SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q2 2018 (← Previous) (Next →)

Filing Date: Aug 1, 2018

Total Value: $61.7M (100.0% shares, 0.0% debt)

Holdings (30)

— PDL BIOPHARMA INC 19.3%

Value $11.94M Shares 13,002,000 Share Price $0.92 Est. Cost/Share $0.96 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 14.8%

Value $9.144M Shares 11,420,000 Share Price $0.80 Est. Cost/Share $0.82 Unrealized @ Report Date —

— EZCORP INC 12.8%

Value $7.907M Shares 7,811,000 Share Price $1.01 Est. Cost/Share $1.03 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 10.1%

Value $6.253M Shares 6,445,000 Share Price $0.97 Est. Cost/Share $1.00 Unrealized @ Report Date —

— COLONY CAP INC 9.0%

Value $5.579M Shares 5,888,000 Share Price $0.95 Est. Cost/Share $1.01 Unrealized @ Report Date —

— APOLLO COML REAL EST FIN INC 6.8%

Value $4.196M Shares 3,934,000 Share Price $1.07 Est. Cost/Share $1.07 Unrealized @ Report Date —

— ENVESTNET INC 4.8%

Value $2.944M Shares 2,802,000 Share Price $1.05 Est. Cost/Share $1.04 Unrealized @ Report Date —

— OAKTREE SPECIALTY LENDING CO 1.8%

Value $1.107M Shares 231,624 Share Price $4.78 Est. Cost/Share $4.89 Unrealized @ Report Date —

— SPDR SERIES TRUST 1.7%

Value $1.061M Shares 29,905 Share Price $35.48 Est. Cost/Share $35.48 Unrealized @ Report Date —

PSEC PROSPECT CAPITAL CORPORATION 1.6%

Value $999K Shares 148,921 Share Price $6.71 * Est. Cost/Share $2.43 Unrealized @ Report Date +10.5%

AGG ISHARES TR 1.6%

Value $990K Shares 9,309 Share Price $106.35 Est. Cost/Share $109.11 Unrealized @ Report Date -2.6%

— APOLLO GLOBAL MGMT LLC 1.5%

Value $921K Shares 28,908 Share Price $31.86 Est. Cost/Share $33.46 Unrealized @ Report Date —

— OAKTREE CAP GROUP LLC 1.4%

Value $841K Shares 20,679 Share Price $40.67 Est. Cost/Share $42.09 Unrealized @ Report Date —

— APOLLO INVT CORP 1.3%

Value $806K Shares 144,630 Share Price $5.57 Est. Cost/Share $5.66 Unrealized @ Report Date —

— BLACKSTONE GROUP L P 1.3%

Value $795K Shares 24,721 Share Price $32.16 Est. Cost/Share $32.00 Unrealized @ Report Date —

REM ISHARES TR 1.2%

Value $743K Shares 17,103 Share Price $43.44 Est. Cost/Share $45.98 Unrealized @ Report Date -5.5%

— KKR & CO L P DEL 1.2%

Value $731K Shares 29,413 Share Price $24.85 Est. Cost/Share $21.06 Unrealized @ Report Date —

— OCH ZIFF CAP MGMT GROUP 1.1%

Value $692K Shares 358,472 Share Price $1.93 Est. Cost/Share $2.50 Unrealized @ Report Date —

IBM INTERNATIONAL BUSINESS MACHS 1.1%

Value $652K Shares 4,665 Share Price $139.76 * Est. Cost/Share $107.12 Unrealized @ Report Date -10.2%

SPY SPDR S&P 500 ETF TR 1.0%

Value $628K Shares 2,316 Share Price $271.16 Est. Cost/Share $260.05 Unrealized @ Report Date +4.3%

ARCC ARES CAP CORP 1.0%

Value $603K Shares 36,638 Share Price $16.46 * Est. Cost/Share $7.48 Unrealized @ Report Date +8.2%

SLRC SOLAR CAP LTD 0.9%

Value $532K Shares 26,038 Share Price $20.43 * Est. Cost/Share $9.71 Unrealized @ Report Date +1.7%

CODI COMPASS DIVERSIFIED HOLDINGS 0.5%

Value $336K Shares 19,438 Share Price $17.29 * Est. Cost/Share $10.42 Unrealized @ Report Date +5.6%

— BLACKROCK CORPOR HI YLD FD I 0.4%

Value $229K Shares 21,913 Share Price $10.45 Est. Cost/Share $10.92 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 0.4%

Value $220K Shares 18,182 Share Price $12.10 Est. Cost/Share $13.23 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN GBL HGH IN 0.4%

