SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q3 2018 (← Previous) (Next →)

Filing Date: Oct 25, 2018

Total Value ($000): $58,339 (100.0% shares, 0.0% debt)

Holdings (31)

— PDL BIOPHARMA INC 21.7%

Value ($000) $12,636 Shares 12,804,000 Est. Cost $0.96 Unrealized —

— FLUIDIGM CORP DEL 16.6%

Value ($000) $9,663 Shares 11,255,000 Est. Cost $0.82 Unrealized —

— EZCORP INC 13.2%

Value ($000) $7,672 Shares 7,762,000 Est. Cost $1.03 Unrealized —

— PROSPECT CAPITAL CORPORATION 10.8%

Value ($000) $6,309 Shares 6,387,000 Est. Cost $1.00 Unrealized —

— APOLLO COML REAL EST FIN INC 7.3%

Value ($000) $4,252 Shares 3,924,000 Est. Cost $1.07 Unrealized —

— ENVESTNET INC 5.3%

Value ($000) $3,086 Shares 2,802,000 Est. Cost $1.04 Unrealized —

AGG ISHARES TR 2.1%

Value ($000) $1,210 Shares 11,463 Est. Cost $108.47 Unrealized —

— OAKTREE SPECIALTY LENDING CO 2.0%

Value ($000) $1,193 Shares 240,445 Est. Cost $4.89 Unrealized —

— SPDR SERIES TRUST 2.0%

Value ($000) $1,180 Shares 32,730 Est. Cost $35.53 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 1.9%

Value ($000) $1,132 Shares 154,415 Est. Cost $2.44 Unrealized +16.8%

— APOLLO GLOBAL MGMT LLC 1.6%

Value ($000) $947 Shares 27,409 Est. Cost $33.46 Unrealized —

— BLACKSTONE GROUP L P 1.6%

Value ($000) $941 Shares 24,724 Est. Cost $32.00 Unrealized —

— OAKTREE CAP GROUP LLC 1.5%

Value ($000) $853 Shares 20,604 Est. Cost $42.09 Unrealized —

— APOLLO INVT CORP 1.4%

Value ($000) $828 Shares 152,176 Est. Cost $5.65 Unrealized —

REM ISHARES TR 1.3%

Value ($000) $745 Shares 17,109 Est. Cost $45.22 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.2%

Value ($000) $724 Shares 4,787 Est. Cost $106.97 Unrealized -5.3%

ARCC ARES CAP CORP 1.1%

Value ($000) $625 Shares 36,385 Est. Cost $7.48 Unrealized +13.3%

SPY SPDR S&P 500 ETF TR 1.0%

Value ($000) $603 Shares 2,075 Est. Cost $266.87 Unrealized —

SLRC SOLAR CAP LTD 1.0%

Value ($000) $594 Shares 27,768 Est. Cost $9.75 Unrealized +6.3%

— OCH ZIFF CAP MGMT GROUP 0.9%

Value ($000) $530 Shares 358,425 Est. Cost $2.50 Unrealized —

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value ($000) $353 Shares 19,442 Est. Cost $10.42 Unrealized +10.1%

— BLACKROCK CORPOR HI YLD FD I 0.5%

Value ($000) $293 Shares 27,843 Est. Cost $10.84 Unrealized —

— ALLIANCEBERNSTEIN GBL HGH IN 0.5%

Value ($000) $286 Shares 24,506 Est. Cost $12.46 Unrealized —

— BLACKROCK CR ALLCTN INC TR 0.5%

Value ($000) $286 Shares 23,359 Est. Cost $13.01 Unrealized —

— PDL BIOPHARMA INC 0.4%

Value ($000) $246 Shares 93,708 Est. Cost $2.72 Unrealized —

VZ VERIZON COMMUNICATIONS INC 0.4%

Value ($000) $208 Shares 3,891 Est. Cost $35.64 Unrealized 0.0%

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value ($000) $203 Shares 15,082 Est. Cost $12.32 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.3%

