138,519 Share Price $4.10 Est. Cost/Share $4.10 Unrealized @ Report Date —

— ISOS ACQUISITION CORPORATION 0.1%

Value $345K Shares 250,000 Share Price $1.38 Est. Cost/Share $1.00 Unrealized @ Report Date —

— UPHEALTH INC 0.1%

Value $158K Shares 50,000 Share Price $3.16 Est. Cost/Share $6.74 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
GBLI	GLOBAL INDEMNITY GROUP LLC	849,985	$23.16M	8.2%	$27.25 *	$20.29	+10.1%	COM CL A	37959R103
TGNA	TEGNA INC	1,000,000	$19.72M	7.0%	$19.72 *	$18.16	0.0%	Call	87901J105
—	ENZO BIOCHEM INC	5,175,913	$18.32M	6.5%	$3.54	$3.06	—	COM	294100102
—	SPX FLOW INC	250,000	$18.27M	6.5%	$73.10	$73.10	—	Call	78469X107
—	SPX FLOW INC	250,000	$18.27M	6.5%	$73.10	$73.10	—	Put	78469X107
TBCH	TURTLE BEACH CORP	585,816	$16.3M	5.8%	$27.82 *	$27.96	+4.3%	COM NEW	900450206
INVE	IDENTIV INC	814,750	$15.35M	5.5%	$18.84 *	$7.63	+122.8%	COM NEW	45170X205
TBCH	TURTLE BEACH CORP	525,000	$14.61M	5.2%	$27.82 *	$27.96	+4.3%	Call	900450206
TBCH	TURTLE BEACH CORP	500,000	$13.91M	4.9%	$27.82 *	$27.96	+4.3%	Put	900450206
—	US ECOLOGY INC	362,317	$11.72M	4.2%	$32.35	$39.37	—	COM	91734M103
—	SPX FLOW INC	146,520	$10.71M	3.8%	$73.10	$73.10	—	COM	78469X107
MXCT	MAXCYTE INC	724,856	$8.85M	3.1%	$12.21 *	$15.08	0.0%	COM	57777K106
VSEC	VSE CORP	177,652	$8.557M	3.0%	$48.17	$35.22	+34.3%	COM	918284100
TGNA	TEGNA INC	431,790	$8.515M	3.0%	$19.72 *	$18.16	0.0%	COM	87901J105
TACT	TRANSACT TECHNOLOGIES INC	604,061	$8.396M	3.0%	$13.90 *	$10.21	+39.4%	COM	892918103
—	ISOS ACQUISITION CORPORATION	750,000	$7.485M	2.7%	$9.98	$9.88	—	SHARES CL A	G4962C112
—	SHARECARE INC	873,488	$7.189M	2.6%	$8.23	$8.23	—	COM CL A	81948W104
ARAY	ACCURAY INC	1,804,184	$7.127M	2.5%	$3.95	$4.61	-14.0%	COM	004397105
DFIN	DONNELLEY FINL SOLUTIONS INC	205,000	$7.097M	2.5%	$34.62 *	$30.34	+8.8%	COM	25787G100
—	STREAMLINE HEALTH SOLUTIONS	3,966,637	$6.942M	2.5%	$1.75	$1.22	—	COM	86323X106
—	CITRIX SYS INC	45,085	$4.841M	1.7%	$107.37	$107.37	—	COM	177376100
—	QUMU CORP	1,695,785	$4.206M	1.5%	$2.48	$2.05	—	COM	749063103
MSOS	ADVISORSHARES TR	120,000	$3.787M	1.3%	$31.56	—	—	Call	00768Y453
CROX	CROCS INC	20,000	$2.87M	1.0%	$143.50 *	$137.30	0.0%	COM	227046109
MCFT	MASTERCRAFT BOAT HLDGS INC	90,640	$2.273M	0.8%	$25.08 *	$25.63	0.0%	COM	57637H103
ULTA	ULTA BEAUTY INC	6,000	$2.166M	0.8%	$361.00	$361.20	0.0%	COM	90384S303
WSC	WILLSCOT MOBILE MINI HLDNG CO	62,682	$1.988M	0.7%	$31.72 *	$28.90	0.0%	COM CL A	971378104
IIIV	I3 VERTICALS INC	81,606	$1.976M	0.7%	$24.21 *	$20.92	+37.9%	COM CL A	46571Y107
FENC	FENNEC PHARMACEUTICALS INC	174,750	$1.646M	0.6%	$9.42 *	$6.93	+8.3%	COM	31447P100
—	DURECT CORP	1,271,402	$1.627M	0.6%	$1.28	$1.63	—	COM	266605104
LQDA	LIQUIDIA CORPORATION	420,939	$1.162M	0.4%	$2.76 *	$2.62	-0.7%	COM NEW	53635D202
PCT	PURECYCLE TECHNOLOGIES INC	66,255	$880K	0.3%	$13.28 *	$19.76	-23.7%	COM	74623V103
—	KALEYRA INC	59,000	$649K	0.2%	$11.00	$12.91	—	COM	483379103
—	INNOVATE CORP	138,519	$568K	0.2%	$4.10	$4.10	—	COM	45784J105
—	ISOS ACQUISITION CORPORATION	250,000	$345K	0.1%	$1.38	$1.00	—	*W EXP 03/01/202	G4962C104
—	UPHEALTH INC	50,000	$158K	0.1%	$3.16	$6.74	—	COM	91532B101