SMH CAPITAL ADVISORS INC Diversified Active

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 Est. Cost $0.96 Unrealized —

— EZCORP INC 15.1%

Value $7.456M Shares 7,659,000 Est. Cost $1.03 Unrealized —

— PROSPECT CAPITAL CORPORATION 12.2%

Value $6.032M Shares 6,308,000 Est. Cost $1.00 Unrealized —

— COLONY CAP INC 10.1%

Value $4.964M Shares 5,661,000 Est. Cost $0.88 Unrealized —

— HERCULES CAPITAL INC 9.4%

Value $4.612M Shares 4,873,000 Est. Cost $0.95 Unrealized —

— ENVESTNET INC 5.8%

Value $2.841M Shares 2,802,000 Est. Cost $1.04 Unrealized —

— SPDR SERIES TRUST 2.2%

Value $1.103M Shares 32,830 Est. Cost $35.53 Unrealized —

AGG ISHARES TR 2.2%

Value $1.064M Shares 9,989 Est. Cost $108.47 Unrealized —

— OAKTREE SPECIALTY LENDING CO 2.0%

Value $997K Shares 235,766 Est. Cost $4.89 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 1.9%

Value $953K Shares 151,073 Est. Cost $2.44 Unrealized +14.3%

— OAKTREE CAP GROUP LLC 1.7%

Value $819K Shares 20,608 Est. Cost $42.09 Unrealized —

REM ISHARES TR 1.4%

Value $684K Shares 17,115 Est. Cost $45.22 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.1%

Value $535K Shares 4,703 Est. Cost $106.97 Unrealized -17.8%

— OCH ZIFF CAP MGMT GROUP 0.7%

Value $330K Shares 358,480 Est. Cost $2.50 Unrealized —

SLRC SOLAR CAP LTD 0.6%

Value $304K Shares 15,829 Est. Cost $9.75 Unrealized +4.4%

— BLACKSTONE GROUP L P 0.6%

Value $291K Shares 9,765 Est. Cost $32.00 Unrealized —

AAPL APPLE INC 0.5%

Value $256K Shares 1,623 Est. Cost $46.01 Unrealized 0.0%

— APOLLO COML REAL EST FIN INC 0.5%

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

— PDL BIOPHARMA INC 0.5%

Value $242K Shares 83,359 Est. Cost $2.72 Unrealized —

CODI COMPASS DIVERSIFIED HOLDINGS 0.5%

Value $242K Shares 19,444 Est. Cost $10.42 Unrealized -2.5%

— APOLLO GLOBAL MGMT LLC 0.5%

Value $239K Shares 9,758 Est. Cost $33.46 Unrealized —

CVX CHEVRON CORP NEW 0.5%

Value $238K Shares 2,188 Est. Cost $84.74 Unrealized 0.0%

ARCC ARES CAP CORP 0.5%

Value $226K Shares 14,520 Est. Cost $7.48 Unrealized +11.8%

— BLACKROCK CR ALLCTN INC TR 0.5%

Value $224K Shares 20,044 Est. Cost $13.01 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.5%

Value $222K Shares 23,926 Est. Cost $10.84 Unrealized —

— FLUIDIGM CORP DEL 0.4%

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

— ALLIANCEBERNSTEIN GBL HGH IN 0.4%

Value $221K Shares 21,014 Est. Cost $12.46 Unrealized —

XOM EXXON MOBIL CORP 0.4%

Value $214K Shares 3,144 Est. Cost $57.74 Unrealized -2.3%

VZ VERIZON COMMUNICATIONS INC 0.4%

Value $205K Shares 3,640 Est. Cost $35.64 Unrealized +8.4%

PBI PITNEY BOWES INC 0.4%

Value $188K Shares 22,307 Est. Cost $7.20 Unrealized 0.0%

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value $139K Shares 13,123 Est. Cost $12.32 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value $137K Shares 14,231 Est. Cost $10.86 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.3%

Value $135K Shares 10,685 Est. Cost $15.62 Unrealized —

Ticker	Issuer	Shares	Value	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	12,562,000	$12.72M	25.8%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	EZCORP INC	7,659,000	$7.456M	15.1%	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,308,000	$6.032M	12.2%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	5,661,000	$4.964M	10.1%	$0.88	—	NOTE 5.000% 4/1	19624RAA4
—	HERCULES CAPITAL INC	4,873,000	$4.612M	9.4%	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	ENVESTNET INC	2,802,000	$2.841M	5.8%	$1.04	—	NOTE 1.750%12/1	29404KAA4
—	SPDR SERIES TRUST	32,830	$1.103M	2.2%	$35.53	—	BLOOMBERG BRCLYS	78464A417
AGG	ISHARES TR	9,989	$1.064M	2.2%	$108.47	—	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	235,766	$997K	2.0%	$4.89	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	151,073	$953K	1.9%	$2.44	+14.3%	COM	74348T102
—	OAKTREE CAP GROUP LLC	20,608	$819K	1.7%	$42.09	—	UNIT CL A	674001201
REM	ISHARES TR	17,115	$684K	1.4%	$45.22	—	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,703	$535K	1.1%	$106.97	-17.8%	COM	459200101
—	OCH ZIFF CAP MGMT GROUP	358,480	$330K	0.7%	$2.50	—	CL A	67551U105
SLRC	SOLAR CAP LTD	15,829	$304K	0.6%	$9.75	+4.4%	COM	83413U100
—	BLACKSTONE GROUP L P	9,765	$291K	0.6%	$32.00	—	COM UNIT LTD	09253u108
AAPL	APPLE INC	1,623	$256K	0.5%	$46.01	0.0%	COM	037833100
—	APOLLO COML REAL EST FIN INC	244,000	$249K	0.5%	$1.07	—	NOTE 5.500% 3/1	03762UAA3
—	PDL BIOPHARMA INC	83,359	$242K	0.5%	$2.72	—	COM	69329y104
CODI	COMPASS DIVERSIFIED HOLDINGS	19,444	$242K	0.5%	$10.42	-2.5%	SH BEN INT	20451Q104
—	APOLLO GLOBAL MGMT LLC	9,758	$239K	0.5%	$33.46	—	CL A SHS	037612306
CVX	CHEVRON CORP NEW	2,188	$238K	0.5%	$84.74	0.0%	COM	166764100
ARCC	ARES CAP CORP	14,520	$226K	0.5%	$7.48	+11.8%	COM	04010L103
—	BLACKROCK CR ALLCTN INC TR	20,044	$224K	0.5%	$13.01	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	23,926	$222K	0.5%	$10.84	—	COM	09255P107
—	FLUIDIGM CORP DEL	241,000	$221K	0.4%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	ALLIANCEBERNSTEIN GBL HGH IN	21,014	$221K	0.4%	$12.46	—	COM	01879R106
XOM	EXXON MOBIL CORP	3,144	$214K	0.4%	$57.74	-2.3%	COM	30231G102
VZ	VERIZON COMMUNICATIONS INC	3,640	$205K	0.4%	$35.64	+8.4%	COM	92343V104
PBI	PITNEY BOWES INC	22,307	$188K	0.4%	$7.20	0.0%	COM	724479100
—	CALAMOS STRATEGIC TOTL RETN	13,123	$139K	0.3%	$12.32	—	COM SH BEN INT	128125101
—	TEMPLETON EMERG MKTS INCOME	14,231	$137K	0.3%	$10.86	—	COM	880192109
—	ADAMS DIVERSIFIED EQUITY FD	10,685	$135K	0.3%	$15.62	—	COM	006212104