SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q1 2019 (← Previous) (Next →)

Filing Date: May 10, 2019

Total Value ($000): $51,638 (100.0% shares, 0.0% debt)

Holdings (34)

— PDL BIOPHARMA INC 22.8%

Value ($000) $11,755 Shares 10,278,000 Est. Cost $0.96 Unrealized —

— EZCORP INC 13.7%

Value ($000) $7,098 Shares 7,119,000 Est. Cost $1.03 Unrealized —

— PROSPECT CAPITAL CORPORATION 11.7%

Value ($000) $6,027 Shares 6,117,000 Est. Cost $1.00 Unrealized —

— COLONY CAP INC 11.6%

Value ($000) $5,977 Shares 6,347,000 Est. Cost $0.88 Unrealized —

— HERCULES CAPITAL INC 9.0%

Value ($000) $4,633 Shares 4,744,000 Est. Cost $0.95 Unrealized —

— ENVESTNET INC 6.0%

Value ($000) $3,103 Shares 2,802,000 Est. Cost $1.04 Unrealized —

AGG ISHARES TR 3.3%

Value ($000) $1,716 Shares 15,730 Est. Cost $108.70 Unrealized —

— OAKTREE SPECIALTY LENDING CO 2.4%

Value ($000) $1,236 Shares 238,639 Est. Cost $4.90 Unrealized —

— OAKTREE CAP GROUP LLC 2.0%

Value ($000) $1,023 Shares 20,612 Est. Cost $42.09 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 1.9%

Value ($000) $999 Shares 153,207 Est. Cost $2.45 Unrealized +15.5%

REM ISHARES TR 1.4%

Value ($000) $742 Shares 17,117 Est. Cost $45.22 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.3%

Value ($000) $672 Shares 4,760 Est. Cost $106.82 Unrealized -11.4%

HYG ISHARES TR 1.1%

Value ($000) $558 Shares 6,452 Est. Cost $86.48 Unrealized —

— SPDR SERIES TRUST 1.1%

Value ($000) $552 Shares 15,337 Est. Cost $35.53 Unrealized —

VWO VANGUARD INTL EQUITY INDEX F 1.0%

Value ($000) $535 Shares 12,579 Est. Cost $42.53 Unrealized —

BND VANGUARD BD INDEX FD INC 1.0%

Value ($000) $526 Shares 6,482 Est. Cost $81.15 Unrealized —

SLRC SOLAR CAP LTD 0.7%

Value ($000) $344 Shares 16,488 Est. Cost $9.78 Unrealized +6.9%

— BLACKSTONE GROUP L P 0.7%

Value ($000) $342 Shares 9,767 Est. Cost $32.00 Unrealized —

— PDL BIOPHARMA INC 0.6%

Value ($000) $318 Shares 85,368 Est. Cost $2.74 Unrealized —

AAPL APPLE INC 0.6%

Value ($000) $317 Shares 1,670 Est. Cost $45.86 Unrealized -11.8%

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value ($000) $305 Shares 19,446 Est. Cost $10.42 Unrealized -0.5%

— APOLLO GLOBAL MGMT LLC 0.5%

Value ($000) $276 Shares 9,783 Est. Cost $33.46 Unrealized —

CVX CHEVRON CORP NEW 0.5%

Value ($000) $276 Shares 2,243 Est. Cost $84.81 Unrealized +3.1%

— BLACKROCK CR ALLCTN INC TR 0.5%

Value ($000) $272 Shares 21,925 Est. Cost $12.96 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.5%

Value ($000) $269 Shares 26,213 Est. Cost $10.79 Unrealized —

— ALLIANCEBERNSTEIN GBL HGH IN 0.5%

Value ($000) $267 Shares 23,013 Est. Cost $12.39 Unrealized —

XOM EXXON MOBIL CORP 0.5%

Value ($000) $261 Shares 3,235 Est. Cost $57.68 Unrealized -3.9%

VZ VERIZON COMMUNICATIONS INC 0.4%

Value ($000) $221 Shares 3,745 Est. Cost $35.73 Unrealized +9.0%

PBI PITNEY BOWES INC 0.4%

Value ($000) $188 Shares 22,307 Est. Cost $7.20 Unrealized -4.0%

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value ($000) $178 Shares 14,337 Est. Cost $12.33 Unrealized —

