SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q4 2017 (Next →)

Filing Date: Feb 7, 2018

Total Value: $59.47M (100.0% shares, 0.0% debt)

Holdings (29)

— PDL BIOPHARMA INC 21.8%

Value $12.97M Shares 13,487,000 Share Price $0.96 Est. Cost/Share $0.96 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 16.4%

Value $9.74M Shares 11,815,000 Share Price $0.82 Est. Cost/Share $0.82 Unrealized @ Report Date —

— EZCORP INC 13.8%

Value $8.215M Shares 7,985,000 Share Price $1.03 Est. Cost/Share $1.03 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 10.9%

Value $6.502M Shares 6,510,000 Share Price $1.00 Est. Cost/Share $1.00 Unrealized @ Report Date —

— COLONY CAP INC 7.7%

Value $4.571M Shares 4,441,000 Share Price $1.03 Est. Cost/Share $1.03 Unrealized @ Report Date —

— ENVESTNET INC 4.9%

Value $2.904M Shares 2,802,000 Share Price $1.04 Est. Cost/Share $1.04 Unrealized @ Report Date —

SLRC SOLAR CAP LTD 2.1%

Value $1.244M Shares 61,552 Share Price $20.21 * Est. Cost/Share $9.71 Unrealized @ Report Date -3.4%

— OAKTREE SPECIALTY LENDING CO 1.9%

Value $1.119M Shares 228,836 Share Price $4.89 Est. Cost/Share $4.89 Unrealized @ Report Date —

REM ISHARES TR 1.7%

Value $1.012M Shares 22,381 Share Price $45.22 Est. Cost/Share $45.98 Unrealized @ Report Date -1.7%

PSEC PROSPECT CAPITAL CORPORATION 1.7%

Value $993K Shares 147,385 Share Price $6.74 * Est. Cost/Share $2.43 Unrealized @ Report Date +5.1%

— APOLLO GLOBAL MGMT LLC 1.6%

Value $966K Shares 28,870 Share Price $33.46 Est. Cost/Share $33.46 Unrealized @ Report Date —

AGG ISHARES TR 1.6%

Value $943K Shares 8,624 Share Price $109.35 Est. Cost/Share $109.33 Unrealized @ Report Date +0.0%

— OCH ZIFF CAP MGMT GROUP 1.5%

Value $896K Shares 358,380 Share Price $2.50 Est. Cost/Share $2.50 Unrealized @ Report Date —

— OAKTREE CAP GROUP LLC 1.5%

Value $870K Shares 20,671 Share Price $42.09 Est. Cost/Share $42.09 Unrealized @ Report Date —

— APOLLO INVT CORP 1.4%

Value $811K Shares 143,334 Share Price $5.66 Est. Cost/Share $5.66 Unrealized @ Report Date —

— BLACKSTONE GROUP L P 1.3%

Value $791K Shares 24,718 Share Price $32.00 Est. Cost/Share $32.00 Unrealized @ Report Date —

— KKR & CO L P DEL 1.3%

Value $790K Shares 37,509 Share Price $21.06 Est. Cost/Share $21.06 Unrealized @ Report Date —

VWO VANGUARD INTL EQUITY INDEX F 1.0%

Value $620K Shares 13,506 Share Price $45.91 Est. Cost/Share $44.69 Unrealized @ Report Date +2.7%

SPY SPDR S&P 500 ETF TR 1.0%

Value $617K Shares 2,312 Share Price $266.87 Est. Cost/Share $260.05 Unrealized @ Report Date +2.6%

EFA ISHARES TR 1.0%

Value $600K Shares 8,540 Share Price $70.26 Est. Cost/Share $69.53 Unrealized @ Report Date +1.1%

ARCC ARES CAP CORP 1.0%

Value $577K Shares 36,735 Share Price $15.71 * Est. Cost/Share $7.48 Unrealized @ Report Date -1.3%

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value $329K Shares 19,434 Share Price $16.93 * Est. Cost/Share $10.42 Unrealized @ Report Date -0.9%

— ALLIANCEBERNSTEIN GBL HGH IN 0.4%

Value $225K Shares 17,617 Share Price $12.77 Est. Cost/Share $12.77 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 0.4%

Value $224K Shares 16,838 Share Price $13.30 Est. Cost/Share $13.30 Unrealized @ Report Date —

— BLACKROCK CORPOR HI YLD FD I 0.4%

Value $223K Shares 20,351 Share Price $10.96 Est. Cost/Share $10.96 Unrealized @ Report Date —

