SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q3 2018 (← Previous) (Next →)

Filing Date: Oct 25, 2018

Total Value: $58.34M (100.0% shares, 0.0% debt)

Holdings (31)

— PDL BIOPHARMA INC 21.7%

Value $12.64M Shares 12,804,000 Share Price $0.99 Est. Cost/Share $0.96 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 16.6%

Value $9.663M Shares 11,255,000 Share Price $0.86 Est. Cost/Share $0.82 Unrealized @ Report Date —

— EZCORP INC 13.2%

Value $7.672M Shares 7,762,000 Share Price $0.99 Est. Cost/Share $1.03 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 10.8%

Value $6.309M Shares 6,387,000 Share Price $0.99 Est. Cost/Share $1.00 Unrealized @ Report Date —

— APOLLO COML REAL EST FIN INC 7.3%

Value $4.252M Shares 3,924,000 Share Price $1.08 Est. Cost/Share $1.07 Unrealized @ Report Date —

— ENVESTNET INC 5.3%

Value $3.086M Shares 2,802,000 Share Price $1.10 Est. Cost/Share $1.04 Unrealized @ Report Date —

AGG ISHARES TR 2.1%

Value $1.21M Shares 11,463 Share Price $105.56 Est. Cost/Share $108.54 Unrealized @ Report Date -2.8%

— OAKTREE SPECIALTY LENDING CO 2.0%

Value $1.193M Shares 240,445 Share Price $4.96 Est. Cost/Share $4.89 Unrealized @ Report Date —

— SPDR SERIES TRUST 2.0%

Value $1.18M Shares 32,730 Share Price $36.05 Est. Cost/Share $35.53 Unrealized @ Report Date —

PSEC PROSPECT CAPITAL CORPORATION 1.9%

Value $1.132M Shares 154,415 Share Price $7.33 * Est. Cost/Share $2.44 Unrealized @ Report Date +23.0%

— APOLLO GLOBAL MGMT LLC 1.6%

Value $947K Shares 27,409 Share Price $34.55 Est. Cost/Share $33.46 Unrealized @ Report Date —

— BLACKSTONE GROUP L P 1.6%

Value $941K Shares 24,724 Share Price $38.06 Est. Cost/Share $32.00 Unrealized @ Report Date —

— OAKTREE CAP GROUP LLC 1.5%

Value $853K Shares 20,604 Share Price $41.40 Est. Cost/Share $42.09 Unrealized @ Report Date —

— APOLLO INVT CORP 1.4%

Value $828K Shares 152,176 Share Price $5.44 Est. Cost/Share $5.65 Unrealized @ Report Date —

REM ISHARES TR 1.3%

Value $745K Shares 17,109 Share Price $43.54 Est. Cost/Share $45.98 Unrealized @ Report Date -5.3%

IBM INTERNATIONAL BUSINESS MACHS 1.2%

Value $724K Shares 4,787 Share Price $151.24 * Est. Cost/Share $106.97 Unrealized @ Report Date -1.6%

ARCC ARES CAP CORP 1.1%

Value $625K Shares 36,385 Share Price $17.18 * Est. Cost/Share $7.48 Unrealized @ Report Date +15.7%

SPY SPDR S&P 500 ETF TR 1.0%

Value $603K Shares 2,075 Share Price $290.60 Est. Cost/Share $260.05 Unrealized @ Report Date +11.8%

SLRC SOLAR CAP LTD 1.0%

Value $594K Shares 27,768 Share Price $21.39 * Est. Cost/Share $9.75 Unrealized @ Report Date +7.9%

— OCH ZIFF CAP MGMT GROUP 0.9%

Value $530K Shares 358,425 Share Price $1.48 Est. Cost/Share $2.50 Unrealized @ Report Date —

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value $353K Shares 19,442 Share Price $18.16 * Est. Cost/Share $10.42 Unrealized @ Report Date +13.1%

— BLACKROCK CORPOR HI YLD FD I 0.5%

Value $293K Shares 27,843 Share Price $10.52 Est. Cost/Share $10.84 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN GBL HGH IN 0.5%

Value $286K Shares 24,506 Share Price $11.67 Est. Cost/Share $12.46 Unrealized @ Report Date —

— BLACKROCK CR ALLCTN INC TR 0.5%

Value $286K Shares 23,359 Share Price $12.24 Est. Cost/Share $13.01 Unrealized @ Report Date —

— PDL BIOPHARMA INC 0.4%

Value $246K Shares 93,708 Share Price $2.63 Est. Cost/Share $2.72 Unrealized @ Report Date —

VZ VERIZON COMMUNICATIONS INC 0.4%

Value $208K Shares 3,891 Share Price $53.46 * Est. Cost/Share $35.64 Unrealized @ Report Date +0.9%

