SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q1 2018 (← Previous) (Next →)

Filing Date: Apr 26, 2018

Total Value ($000): $64,796 (100.0% shares, 0.0% debt)

Holdings (31)

— PDL BIOPHARMA INC 21.3%

Value ($000) $13,781 Shares 13,538,000 Est. Cost $0.96 Unrealized —

— FLUIDIGM CORP DEL 15.4%

Value ($000) $9,989 Shares 11,838,000 Est. Cost $0.82 Unrealized —

— EZCORP INC 12.9%

Value ($000) $8,383 Shares 7,973,000 Est. Cost $1.03 Unrealized —

— PROSPECT CAPITAL CORPORATION 9.9%

Value ($000) $6,393 Shares 6,408,000 Est. Cost $1.00 Unrealized —

— APOLLO COML REAL EST FIN INC 6.5%

Value ($000) $4,217 Shares 3,954,000 Est. Cost $1.07 Unrealized —

— COLONY CAP INC 6.4%

Value ($000) $4,133 Shares 4,438,000 Est. Cost $1.03 Unrealized —

— ENVESTNET INC 4.7%

Value ($000) $3,074 Shares 2,802,000 Est. Cost $1.04 Unrealized —

SLRC SOLAR CAP LTD 1.9%

Value ($000) $1,253 Shares 61,694 Est. Cost $9.71 Unrealized -1.4%

PSEC PROSPECT CAPITAL CORPORATION 1.5%

Value ($000) $968 Shares 147,852 Est. Cost $2.43 Unrealized +5.2%

— OAKTREE SPECIALTY LENDING CO 1.5%

Value ($000) $967 Shares 229,648 Est. Cost $4.89 Unrealized —

— OCH ZIFF CAP MGMT GROUP 1.5%

Value ($000) $957 Shares 358,446 Est. Cost $2.50 Unrealized —

REM ISHARES TR 1.5%

Value ($000) $951 Shares 22,383 Est. Cost $45.22 Unrealized —

AGG ISHARES TR 1.5%

Value ($000) $943 Shares 8,791 Est. Cost $109.31 Unrealized —

— APOLLO GLOBAL MGMT LLC 1.3%

Value ($000) $856 Shares 28,894 Est. Cost $33.46 Unrealized —

— OAKTREE CAP GROUP LLC 1.3%

Value ($000) $819 Shares 20,675 Est. Cost $42.09 Unrealized —

— BLACKSTONE GROUP L P 1.2%

Value ($000) $790 Shares 24,720 Est. Cost $32.00 Unrealized —

— KKR & CO L P DEL 1.2%

Value ($000) $761 Shares 37,511 Est. Cost $21.06 Unrealized —

— APOLLO INVT CORP 1.2%

Value ($000) $751 Shares 143,849 Est. Cost $5.66 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.1%

Value ($000) $698 Shares 4,550 Est. Cost $107.30 Unrealized 0.0%

VWO VANGUARD INTL EQUITY INDEX F 1.0%

Value ($000) $631 Shares 13,428 Est. Cost $45.91 Unrealized —

SPY SPDR S&P 500 ETF TR 0.9%

Value ($000) $606 Shares 2,301 Est. Cost $266.87 Unrealized —

EFA ISHARES TR 0.9%

Value ($000) $592 Shares 8,490 Est. Cost $70.26 Unrealized —

ARCC ARES CAP CORP 0.9%

Value ($000) $583 Shares 36,748 Est. Cost $7.48 Unrealized -0.0%

CODI COMPASS DIVERSIFIED HOLDINGS 0.5%

Value ($000) $319 Shares 19,435 Est. Cost $10.42 Unrealized -0.1%

— PDL BIOPHARMA INC 0.4%

Value ($000) $237 Shares 80,722 Est. Cost $2.74 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.3%

Value ($000) $220 Shares 20,784 Est. Cost $10.95 Unrealized —

— BLACKROCK CR ALLCTN INC TR 0.3%

Value ($000) $218 Shares 17,214 Est. Cost $13.29 Unrealized —

— ALLIANCEBERNSTEIN GBL HGH IN 0.3%

Value ($000) $214 Shares 17,986 Est. Cost $12.75 Unrealized —

— PRUDENTIAL GLB SHT DUR HG YL 0.3%

Value ($000) $213 Shares 15,348 Est. Cost $14.41 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.2%

