SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q1 2018 (← Previous) (Next →)

Filing Date: Apr 26, 2018

Total Value: $64.8M (100.0% shares, 0.0% debt)

Holdings (31)

— PDL BIOPHARMA INC 21.3%

Value $13.78M Shares 13,538,000 Share Price $1.02 Est. Cost/Share $0.96 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 15.4%

Value $9.989M Shares 11,838,000 Share Price $0.84 Est. Cost/Share $0.82 Unrealized @ Report Date —

— EZCORP INC 12.9%

Value $8.383M Shares 7,973,000 Share Price $1.05 Est. Cost/Share $1.03 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 9.9%

Value $6.393M Shares 6,408,000 Share Price $1.00 Est. Cost/Share $1.00 Unrealized @ Report Date —

— APOLLO COML REAL EST FIN INC 6.5%

Value $4.217M Shares 3,954,000 Share Price $1.07 Est. Cost/Share $1.07 Unrealized @ Report Date —

— COLONY CAP INC 6.4%

Value $4.133M Shares 4,438,000 Share Price $0.93 Est. Cost/Share $1.03 Unrealized @ Report Date —

— ENVESTNET INC 4.7%

Value $3.074M Shares 2,802,000 Share Price $1.10 Est. Cost/Share $1.04 Unrealized @ Report Date —

SLRC SOLAR CAP LTD 1.9%

Value $1.253M Shares 61,694 Share Price $20.31 * Est. Cost/Share $9.71 Unrealized @ Report Date -0.9%

PSEC PROSPECT CAPITAL CORPORATION 1.5%

Value $968K Shares 147,852 Share Price $6.55 * Est. Cost/Share $2.43 Unrealized @ Report Date +5.0%

— OAKTREE SPECIALTY LENDING CO 1.5%

Value $967K Shares 229,648 Share Price $4.21 Est. Cost/Share $4.89 Unrealized @ Report Date —

— OCH ZIFF CAP MGMT GROUP 1.5%

Value $957K Shares 358,446 Share Price $2.67 Est. Cost/Share $2.50 Unrealized @ Report Date —

REM ISHARES TR 1.5%

Value $951K Shares 22,383 Share Price $42.49 Est. Cost/Share $45.98 Unrealized @ Report Date -7.6%

AGG ISHARES TR 1.5%

Value $943K Shares 8,791 Share Price $107.27 Est. Cost/Share $109.29 Unrealized @ Report Date -1.9%

— APOLLO GLOBAL MGMT LLC 1.3%

Value $856K Shares 28,894 Share Price $29.63 Est. Cost/Share $33.46 Unrealized @ Report Date —

— OAKTREE CAP GROUP LLC 1.3%

Value $819K Shares 20,675 Share Price $39.61 Est. Cost/Share $42.09 Unrealized @ Report Date —

— BLACKSTONE GROUP L P 1.2%

Value $790K Shares 24,720 Share Price $31.96 Est. Cost/Share $32.00 Unrealized @ Report Date —

— KKR & CO L P DEL 1.2%

Value $761K Shares 37,511 Share Price $20.29 Est. Cost/Share $21.06 Unrealized @ Report Date —

— APOLLO INVT CORP 1.2%

Value $751K Shares 143,849 Share Price $5.22 Est. Cost/Share $5.66 Unrealized @ Report Date —

IBM INTERNATIONAL BUSINESS MACHS 1.1%

Value $698K Shares 4,550 Share Price $153.41 * Est. Cost/Share $107.30 Unrealized @ Report Date -2.6%

VWO VANGUARD INTL EQUITY INDEX F 1.0%

Value $631K Shares 13,428 Share Price $46.99 Est. Cost/Share $44.69 Unrealized @ Report Date +5.1%

SPY SPDR S&P 500 ETF TR 0.9%

Value $606K Shares 2,301 Share Price $263.36 Est. Cost/Share $260.05 Unrealized @ Report Date +1.2%

EFA ISHARES TR 0.9%

Value $592K Shares 8,490 Share Price $69.73 Est. Cost/Share $69.53 Unrealized @ Report Date +0.2%

ARCC ARES CAP CORP 0.9%

Value $583K Shares 36,748 Share Price $15.86 * Est. Cost/Share $7.48 Unrealized @ Report Date +2.0%

CODI COMPASS DIVERSIFIED HOLDINGS 0.5%

Value $319K Shares 19,435 Share Price $16.41 * Est. Cost/Share $10.42 Unrealized @ Report Date -2.0%

— PDL BIOPHARMA INC 0.4%

Value $237K Shares 80,722 Share Price $2.94 Est. Cost/Share $2.74 Unrealized @ Report Date —

— BLACKROCK CORPOR HI YLD FD I 0.3%

Value $220K Shares 20,784 Share Price $10.59 Est. Cost/Share $10.95 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 0.3%

