SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q2 2018 (← Previous) (Next →)

Filing Date: Aug 1, 2018

Total Value ($000): $61,703 (100.0% shares, 0.0% debt)

Holdings (30)

— PDL BIOPHARMA INC 19.3%

Value ($000) $11,937 Shares 13,002,000 Est. Cost $0.96 Unrealized —

— FLUIDIGM CORP DEL 14.8%

Value ($000) $9,144 Shares 11,420,000 Est. Cost $0.82 Unrealized —

— EZCORP INC 12.8%

Value ($000) $7,907 Shares 7,811,000 Est. Cost $1.03 Unrealized —

— PROSPECT CAPITAL CORPORATION 10.1%

Value ($000) $6,253 Shares 6,445,000 Est. Cost $1.00 Unrealized —

— COLONY CAP INC 9.0%

Value ($000) $5,579 Shares 5,888,000 Est. Cost $1.01 Unrealized —

— APOLLO COML REAL EST FIN INC 6.8%

Value ($000) $4,196 Shares 3,934,000 Est. Cost $1.07 Unrealized —

— ENVESTNET INC 4.8%

Value ($000) $2,944 Shares 2,802,000 Est. Cost $1.04 Unrealized —

— OAKTREE SPECIALTY LENDING CO 1.8%

Value ($000) $1,107 Shares 231,624 Est. Cost $4.89 Unrealized —

— SPDR SERIES TRUST 1.7%

Value ($000) $1,061 Shares 29,905 Est. Cost $35.48 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 1.6%

Value ($000) $999 Shares 148,921 Est. Cost $2.43 Unrealized +7.6%

AGG ISHARES TR 1.6%

Value ($000) $990 Shares 9,309 Est. Cost $109.14 Unrealized —

— APOLLO GLOBAL MGMT LLC 1.5%

Value ($000) $921 Shares 28,908 Est. Cost $33.46 Unrealized —

— OAKTREE CAP GROUP LLC 1.4%

Value ($000) $841 Shares 20,679 Est. Cost $42.09 Unrealized —

— APOLLO INVT CORP 1.3%

Value ($000) $806 Shares 144,630 Est. Cost $5.66 Unrealized —

— BLACKSTONE GROUP L P 1.3%

Value ($000) $795 Shares 24,721 Est. Cost $32.00 Unrealized —

REM ISHARES TR 1.2%

Value ($000) $743 Shares 17,103 Est. Cost $45.22 Unrealized —

— KKR & CO L P DEL 1.2%

Value ($000) $731 Shares 29,413 Est. Cost $21.06 Unrealized —

— OCH ZIFF CAP MGMT GROUP 1.1%

Value ($000) $692 Shares 358,472 Est. Cost $2.50 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.1%

Value ($000) $652 Shares 4,665 Est. Cost $107.12 Unrealized -6.7%

SPY SPDR S&P 500 ETF TR 1.0%

Value ($000) $628 Shares 2,316 Est. Cost $266.87 Unrealized —

ARCC ARES CAP CORP 1.0%

Value ($000) $603 Shares 36,638 Est. Cost $7.48 Unrealized +6.1%

SLRC SOLAR CAP LTD 0.9%

Value ($000) $532 Shares 26,038 Est. Cost $9.71 Unrealized +2.4%

CODI COMPASS DIVERSIFIED HOLDINGS 0.5%

Value ($000) $336 Shares 19,438 Est. Cost $10.42 Unrealized -0.3%

— BLACKROCK CORPOR HI YLD FD I 0.4%

Value ($000) $229 Shares 21,913 Est. Cost $10.92 Unrealized —

— BLACKROCK CR ALLCTN INC TR 0.4%

Value ($000) $220 Shares 18,182 Est. Cost $13.23 Unrealized —

— ALLIANCEBERNSTEIN GBL HGH IN 0.4%

Value ($000) $219 Shares 19,005 Est. Cost $12.69 Unrealized —

— PDL BIOPHARMA INC 0.3%

Value ($000) $195 Shares 83,369 Est. Cost $2.73 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value ($000) $158 Shares 12,479 Est. Cost $12.08 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.2%