ARCC ARES CAP CORP 0.3%

Value ($000) $177 Shares 10,326 Est. Cost $7.48 Unrealized +16.0%

— ADAMS DIVERSIFIED EQUITY FD 0.3%

Value ($000) $170 Shares 11,777 Est. Cost $15.51 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value ($000) $159 Shares 15,481 Est. Cost $10.81 Unrealized —

— FLUIDIGM CORP DEL 0.3%

Value ($000) $146 Shares 156,000 Est. Cost $0.82 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	10,278,000	$11,755	22.8%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	EZCORP INC	7,119,000	$7,098	13.7%	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,117,000	$6,027	11.7%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	6,347,000	$5,977	11.6%	$0.88	—	NOTE 5.000% 4/1	19624RAA4
—	HERCULES CAPITAL INC	4,744,000	$4,633	9.0%	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	ENVESTNET INC	2,802,000	$3,103	6.0%	$1.04	—	NOTE 1.750%12/1	29404KAA4
AGG	ISHARES TR	15,730	$1,716	3.3%	$108.70	—	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	238,639	$1,236	2.4%	$4.90	—	COM	67401p108
—	OAKTREE CAP GROUP LLC	20,612	$1,023	2.0%	$42.09	—	UNIT CL A	674001201
PSEC	PROSPECT CAPITAL CORPORATION	153,207	$999	1.9%	$2.45	+15.5%	COM	74348T102
REM	ISHARES TR	17,117	$742	1.4%	$45.22	—	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,760	$672	1.3%	$106.82	-11.4%	COM	459200101
HYG	ISHARES TR	6,452	$558	1.1%	$86.48	—	IBOXX HI YD ETF	464288513
—	SPDR SERIES TRUST	15,337	$552	1.1%	$35.53	—	BLOOMBERG BRCLYS	78464A417
VWO	VANGUARD INTL EQUITY INDEX F	12,579	$535	1.0%	$42.53	—	FTSE EMR MKT ETF	922042858
BND	VANGUARD BD INDEX FD INC	6,482	$526	1.0%	$81.15	—	TOTAL BND MRKT	921937835
SLRC	SOLAR CAP LTD	16,488	$344	0.7%	$9.78	+6.9%	COM	83413U100
—	BLACKSTONE GROUP L P	9,767	$342	0.7%	$32.00	—	COM UNIT LTD	09253u108
—	PDL BIOPHARMA INC	85,368	$318	0.6%	$2.74	—	COM	69329y104
AAPL	APPLE INC	1,670	$317	0.6%	$45.86	-11.8%	COM	037833100
CODI	COMPASS DIVERSIFIED HOLDINGS	19,446	$305	0.6%	$10.42	-0.5%	SH BEN INT	20451Q104
—	APOLLO GLOBAL MGMT LLC	9,783	$276	0.5%	$33.46	—	CL A SHS	037612306
CVX	CHEVRON CORP NEW	2,243	$276	0.5%	$84.81	+3.1%	COM	166764100
—	BLACKROCK CR ALLCTN INC TR	21,925	$272	0.5%	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	26,213	$269	0.5%	$10.79	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	23,013	$267	0.5%	$12.39	—	COM	01879R106
XOM	EXXON MOBIL CORP	3,235	$261	0.5%	$57.68	-3.9%	COM	30231G102
VZ	VERIZON COMMUNICATIONS INC	3,745	$221	0.4%	$35.73	+9.0%	COM	92343V104
PBI	PITNEY BOWES INC	22,307	$188	0.4%	$7.20	-4.0%	COM	724479100
—	CALAMOS STRATEGIC TOTL RETN	14,337	$178	0.3%	$12.33	—	COM SH BEN INT	128125101
ARCC	ARES CAP CORP	10,326	$177	0.3%	$7.48	+16.0%	COM	04010L103
—	ADAMS DIVERSIFIED EQUITY FD	11,777	$170	0.3%	$15.51	—	COM	006212104
—	TEMPLETON EMERG MKTS INCOME	15,481	$159	0.3%	$10.81	—	COM	880192109
—	FLUIDIGM CORP DEL	156,000	$146	0.3%	$0.82	—	NOTE 2.750% 2/0	34385PAA6