Value $218K Shares 17,214 Share Price $12.66 Est. Cost/Share $13.29 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN GBL HGH IN 0.3%

Value $214K Shares 17,986 Share Price $11.90 Est. Cost/Share $12.75 Unrealized @ Report Date —

— PRUDENTIAL GLB SHT DUR HG YL 0.3%

Value $213K Shares 15,348 Share Price $13.88 Est. Cost/Share $14.41 Unrealized @ Report Date —

— CALAMOS STRATEGIC TOTL RETN 0.2%

Value $142K Shares 11,990 Share Price $11.84 Est. Cost/Share $12.06 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.2%

Value $137K Shares 12,103 Share Price $11.32 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	13,538,000	$13.78M	21.3%	$1.02	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,838,000	$9.989M	15.4%	$0.84	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,973,000	$8.383M	12.9%	$1.05	$1.03	—	NOTE 2.625% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,408,000	$6.393M	9.9%	$1.00	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	APOLLO COML REAL EST FIN INC	3,954,000	$4.217M	6.5%	$1.07	$1.07	—	NOTE 5.500% 3/1	03762UAA3
—	COLONY CAP INC	4,438,000	$4.133M	6.4%	$0.93	$1.03	—	NOTE 5.000% 4/1	19624RAA4
—	ENVESTNET INC	2,802,000	$3.074M	4.7%	$1.10	$1.04	—	NOTE 1.750%12/1	29404KAA4
SLRC	SOLAR CAP LTD	61,694	$1.253M	1.9%	$20.31 *	$9.71	-0.9%	COM	83413U100
PSEC	PROSPECT CAPITAL CORPORATION	147,852	$968K	1.5%	$6.55 *	$2.43	+5.0%	COM	74348T102
—	OAKTREE SPECIALTY LENDING CO	229,648	$967K	1.5%	$4.21	$4.89	—	COM	67401p108
—	OCH ZIFF CAP MGMT GROUP	358,446	$957K	1.5%	$2.67	$2.50	—	CL A	67551U105
REM	ISHARES TR	22,383	$951K	1.5%	$42.49	$45.98	-7.6%	MORTGE REL ETF	46435G342
AGG	ISHARES TR	8,791	$943K	1.5%	$107.27	$109.29	-1.9%	CORE US AGGBD ET	464287226
—	APOLLO GLOBAL MGMT LLC	28,894	$856K	1.3%	$29.63	$33.46	—	CL A SHS	037612306
—	OAKTREE CAP GROUP LLC	20,675	$819K	1.3%	$39.61	$42.09	—	UNIT CL A	674001201
—	BLACKSTONE GROUP L P	24,720	$790K	1.2%	$31.96	$32.00	—	COM UNIT LTD	09253u108
—	KKR & CO L P DEL	37,511	$761K	1.2%	$20.29	$21.06	—	COM UNITS	48248m102
—	APOLLO INVT CORP	143,849	$751K	1.2%	$5.22	$5.66	—	COM	03761U106
IBM	INTERNATIONAL BUSINESS MACHS	4,550	$698K	1.1%	$153.41 *	$107.30	-2.6%	COM	459200101
VWO	VANGUARD INTL EQUITY INDEX F	13,428	$631K	1.0%	$46.99	$44.69	+5.1%	FTSE EMR MKT ETF	922042858
SPY	SPDR S&P 500 ETF TR	2,301	$606K	0.9%	$263.36	$260.05	+1.2%	TR UNIT	78462F103
EFA	ISHARES TR	8,490	$592K	0.9%	$69.73	$69.53	+0.2%	MSCI EAFE ETF	464287465
ARCC	ARES CAP CORP	36,748	$583K	0.9%	$15.86 *	$7.48	+2.0%	COM	04010L103
CODI	COMPASS DIVERSIFIED HOLDINGS	19,435	$319K	0.5%	$16.41 *	$10.42	-2.0%	SH BEN INT	20451Q104
—	PDL BIOPHARMA INC	80,722	$237K	0.4%	$2.94	$2.74	—	COM	69329y104
—	BLACKROCK CORPOR HI YLD FD I	20,784	$220K	0.3%	$10.59	$10.95	—	COM	09255P107
—	BLACKROCK CR ALLCTN INC TR	17,214	$218K	0.3%	$12.66	$13.29	—	COM	092508100
—	ALLIANCEBERNSTEIN GBL HGH IN	17,986	$214K	0.3%	$11.90	$12.75	—	COM	01879R106
—	PRUDENTIAL GLB SHT DUR HG YL	15,348	$213K	0.3%	$13.88	$14.41	—	COM	74433A109
—	CALAMOS STRATEGIC TOTL RETN	11,990	$142K	0.2%	$11.84	$12.06	—	COM SH BEN INT	128125101
—	TEMPLETON EMERG MKTS INCOME	12,103	$137K	0.2%	$11.32	$11.17	—	COM	880192109