Value ($000) $154 Shares 10,007 Est. Cost $15.39 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.2%

Value ($000) $131 Shares 12,792 Est. Cost $11.12 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	13,002,000	$11,937	19.3%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,420,000	$9,144	14.8%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,811,000	$7,907	12.8%	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,445,000	$6,253	10.1%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	5,888,000	$5,579	9.0%	$1.01	—	NOTE 5.000% 4/1	19624RAA4
—	APOLLO COML REAL EST FIN INC	3,934,000	$4,196	6.8%	$1.07	—	NOTE 5.500% 3/1	03762UAA3
—	ENVESTNET INC	2,802,000	$2,944	4.8%	$1.04	—	NOTE 1.750%12/1	29404KAA4
—	OAKTREE SPECIALTY LENDING CO	231,624	$1,107	1.8%	$4.89	—	COM	67401p108
—	SPDR SERIES TRUST	29,905	$1,061	1.7%	$35.48	—	BLOOMBERG BRCLYS	78464A417
PSEC	PROSPECT CAPITAL CORPORATION	148,921	$999	1.6%	$2.43	+7.6%	COM	74348T102
AGG	ISHARES TR	9,309	$990	1.6%	$109.14	—	CORE US AGGBD ET	464287226
—	APOLLO GLOBAL MGMT LLC	28,908	$921	1.5%	$33.46	—	CL A SHS	037612306
—	OAKTREE CAP GROUP LLC	20,679	$841	1.4%	$42.09	—	UNIT CL A	674001201
—	APOLLO INVT CORP	144,630	$806	1.3%	$5.66	—	COM	03761U106
—	BLACKSTONE GROUP L P	24,721	$795	1.3%	$32.00	—	COM UNIT LTD	09253u108
REM	ISHARES TR	17,103	$743	1.2%	$45.22	—	MORTGE REL ETF	46435G342
—	KKR & CO L P DEL	29,413	$731	1.2%	$21.06	—	COM UNITS	48248m102
—	OCH ZIFF CAP MGMT GROUP	358,472	$692	1.1%	$2.50	—	CL A	67551U105
IBM	INTERNATIONAL BUSINESS MACHS	4,665	$652	1.1%	$107.12	-6.7%	COM	459200101
SPY	SPDR S&P 500 ETF TR	2,316	$628	1.0%	$266.87	—	TR UNIT	78462F103
ARCC	ARES CAP CORP	36,638	$603	1.0%	$7.48	+6.1%	COM	04010L103
SLRC	SOLAR CAP LTD	26,038	$532	0.9%	$9.71	+2.4%	COM	83413U100
CODI	COMPASS DIVERSIFIED HOLDINGS	19,438	$336	0.5%	$10.42	-0.3%	SH BEN INT	20451Q104
—	BLACKROCK CORPOR HI YLD FD I	21,913	$229	0.4%	$10.92	—	COM	09255P107
—	BLACKROCK CR ALLCTN INC TR	18,182	$220	0.4%	$13.23	—	COM	092508100
—	ALLIANCEBERNSTEIN GBL HGH IN	19,005	$219	0.4%	$12.69	—	COM	01879R106
—	PDL BIOPHARMA INC	83,369	$195	0.3%	$2.73	—	COM	69329y104
—	CALAMOS STRATEGIC TOTL RETN	12,479	$158	0.3%	$12.08	—	COM SH BEN INT	128125101
—	ADAMS DIVERSIFIED EQUITY FD	10,007	$154	0.2%	$15.39	—	COM	006212104
—	TEMPLETON EMERG MKTS INCOME	12,792	$131	0.2%	$11.12	—	COM	880192109