SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q4 2018 (← Previous) (Next →)

Filing Date: Jan 29, 2019

Total Value ($000): $49,304 (100.0% shares, 0.0% debt)

Holdings (33)

— PDL BIOPHARMA INC 25.8%

Value ($000) $12,721 Shares 12,562,000 Est. Cost $0.96 Unrealized —

— EZCORP INC 15.1%

Value ($000) $7,456 Shares 7,659,000 Est. Cost $1.03 Unrealized —

— PROSPECT CAPITAL CORPORATION 12.2%

Value ($000) $6,032 Shares 6,308,000 Est. Cost $1.00 Unrealized —

— COLONY CAP INC 10.1%

Value ($000) $4,964 Shares 5,661,000 Est. Cost $0.88 Unrealized —

— HERCULES CAPITAL INC 9.4%

Value ($000) $4,612 Shares 4,873,000 Est. Cost $0.95 Unrealized —

— ENVESTNET INC 5.8%

Value ($000) $2,841 Shares 2,802,000 Est. Cost $1.04 Unrealized —

— SPDR SERIES TRUST 2.2%

Value ($000) $1,103 Shares 32,830 Est. Cost $35.53 Unrealized —

AGG ISHARES TR 2.2%

Value ($000) $1,064 Shares 9,989 Est. Cost $108.47 Unrealized —

— OAKTREE SPECIALTY LENDING CO 2.0%

Value ($000) $997 Shares 235,766 Est. Cost $4.89 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 1.9%

Value ($000) $953 Shares 151,073 Est. Cost $2.44 Unrealized +14.3%

— OAKTREE CAP GROUP LLC 1.7%

Value ($000) $819 Shares 20,608 Est. Cost $42.09 Unrealized —

REM ISHARES TR 1.4%

Value ($000) $684 Shares 17,115 Est. Cost $45.22 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.1%

Value ($000) $535 Shares 4,703 Est. Cost $106.97 Unrealized -17.8%

— OCH ZIFF CAP MGMT GROUP 0.7%

Value ($000) $330 Shares 358,480 Est. Cost $2.50 Unrealized —

SLRC SOLAR CAP LTD 0.6%

Value ($000) $304 Shares 15,829 Est. Cost $9.75 Unrealized +4.4%

— BLACKSTONE GROUP L P 0.6%

Value ($000) $291 Shares 9,765 Est. Cost $32.00 Unrealized —

AAPL APPLE INC 0.5%

Value ($000) $256 Shares 1,623 Est. Cost $46.01 Unrealized 0.0%

— APOLLO COML REAL EST FIN INC 0.5%

Value ($000) $249 Shares 244,000 Est. Cost $1.07 Unrealized —

CODI COMPASS DIVERSIFIED HOLDINGS 0.5%

Value ($000) $242 Shares 19,444 Est. Cost $10.42 Unrealized -2.5%

— PDL BIOPHARMA INC 0.5%

Value ($000) $242 Shares 83,359 Est. Cost $2.72 Unrealized —

— APOLLO GLOBAL MGMT LLC 0.5%

Value ($000) $239 Shares 9,758 Est. Cost $33.46 Unrealized —

CVX CHEVRON CORP NEW 0.5%

Value ($000) $238 Shares 2,188 Est. Cost $84.74 Unrealized 0.0%

ARCC ARES CAP CORP 0.5%

Value ($000) $226 Shares 14,520 Est. Cost $7.48 Unrealized +11.8%

— BLACKROCK CR ALLCTN INC TR 0.5%

Value ($000) $224 Shares 20,044 Est. Cost $13.01 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.5%