— PDL BIOPHARMA INC 0.4%

Value $219K Shares 79,937 Share Price $2.74 Est. Cost/Share $2.74 Unrealized @ Report Date —

— PRUDENTIAL GLB SHT DUR HG YL 0.4%

Value $216K Shares 14,976 Share Price $14.42 Est. Cost/Share $14.42 Unrealized @ Report Date —

— CALAMOS STRATEGIC TOTL RETN 0.2%

Value $142K Shares 11,772 Share Price $12.06 Est. Cost/Share $12.06 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.2%

Value $134K Shares 11,999 Share Price $11.17 Est. Cost/Share $11.17 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	PDL BIOPHARMA INC	13,487,000	$12.97M	21.8%	$0.96	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,815,000	$9.74M	16.4%	$0.82	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,985,000	$8.215M	13.8%	$1.03	$1.03	—	NOTE 2.625% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,510,000	$6.502M	10.9%	$1.00	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	4,441,000	$4.571M	7.7%	$1.03	$1.03	—	NOTE 5.000% 4/1	19624RAA4
—	ENVESTNET INC	2,802,000	$2.904M	4.9%	$1.04	$1.04	—	NOTE 1.750%12/1	29404KAA4
SLRC	SOLAR CAP LTD	61,552	$1.244M	2.1%	$20.21 *	$9.71	-3.4%	COM	83413U100
—	OAKTREE SPECIALTY LENDING CO	228,836	$1.119M	1.9%	$4.89	$4.89	—	COM	67401p108
REM	ISHARES TR	22,381	$1.012M	1.7%	$45.22	$45.98	-1.7%	MORTGE REL ETF	46435G342
PSEC	PROSPECT CAPITAL CORPORATION	147,385	$993K	1.7%	$6.74 *	$2.43	+5.1%	COM	74348T102
—	APOLLO GLOBAL MGMT LLC	28,870	$966K	1.6%	$33.46	$33.46	—	CL A SHS	037612306
AGG	ISHARES TR	8,624	$943K	1.6%	$109.35	$109.33	+0.0%	CORE US AGGBD ET	464287226
—	OCH ZIFF CAP MGMT GROUP	358,380	$896K	1.5%	$2.50	$2.50	—	CL A	67551U105
—	OAKTREE CAP GROUP LLC	20,671	$870K	1.5%	$42.09	$42.09	—	UNIT CL A	674001201
—	APOLLO INVT CORP	143,334	$811K	1.4%	$5.66	$5.66	—	COM	03761U106
—	BLACKSTONE GROUP L P	24,718	$791K	1.3%	$32.00	$32.00	—	COM UNIT LTD	09253u108
—	KKR & CO L P DEL	37,509	$790K	1.3%	$21.06	$21.06	—	COM UNITS	48248m102
VWO	VANGUARD INTL EQUITY INDEX F	13,506	$620K	1.0%	$45.91	$44.69	+2.7%	FTSE EMR MKT ETF	922042858
SPY	SPDR S&P 500 ETF TR	2,312	$617K	1.0%	$266.87	$260.05	+2.6%	TR UNIT	78462F103
EFA	ISHARES TR	8,540	$600K	1.0%	$70.26	$69.53	+1.1%	MSCI EAFE ETF	464287465
ARCC	ARES CAP CORP	36,735	$577K	1.0%	$15.71 *	$7.48	-1.3%	COM	04010L103
CODI	COMPASS DIVERSIFIED HOLDINGS	19,434	$329K	0.6%	$16.93 *	$10.42	-0.9%	SH BEN INT	20451Q104
—	ALLIANCEBERNSTEIN GBL HGH IN	17,617	$225K	0.4%	$12.77	$12.77	—	COM	01879R106
—	BLACKROCK CR ALLCTN INC TR	16,838	$224K	0.4%	$13.30	$13.30	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	20,351	$223K	0.4%	$10.96	$10.96	—	COM	09255P107
—	PDL BIOPHARMA INC	79,937	$219K	0.4%	$2.74	$2.74	—	COM	69329y104
—	PRUDENTIAL GLB SHT DUR HG YL	14,976	$216K	0.4%	$14.42	$14.42	—	COM	74433A109
—	CALAMOS STRATEGIC TOTL RETN	11,772	$142K	0.2%	$12.06	$12.06	—	COM SH BEN INT	128125101
—	TEMPLETON EMERG MKTS INCOME	11,999	$134K	0.2%	$11.17	$11.17	—	COM	880192109