Value $219K Shares 19,005 Share Price $11.52 Est. Cost/Share $12.69 Unrealized @ Report Date —

— PDL BIOPHARMA INC 0.3%

Value $195K Shares 83,369 Share Price $2.34 Est. Cost/Share $2.73 Unrealized @ Report Date —

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value $158K Shares 12,479 Share Price $12.66 Est. Cost/Share $12.08 Unrealized @ Report Date —

— ADAMS DIVERSIFIED EQUITY FD 0.2%

Value $154K Shares 10,007 Share Price $15.39 Est. Cost/Share $15.39 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.2%

Value $131K Shares 12,792 Share Price $10.24 Est. Cost/Share $11.12 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	PDL BIOPHARMA INC	13,002,000	$11.94M	19.3%	$0.92	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,420,000	$9.144M	14.8%	$0.80	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,811,000	$7.907M	12.8%	$1.01	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,445,000	$6.253M	10.1%	$0.97	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	5,888,000	$5.579M	9.0%	$0.95	$1.01	—	NOTE 5.000% 4/1	19624RAA4
—	APOLLO COML REAL EST FIN INC	3,934,000	$4.196M	6.8%	$1.07	$1.07	—	NOTE 5.500% 3/1	03762UAA3
—	ENVESTNET INC	2,802,000	$2.944M	4.8%	$1.05	$1.04	—	NOTE 1.750%12/1	29404KAA4
—	OAKTREE SPECIALTY LENDING CO	231,624	$1.107M	1.8%	$4.78	$4.89	—	COM	67401p108
—	SPDR SERIES TRUST	29,905	$1.061M	1.7%	$35.48	$35.48	—	BLOOMBERG BRCLYS	78464A417
PSEC	PROSPECT CAPITAL CORPORATION	148,921	$999K	1.6%	$6.71 *	$2.43	+10.5%	COM	74348T102
AGG	ISHARES TR	9,309	$990K	1.6%	$106.35	$109.11	-2.6%	CORE US AGGBD ET	464287226
—	APOLLO GLOBAL MGMT LLC	28,908	$921K	1.5%	$31.86	$33.46	—	CL A SHS	037612306
—	OAKTREE CAP GROUP LLC	20,679	$841K	1.4%	$40.67	$42.09	—	UNIT CL A	674001201
—	APOLLO INVT CORP	144,630	$806K	1.3%	$5.57	$5.66	—	COM	03761U106
—	BLACKSTONE GROUP L P	24,721	$795K	1.3%	$32.16	$32.00	—	COM UNIT LTD	09253u108
REM	ISHARES TR	17,103	$743K	1.2%	$43.44	$45.98	-5.5%	MORTGE REL ETF	46435G342
—	KKR & CO L P DEL	29,413	$731K	1.2%	$24.85	$21.06	—	COM UNITS	48248m102
—	OCH ZIFF CAP MGMT GROUP	358,472	$692K	1.1%	$1.93	$2.50	—	CL A	67551U105
IBM	INTERNATIONAL BUSINESS MACHS	4,665	$652K	1.1%	$139.76 *	$107.12	-10.2%	COM	459200101
SPY	SPDR S&P 500 ETF TR	2,316	$628K	1.0%	$271.16	$260.05	+4.3%	TR UNIT	78462F103
ARCC	ARES CAP CORP	36,638	$603K	1.0%	$16.46 *	$7.48	+8.2%	COM	04010L103
SLRC	SOLAR CAP LTD	26,038	$532K	0.9%	$20.43 *	$9.71	+1.7%	COM	83413U100
CODI	COMPASS DIVERSIFIED HOLDINGS	19,438	$336K	0.5%	$17.29 *	$10.42	+5.6%	SH BEN INT	20451Q104
—	BLACKROCK CORPOR HI YLD FD I	21,913	$229K	0.4%	$10.45	$10.92	—	COM	09255P107
—	BLACKROCK CR ALLCTN INC TR	18,182	$220K	0.4%	$12.10	$13.23	—	COM	092508100
—	ALLIANCEBERNSTEIN GBL HGH IN	19,005	$219K	0.4%	$11.52	$12.69	—	COM	01879R106
—	PDL BIOPHARMA INC	83,369	$195K	0.3%	$2.34	$2.73	—	COM	69329y104
—	CALAMOS STRATEGIC TOTL RETN	12,479	$158K	0.3%	$12.66	$12.08	—	COM SH BEN INT	128125101
—	ADAMS DIVERSIFIED EQUITY FD	10,007	$154K	0.2%	$15.39	$15.39	—	COM	006212104
—	TEMPLETON EMERG MKTS INCOME	12,792	$131K	0.2%	$10.24	$11.12	—	COM	880192109