Value ($000) $222 Shares 23,926 Est. Cost $10.84 Unrealized —

— ALLIANCEBERNSTEIN GBL HGH IN 0.4%

Value ($000) $221 Shares 21,014 Est. Cost $12.46 Unrealized —

— FLUIDIGM CORP DEL 0.4%

Value ($000) $221 Shares 241,000 Est. Cost $0.82 Unrealized —

XOM EXXON MOBIL CORP 0.4%

Value ($000) $214 Shares 3,144 Est. Cost $57.74 Unrealized -2.3%

VZ VERIZON COMMUNICATIONS INC 0.4%

Value ($000) $205 Shares 3,640 Est. Cost $35.64 Unrealized +8.4%

PBI PITNEY BOWES INC 0.4%

Value ($000) $188 Shares 22,307 Est. Cost $7.20 Unrealized 0.0%

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value ($000) $139 Shares 13,123 Est. Cost $12.32 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value ($000) $137 Shares 14,231 Est. Cost $10.86 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.3%

Value ($000) $135 Shares 10,685 Est. Cost $15.62 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	12,562,000	$12,721	25.8%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	EZCORP INC	7,659,000	$7,456	15.1%	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,308,000	$6,032	12.2%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	5,661,000	$4,964	10.1%	$0.88	—	NOTE 5.000% 4/1	19624RAA4
—	HERCULES CAPITAL INC	4,873,000	$4,612	9.4%	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	ENVESTNET INC	2,802,000	$2,841	5.8%	$1.04	—	NOTE 1.750%12/1	29404KAA4
—	SPDR SERIES TRUST	32,830	$1,103	2.2%	$35.53	—	BLOOMBERG BRCLYS	78464A417
AGG	ISHARES TR	9,989	$1,064	2.2%	$108.47	—	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	235,766	$997	2.0%	$4.89	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	151,073	$953	1.9%	$2.44	+14.3%	COM	74348T102
—	OAKTREE CAP GROUP LLC	20,608	$819	1.7%	$42.09	—	UNIT CL A	674001201
REM	ISHARES TR	17,115	$684	1.4%	$45.22	—	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,703	$535	1.1%	$106.97	-17.8%	COM	459200101
—	OCH ZIFF CAP MGMT GROUP	358,480	$330	0.7%	$2.50	—	CL A	67551U105
SLRC	SOLAR CAP LTD	15,829	$304	0.6%	$9.75	+4.4%	COM	83413U100
—	BLACKSTONE GROUP L P	9,765	$291	0.6%	$32.00	—	COM UNIT LTD	09253u108
AAPL	APPLE INC	1,623	$256	0.5%	$46.01	0.0%	COM	037833100
—	APOLLO COML REAL EST FIN INC	244,000	$249	0.5%	$1.07	—	NOTE 5.500% 3/1	03762UAA3
CODI	COMPASS DIVERSIFIED HOLDINGS	19,444	$242	0.5%	$10.42	-2.5%	SH BEN INT	20451Q104
—	PDL BIOPHARMA INC	83,359	$242	0.5%	$2.72	—	COM	69329y104
—	APOLLO GLOBAL MGMT LLC	9,758	$239	0.5%	$33.46	—	CL A SHS	037612306
CVX	CHEVRON CORP NEW	2,188	$238	0.5%	$84.74	0.0%	COM	166764100
ARCC	ARES CAP CORP	14,520	$226	0.5%	$7.48	+11.8%	COM	04010L103
—	BLACKROCK CR ALLCTN INC TR	20,044	$224	0.5%	$13.01	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	23,926	$222	0.5%	$10.84	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	21,014	$221	0.4%	$12.46	—	COM	01879R106
—	FLUIDIGM CORP DEL	241,000	$221	0.4%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
XOM	EXXON MOBIL CORP	3,144	$214	0.4%	$57.74	-2.3%	COM	30231G102
VZ	VERIZON COMMUNICATIONS INC	3,640	$205	0.4%	$35.64	+8.4%	COM	92343V104
PBI	PITNEY BOWES INC	22,307	$188	0.4%	$7.20	0.0%	COM	724479100
—	CALAMOS STRATEGIC TOTL RETN	13,123	$139	0.3%	$12.32	—	COM SH BEN INT	128125101
—	TEMPLETON EMERG MKTS INCOME	14,231	$137	0.3%	$10.86	—	COM	880192109
—	ADAMS DIVERSIFIED EQUITY FD	10,685	$135	0.3%	$15.62	—	COM	006212104