SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q4 2018 (← Previous) (Next →)

Filing Date: Jan 29, 2019

Total Value: $49.3M (100.0% shares, 0.0% debt)

Holdings (33)

— PDL BIOPHARMA INC 25.8%

Value $12.72M Shares 12,562,000 Share Price $1.01 Est. Cost/Share $0.96 Unrealized @ Report Date —

— EZCORP INC 15.1%

Value $7.456M Shares 7,659,000 Share Price $0.97 Est. Cost/Share $1.03 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 12.2%

Value $6.032M Shares 6,308,000 Share Price $0.96 Est. Cost/Share $1.00 Unrealized @ Report Date —

— COLONY CAP INC 10.1%

Value $4.964M Shares 5,661,000 Share Price $0.88 Est. Cost/Share $0.88 Unrealized @ Report Date —

— HERCULES CAPITAL INC 9.4%

Value $4.612M Shares 4,873,000 Share Price $0.95 Est. Cost/Share $0.95 Unrealized @ Report Date —

— ENVESTNET INC 5.8%

Value $2.841M Shares 2,802,000 Share Price $1.01 Est. Cost/Share $1.04 Unrealized @ Report Date —

— SPDR SERIES TRUST 2.2%

Value $1.103M Shares 32,830 Share Price $33.60 Est. Cost/Share $35.53 Unrealized @ Report Date —

AGG ISHARES TR 2.2%

Value $1.064M Shares 9,989 Share Price $106.52 Est. Cost/Share $108.54 Unrealized @ Report Date -1.9%

— OAKTREE SPECIALTY LENDING CO 2.0%

Value $997K Shares 235,766 Share Price $4.23 Est. Cost/Share $4.89 Unrealized @ Report Date —

PSEC PROSPECT CAPITAL CORPORATION 1.9%

Value $953K Shares 151,073 Share Price $6.31 * Est. Cost/Share $2.44 Unrealized @ Report Date +8.8%

— OAKTREE CAP GROUP LLC 1.7%

Value $819K Shares 20,608 Share Price $39.74 Est. Cost/Share $42.09 Unrealized @ Report Date —

REM ISHARES TR 1.4%

Value $684K Shares 17,115 Share Price $39.96 Est. Cost/Share $45.98 Unrealized @ Report Date -13.1%

IBM INTERNATIONAL BUSINESS MACHS 1.1%

Value $535K Shares 4,703 Share Price $113.76 * Est. Cost/Share $106.97 Unrealized @ Report Date -25.1%

— OCH ZIFF CAP MGMT GROUP 0.7%

Value $330K Shares 358,480 Share Price $0.92 Est. Cost/Share $2.50 Unrealized @ Report Date —

SLRC SOLAR CAP LTD 0.6%

Value $304K Shares 15,829 Share Price $19.21 * Est. Cost/Share $9.75 Unrealized @ Report Date -1.1%

— BLACKSTONE GROUP L P 0.6%

Value $291K Shares 9,765 Share Price $29.80 Est. Cost/Share $32.00 Unrealized @ Report Date —

AAPL APPLE INC 0.5%

Value $256K Shares 1,623 Share Price $157.73 * Est. Cost/Share $46.01 Unrealized @ Report Date -18.5%

— APOLLO COML REAL EST FIN INC 0.5%

Value $249K Shares 244,000 Share Price $1.02 Est. Cost/Share $1.07 Unrealized @ Report Date —

CODI COMPASS DIVERSIFIED HOLDINGS 0.5%

Value $242K Shares 19,444 Share Price $12.45 * Est. Cost/Share $10.42 Unrealized @ Report Date -20.8%

— PDL BIOPHARMA INC 0.5%

Value $242K Shares 83,359 Share Price $2.90 Est. Cost/Share $2.72 Unrealized @ Report Date —

— APOLLO GLOBAL MGMT LLC 0.5%

Value $239K Shares 9,758 Share Price $24.49 Est. Cost/Share $33.46 Unrealized @ Report Date —

CVX CHEVRON CORP NEW 0.5%

Value $238K Shares 2,188 Share Price $108.78 * Est. Cost/Share $84.74 Unrealized @ Report Date -5.6%

ARCC ARES CAP CORP 0.5%

Value $226K Shares 14,520 Share Price $15.56 * Est. Cost/Share $7.48 Unrealized @ Report Date +7.4%

— BLACKROCK CR ALLCTN INC TR 0.5%

Value $224K Shares 20,044 Share Price $11.18 Est. Cost/Share $13.01 Unrealized @ Report Date —

— BLACKROCK CORPOR HI YLD FD I 0.5%

Value $222K Shares 23,926 Share Price $9.28 Est. Cost/Share $10.84 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN GBL HGH IN 0.4%

Value $221K Shares 21,014 Share Price $10.52 Est. Cost/Share $12.46 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 0.4%

Value $221K Shares 241,000 Share Price $0.92 Est. Cost/Share $0.82 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.4%