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value $203K Shares 15,082 Share Price $13.46 Est. Cost/Share $12.32 Unrealized @ Report Date —

— ADAMS DIVERSIFIED EQUITY FD 0.3%

Value $203K Shares 12,191 Share Price $16.65 Est. Cost/Share $15.62 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.3%

Value $200K Shares 2,353 Share Price $85.00 * Est. Cost/Share $58.19 Unrealized @ Report Date +4.5%

— BLACKROCK MULTI-SECTOR INC T 0.3%

Value $173K Shares 10,252 Share Price $16.87 Est. Cost/Share $16.87 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value $165K Shares 16,543 Share Price $9.97 Est. Cost/Share $10.86 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	PDL BIOPHARMA INC	12,804,000	$12.64M	21.7%	$0.99	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	FLUIDIGM CORP DEL	11,255,000	$9.663M	16.6%	$0.86	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	EZCORP INC	7,762,000	$7.672M	13.2%	$0.99	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,387,000	$6.309M	10.8%	$0.99	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	APOLLO COML REAL EST FIN INC	3,924,000	$4.252M	7.3%	$1.08	$1.07	—	NOTE 5.500% 3/1	03762UAA3
—	ENVESTNET INC	2,802,000	$3.086M	5.3%	$1.10	$1.04	—	NOTE 1.750%12/1	29404KAA4
AGG	ISHARES TR	11,463	$1.21M	2.1%	$105.56	$108.54	-2.8%	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	240,445	$1.193M	2.0%	$4.96	$4.89	—	COM	67401p108
—	SPDR SERIES TRUST	32,730	$1.18M	2.0%	$36.05	$35.53	—	BLOOMBERG BRCLYS	78464A417
PSEC	PROSPECT CAPITAL CORPORATION	154,415	$1.132M	1.9%	$7.33 *	$2.44	+23.0%	COM	74348T102
—	APOLLO GLOBAL MGMT LLC	27,409	$947K	1.6%	$34.55	$33.46	—	CL A SHS	037612306
—	BLACKSTONE GROUP L P	24,724	$941K	1.6%	$38.06	$32.00	—	COM UNIT LTD	09253u108
—	OAKTREE CAP GROUP LLC	20,604	$853K	1.5%	$41.40	$42.09	—	UNIT CL A	674001201
—	APOLLO INVT CORP	152,176	$828K	1.4%	$5.44	$5.65	—	COM	03761U106
REM	ISHARES TR	17,109	$745K	1.3%	$43.54	$45.98	-5.3%	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,787	$724K	1.2%	$151.24 *	$106.97	-1.6%	COM	459200101
ARCC	ARES CAP CORP	36,385	$625K	1.1%	$17.18 *	$7.48	+15.7%	COM	04010L103
SPY	SPDR S&P 500 ETF TR	2,075	$603K	1.0%	$290.60	$260.05	+11.8%	TR UNIT	78462F103
SLRC	SOLAR CAP LTD	27,768	$594K	1.0%	$21.39 *	$9.75	+7.9%	COM	83413U100
—	OCH ZIFF CAP MGMT GROUP	358,425	$530K	0.9%	$1.48	$2.50	—	CL A	67551U105
CODI	COMPASS DIVERSIFIED HOLDINGS	19,442	$353K	0.6%	$18.16 *	$10.42	+13.1%	SH BEN INT	20451Q104
—	BLACKROCK CORPOR HI YLD FD I	27,843	$293K	0.5%	$10.52	$10.84	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	24,506	$286K	0.5%	$11.67	$12.46	—	COM	01879R106
—	BLACKROCK CR ALLCTN INC TR	23,359	$286K	0.5%	$12.24	$13.01	—	COM	092508100
—	PDL BIOPHARMA INC	93,708	$246K	0.4%	$2.63	$2.72	—	COM	69329y104
VZ	VERIZON COMMUNICATIONS INC	3,891	$208K	0.4%	$53.46 *	$35.64	+0.9%	COM	92343V104
—	CALAMOS STRATEGIC TOTL RETN	15,082	$203K	0.3%	$13.46	$12.32	—	COM SH BEN INT	128125101
—	ADAMS DIVERSIFIED EQUITY FD	12,191	$203K	0.3%	$16.65	$15.62	—	COM	006212104
XOM	EXXON MOBIL CORP	2,353	$200K	0.3%	$85.00 *	$58.19	+4.5%	COM	30231G102
—	BLACKROCK MULTI-SECTOR INC T	10,252	$173K	0.3%	$16.87	$16.87	—	COM	09258A107
—	TEMPLETON EMERG MKTS INCOME	16,543	$165K	0.3%	$9.97	$10.86	—	COM	880192109