SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q4 2017 (Next →)

Filing Date: Feb 7, 2018

Total Value ($000): $59,466 (100.0% shares, 0.0% debt)

Holdings (29)

— PDL BIOPHARMA INC 21.8%

Value ($000) $12,973 Shares 13,487,000 Est. Cost $0.96 Unrealized —

— FLUIDIGM CORP DEL 16.4%

Value ($000) $9,740 Shares 11,815,000 Est. Cost $0.82 Unrealized —

— EZCORP INC 13.8%

Value ($000) $8,215 Shares 7,985,000 Est. Cost $1.03 Unrealized —

— PROSPECT CAPITAL CORPORATION 10.9%

Value ($000) $6,502 Shares 6,510,000 Est. Cost $1.00 Unrealized —

— COLONY CAP INC 7.7%

Value ($000) $4,571 Shares 4,441,000 Est. Cost $1.03 Unrealized —

— ENVESTNET INC 4.9%

Value ($000) $2,904 Shares 2,802,000 Est. Cost $1.04 Unrealized —

SLRC SOLAR CAP LTD 2.1%

Value ($000) $1,244 Shares 61,552 Est. Cost $9.71 Unrealized 0.0%

— OAKTREE SPECIALTY LENDING CO 1.9%

Value ($000) $1,119 Shares 228,836 Est. Cost $4.89 Unrealized —

REM ISHARES TR 1.7%

Value ($000) $1,012 Shares 22,381 Est. Cost $45.22 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 1.7%

Value ($000) $993 Shares 147,385 Est. Cost $2.43 Unrealized 0.0%

— APOLLO GLOBAL MGMT LLC 1.6%

Value ($000) $966 Shares 28,870 Est. Cost $33.46 Unrealized —

AGG ISHARES TR 1.6%

Value ($000) $943 Shares 8,624 Est. Cost $109.35 Unrealized —

— OCH ZIFF CAP MGMT GROUP 1.5%

Value ($000) $896 Shares 358,380 Est. Cost $2.50 Unrealized —

— OAKTREE CAP GROUP LLC 1.5%

Value ($000) $870 Shares 20,671 Est. Cost $42.09 Unrealized —

— APOLLO INVT CORP 1.4%

Value ($000) $811 Shares 143,334 Est. Cost $5.66 Unrealized —

— BLACKSTONE GROUP L P 1.3%

Value ($000) $791 Shares 24,718 Est. Cost $32.00 Unrealized —

— KKR & CO L P DEL 1.3%

Value ($000) $790 Shares 37,509 Est. Cost $21.06 Unrealized —

VWO VANGUARD INTL EQUITY INDEX F 1.0%

Value ($000) $620 Shares 13,506 Est. Cost $45.91 Unrealized —

SPY SPDR S&P 500 ETF TR 1.0%

Value ($000) $617 Shares 2,312 Est. Cost $266.87 Unrealized —

EFA ISHARES TR 1.0%

Value ($000) $600 Shares 8,540 Est. Cost $70.26 Unrealized —

ARCC ARES CAP CORP 1.0%

Value ($000) $577 Shares 36,735 Est. Cost $7.48 Unrealized 0.0%

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value ($000) $329 Shares 19,434 Est. Cost $10.42 Unrealized 0.0%

— ALLIANCEBERNSTEIN GBL HGH IN 0.4%

Value ($000) $225 Shares 17,617 Est. Cost $12.77 Unrealized —

— BLACKROCK CR ALLCTN INC TR 0.4%

Value ($000) $224 Shares 16,838 Est. Cost $13.30 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.4%

Value ($000) $223 Shares 20,351 Est. Cost $10.96 Unrealized —

— PDL BIOPHARMA INC 0.4%

Value ($000) $219 Shares 79,937 Est. Cost $2.74 Unrealized —

— PRUDENTIAL GLB SHT DUR HG YL 0.4%

Value ($000) $216 Shares 14,976 Est. Cost $14.42 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.2%

Value ($000) $142 Shares 11,772 Est. Cost $12.06 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.2%

Value ($000) $134 Shares 11,999 Est. Cost $11.17 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	13,487,000	$12,973	21.8%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,815,000	$9,740	16.4%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,985,000	$8,215	13.8%	$1.03	—	NOTE 2.625% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,510,000	$6,502	10.9%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	4,441,000	$4,571	7.7%	$1.03	—	NOTE 5.000% 4/1	19624RAA4
—	ENVESTNET INC	2,802,000	$2,904	4.9%	$1.04	—	NOTE 1.750%12/1	29404KAA4
SLRC	SOLAR CAP LTD	61,552	$1,244	2.1%	$9.71	0.0%	COM	83413U100
—	OAKTREE SPECIALTY LENDING CO	228,836	$1,119	1.9%	$4.89	—	COM	67401p108
REM	ISHARES TR	22,381	$1,012	1.7%	$45.22	—	MORTGE REL ETF	46435G342
PSEC	PROSPECT CAPITAL CORPORATION	147,385	$993	1.7%	$2.43	0.0%	COM	74348T102
—	APOLLO GLOBAL MGMT LLC	28,870	$966	1.6%	$33.46	—	CL A SHS	037612306
AGG	ISHARES TR	8,624	$943	1.6%	$109.35	—	CORE US AGGBD ET	464287226
—	OCH ZIFF CAP MGMT GROUP	358,380	$896	1.5%	$2.50	—	CL A	67551U105
—	OAKTREE CAP GROUP LLC	20,671	$870	1.5%	$42.09	—	UNIT CL A	674001201
—	APOLLO INVT CORP	143,334	$811	1.4%	$5.66	—	COM	03761U106
—	BLACKSTONE GROUP L P	24,718	$791	1.3%	$32.00	—	COM UNIT LTD	09253u108
—	KKR & CO L P DEL	37,509	$790	1.3%	$21.06	—	COM UNITS	48248m102
VWO	VANGUARD INTL EQUITY INDEX F	13,506	$620	1.0%	$45.91	—	FTSE EMR MKT ETF	922042858
SPY	SPDR S&P 500 ETF TR	2,312	$617	1.0%	$266.87	—	TR UNIT	78462F103
EFA	ISHARES TR	8,540	$600	1.0%	$70.26	—	MSCI EAFE ETF	464287465
ARCC	ARES CAP CORP	36,735	$577	1.0%	$7.48	0.0%	COM	04010L103
CODI	COMPASS DIVERSIFIED HOLDINGS	19,434	$329	0.6%	$10.42	0.0%	SH BEN INT	20451Q104
—	ALLIANCEBERNSTEIN GBL HGH IN	17,617	$225	0.4%	$12.77	—	COM	01879R106
—	BLACKROCK CR ALLCTN INC TR	16,838	$224	0.4%	$13.30	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	20,351	$223	0.4%	$10.96	—	COM	09255P107
—	PDL BIOPHARMA INC	79,937	$219	0.4%	$2.74	—	COM	69329y104
—	PRUDENTIAL GLB SHT DUR HG YL	14,976	$216	0.4%	$14.42	—	COM	74433A109
—	CALAMOS STRATEGIC TOTL RETN	11,772	$142	0.2%	$12.06	—	COM SH BEN INT	128125101
—	TEMPLETON EMERG MKTS INCOME	11,999	$134	0.2%	$11.17	—	COM	880192109