Value ($000) $203 Shares 12,191 Est. Cost $15.62 Unrealized —

XOM EXXON MOBIL CORP 0.3%

Value ($000) $200 Shares 2,353 Est. Cost $58.19 Unrealized 0.0%

— BLACKROCK MULTI-SECTOR INC T 0.3%

Value ($000) $173 Shares 10,252 Est. Cost $16.87 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value ($000) $165 Shares 16,543 Est. Cost $10.86 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	12,804,000	$12,636	21.7%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,255,000	$9,663	16.6%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,762,000	$7,672	13.2%	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,387,000	$6,309	10.8%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	APOLLO COML REAL EST FIN INC	3,924,000	$4,252	7.3%	$1.07	—	NOTE 5.500% 3/1	03762UAA3
—	ENVESTNET INC	2,802,000	$3,086	5.3%	$1.04	—	NOTE 1.750%12/1	29404KAA4
AGG	ISHARES TR	11,463	$1,210	2.1%	$108.47	—	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	240,445	$1,193	2.0%	$4.89	—	COM	67401p108
—	SPDR SERIES TRUST	32,730	$1,180	2.0%	$35.53	—	BLOOMBERG BRCLYS	78464A417
PSEC	PROSPECT CAPITAL CORPORATION	154,415	$1,132	1.9%	$2.44	+16.8%	COM	74348T102
—	APOLLO GLOBAL MGMT LLC	27,409	$947	1.6%	$33.46	—	CL A SHS	037612306
—	BLACKSTONE GROUP L P	24,724	$941	1.6%	$32.00	—	COM UNIT LTD	09253u108
—	OAKTREE CAP GROUP LLC	20,604	$853	1.5%	$42.09	—	UNIT CL A	674001201
—	APOLLO INVT CORP	152,176	$828	1.4%	$5.65	—	COM	03761U106
REM	ISHARES TR	17,109	$745	1.3%	$45.22	—	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,787	$724	1.2%	$106.97	-5.3%	COM	459200101
ARCC	ARES CAP CORP	36,385	$625	1.1%	$7.48	+13.3%	COM	04010L103
SPY	SPDR S&P 500 ETF TR	2,075	$603	1.0%	$266.87	—	TR UNIT	78462F103
SLRC	SOLAR CAP LTD	27,768	$594	1.0%	$9.75	+6.3%	COM	83413U100
—	OCH ZIFF CAP MGMT GROUP	358,425	$530	0.9%	$2.50	—	CL A	67551U105
CODI	COMPASS DIVERSIFIED HOLDINGS	19,442	$353	0.6%	$10.42	+10.1%	SH BEN INT	20451Q104
—	BLACKROCK CORPOR HI YLD FD I	27,843	$293	0.5%	$10.84	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	24,506	$286	0.5%	$12.46	—	COM	01879R106
—	BLACKROCK CR ALLCTN INC TR	23,359	$286	0.5%	$13.01	—	COM	092508100
—	PDL BIOPHARMA INC	93,708	$246	0.4%	$2.72	—	COM	69329y104
VZ	VERIZON COMMUNICATIONS INC	3,891	$208	0.4%	$35.64	0.0%	COM	92343V104
—	CALAMOS STRATEGIC TOTL RETN	15,082	$203	0.3%	$12.32	—	COM SH BEN INT	128125101
—	ADAMS DIVERSIFIED EQUITY FD	12,191	$203	0.3%	$15.62	—	COM	006212104
XOM	EXXON MOBIL CORP	2,353	$200	0.3%	$58.19	0.0%	COM	30231G102
—	BLACKROCK MULTI-SECTOR INC T	10,252	$173	0.3%	$16.87	—	COM	09258A107
—	TEMPLETON EMERG MKTS INCOME	16,543	$165	0.3%	$10.86	—	COM	880192109