Value $214K Shares 3,144 Share Price $68.07 * Est. Cost/Share $57.74 Unrealized @ Report Date -14.7%

VZ VERIZON COMMUNICATIONS INC 0.4%

Value $205K Shares 3,640 Share Price $56.32 * Est. Cost/Share $35.64 Unrealized @ Report Date +7.5%

PBI PITNEY BOWES INC 0.4%

Value $188K Shares 22,307 Share Price $8.43 * Est. Cost/Share $7.20 Unrealized @ Report Date -18.0%

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value $139K Shares 13,123 Share Price $10.59 Est. Cost/Share $12.32 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value $137K Shares 14,231 Share Price $9.63 Est. Cost/Share $10.86 Unrealized @ Report Date —

— ADAMS DIVERSIFIED EQUITY FD 0.3%

Value $135K Shares 10,685 Share Price $12.63 Est. Cost/Share $15.62 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	PDL BIOPHARMA INC	12,562,000	$12.72M	25.8%	$1.01	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	EZCORP INC	7,659,000	$7.456M	15.1%	$0.97	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,308,000	$6.032M	12.2%	$0.96	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	5,661,000	$4.964M	10.1%	$0.88	$0.88	—	NOTE 5.000% 4/1	19624RAA4
—	HERCULES CAPITAL INC	4,873,000	$4.612M	9.4%	$0.95	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	ENVESTNET INC	2,802,000	$2.841M	5.8%	$1.01	$1.04	—	NOTE 1.750%12/1	29404KAA4
—	SPDR SERIES TRUST	32,830	$1.103M	2.2%	$33.60	$35.53	—	BLOOMBERG BRCLYS	78464A417
AGG	ISHARES TR	9,989	$1.064M	2.2%	$106.52	$108.54	-1.9%	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	235,766	$997K	2.0%	$4.23	$4.89	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	151,073	$953K	1.9%	$6.31 *	$2.44	+8.8%	COM	74348T102
—	OAKTREE CAP GROUP LLC	20,608	$819K	1.7%	$39.74	$42.09	—	UNIT CL A	674001201
REM	ISHARES TR	17,115	$684K	1.4%	$39.96	$45.98	-13.1%	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,703	$535K	1.1%	$113.76 *	$106.97	-25.1%	COM	459200101
—	OCH ZIFF CAP MGMT GROUP	358,480	$330K	0.7%	$0.92	$2.50	—	CL A	67551U105
SLRC	SOLAR CAP LTD	15,829	$304K	0.6%	$19.21 *	$9.75	-1.1%	COM	83413U100
—	BLACKSTONE GROUP L P	9,765	$291K	0.6%	$29.80	$32.00	—	COM UNIT LTD	09253u108
AAPL	APPLE INC	1,623	$256K	0.5%	$157.73 *	$46.01	-18.5%	COM	037833100
—	APOLLO COML REAL EST FIN INC	244,000	$249K	0.5%	$1.02	$1.07	—	NOTE 5.500% 3/1	03762UAA3
CODI	COMPASS DIVERSIFIED HOLDINGS	19,444	$242K	0.5%	$12.45 *	$10.42	-20.8%	SH BEN INT	20451Q104
—	PDL BIOPHARMA INC	83,359	$242K	0.5%	$2.90	$2.72	—	COM	69329y104
—	APOLLO GLOBAL MGMT LLC	9,758	$239K	0.5%	$24.49	$33.46	—	CL A SHS	037612306
CVX	CHEVRON CORP NEW	2,188	$238K	0.5%	$108.78 *	$84.74	-5.6%	COM	166764100
ARCC	ARES CAP CORP	14,520	$226K	0.5%	$15.56 *	$7.48	+7.4%	COM	04010L103
—	BLACKROCK CR ALLCTN INC TR	20,044	$224K	0.5%	$11.18	$13.01	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	23,926	$222K	0.5%	$9.28	$10.84	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	21,014	$221K	0.4%	$10.52	$12.46	—	COM	01879R106
—	FLUIDIGM CORP DEL	241,000	$221K	0.4%	$0.92	$0.82	—	NOTE 2.750% 2/0	34385PAA6
XOM	EXXON MOBIL CORP	3,144	$214K	0.4%	$68.07 *	$57.74	-14.7%	COM	30231G102
VZ	VERIZON COMMUNICATIONS INC	3,640	$205K	0.4%	$56.32 *	$35.64	+7.5%	COM	92343V104
PBI	PITNEY BOWES INC	22,307	$188K	0.4%	$8.43 *	$7.20	-18.0%	COM	724479100
—	CALAMOS STRATEGIC TOTL RETN	13,123	$139K	0.3%	$10.59	$12.32	—	COM SH BEN INT	128125101
—	TEMPLETON EMERG MKTS INCOME	14,231	$137K	0.3%	$9.63	$10.86	—	COM	880192109
—	ADAMS DIVERSIFIED EQUITY FD	10,685	$135K	0.3%	$12.63	$15.62	—	COM	006212104