Value ($000) $142 Shares 11,990 Est. Cost $12.06 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.2%

Value ($000) $137 Shares 12,103 Est. Cost $11.17 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	13,538,000	$13,781	21.3%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,838,000	$9,989	15.4%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,973,000	$8,383	12.9%	$1.03	—	NOTE 2.625% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,408,000	$6,393	9.9%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	APOLLO COML REAL EST FIN INC	3,954,000	$4,217	6.5%	$1.07	—	NOTE 5.500% 3/1	03762UAA3
—	COLONY CAP INC	4,438,000	$4,133	6.4%	$1.03	—	NOTE 5.000% 4/1	19624RAA4
—	ENVESTNET INC	2,802,000	$3,074	4.7%	$1.04	—	NOTE 1.750%12/1	29404KAA4
SLRC	SOLAR CAP LTD	61,694	$1,253	1.9%	$9.71	-1.4%	COM	83413U100
PSEC	PROSPECT CAPITAL CORPORATION	147,852	$968	1.5%	$2.43	+5.2%	COM	74348T102
—	OAKTREE SPECIALTY LENDING CO	229,648	$967	1.5%	$4.89	—	COM	67401p108
—	OCH ZIFF CAP MGMT GROUP	358,446	$957	1.5%	$2.50	—	CL A	67551U105
REM	ISHARES TR	22,383	$951	1.5%	$45.22	—	MORTGE REL ETF	46435G342
AGG	ISHARES TR	8,791	$943	1.5%	$109.31	—	CORE US AGGBD ET	464287226
—	APOLLO GLOBAL MGMT LLC	28,894	$856	1.3%	$33.46	—	CL A SHS	037612306
—	OAKTREE CAP GROUP LLC	20,675	$819	1.3%	$42.09	—	UNIT CL A	674001201
—	BLACKSTONE GROUP L P	24,720	$790	1.2%	$32.00	—	COM UNIT LTD	09253u108
—	KKR & CO L P DEL	37,511	$761	1.2%	$21.06	—	COM UNITS	48248m102
—	APOLLO INVT CORP	143,849	$751	1.2%	$5.66	—	COM	03761U106
IBM	INTERNATIONAL BUSINESS MACHS	4,550	$698	1.1%	$107.30	0.0%	COM	459200101
VWO	VANGUARD INTL EQUITY INDEX F	13,428	$631	1.0%	$45.91	—	FTSE EMR MKT ETF	922042858
SPY	SPDR S&P 500 ETF TR	2,301	$606	0.9%	$266.87	—	TR UNIT	78462F103
EFA	ISHARES TR	8,490	$592	0.9%	$70.26	—	MSCI EAFE ETF	464287465
ARCC	ARES CAP CORP	36,748	$583	0.9%	$7.48	-0.0%	COM	04010L103
CODI	COMPASS DIVERSIFIED HOLDINGS	19,435	$319	0.5%	$10.42	-0.1%	SH BEN INT	20451Q104
—	PDL BIOPHARMA INC	80,722	$237	0.4%	$2.74	—	COM	69329y104
—	BLACKROCK CORPOR HI YLD FD I	20,784	$220	0.3%	$10.95	—	COM	09255P107
—	BLACKROCK CR ALLCTN INC TR	17,214	$218	0.3%	$13.29	—	COM	092508100
—	ALLIANCEBERNSTEIN GBL HGH IN	17,986	$214	0.3%	$12.75	—	COM	01879R106
—	PRUDENTIAL GLB SHT DUR HG YL	15,348	$213	0.3%	$14.41	—	COM	74433A109
—	CALAMOS STRATEGIC TOTL RETN	11,990	$142	0.2%	$12.06	—	COM SH BEN INT	128125101
—	TEMPLETON EMERG MKTS INCOME	12,103	$137	0.2%	$11.17	—	COM	880192109