SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q1 2019 (← Previous) (Next →)

Filing Date: May 10, 2019

Total Value: $51.64M (100.0% shares, 0.0% debt)

Holdings (34)

— PDL BIOPHARMA INC 22.8%

Value $11.76M Shares 10,278,000 Share Price $1.14 Est. Cost/Share $0.96 Unrealized @ Report Date —

— EZCORP INC 13.7%

Value $7.098M Shares 7,119,000 Share Price $1.00 Est. Cost/Share $1.03 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 11.7%

Value $6.027M Shares 6,117,000 Share Price $0.99 Est. Cost/Share $1.00 Unrealized @ Report Date —

— COLONY CAP INC 11.6%

Value $5.977M Shares 6,347,000 Share Price $0.94 Est. Cost/Share $0.88 Unrealized @ Report Date —

— HERCULES CAPITAL INC 9.0%

Value $4.633M Shares 4,744,000 Share Price $0.98 Est. Cost/Share $0.95 Unrealized @ Report Date —

— ENVESTNET INC 6.0%

Value $3.103M Shares 2,802,000 Share Price $1.11 Est. Cost/Share $1.04 Unrealized @ Report Date —

AGG ISHARES TR 3.3%

Value $1.716M Shares 15,730 Share Price $109.09 Est. Cost/Share $108.06 Unrealized @ Report Date +0.9%

— OAKTREE SPECIALTY LENDING CO 2.4%

Value $1.236M Shares 238,639 Share Price $5.18 Est. Cost/Share $4.90 Unrealized @ Report Date —

— OAKTREE CAP GROUP LLC 2.0%

Value $1.023M Shares 20,612 Share Price $49.63 Est. Cost/Share $42.09 Unrealized @ Report Date —

PSEC PROSPECT CAPITAL CORPORATION 1.9%

Value $999K Shares 153,207 Share Price $6.52 * Est. Cost/Share $2.45 Unrealized @ Report Date +15.2%

REM ISHARES TR 1.4%

Value $742K Shares 17,117 Share Price $43.35 Est. Cost/Share $45.98 Unrealized @ Report Date -5.7%

IBM INTERNATIONAL BUSINESS MACHS 1.3%

Value $672K Shares 4,760 Share Price $141.18 * Est. Cost/Share $106.82 Unrealized @ Report Date -5.8%

HYG ISHARES TR 1.1%

Value $558K Shares 6,452 Share Price $86.48 Est. Cost/Share $84.91 Unrealized @ Report Date +1.8%

— SPDR SERIES TRUST 1.1%

Value $552K Shares 15,337 Share Price $35.99 Est. Cost/Share $35.53 Unrealized @ Report Date —

VWO VANGUARD INTL EQUITY INDEX F 1.0%

Value $535K Shares 12,579 Share Price $42.53 Est. Cost/Share $41.18 Unrealized @ Report Date +3.2%

BND VANGUARD BD INDEX FD INC 1.0%

Value $526K Shares 6,482 Share Price $81.15 Est. Cost/Share $79.86 Unrealized @ Report Date +1.7%

SLRC SOLAR CAP LTD 0.7%

Value $344K Shares 16,488 Share Price $20.86 * Est. Cost/Share $9.78 Unrealized @ Report Date +9.1%

— BLACKSTONE GROUP L P 0.7%

Value $342K Shares 9,767 Share Price $35.02 Est. Cost/Share $32.00 Unrealized @ Report Date —

— PDL BIOPHARMA INC 0.6%

Value $318K Shares 85,368 Share Price $3.73 Est. Cost/Share $2.74 Unrealized @ Report Date —

AAPL APPLE INC 0.6%

Value $317K Shares 1,670 Share Price $189.82 * Est. Cost/Share $45.86 Unrealized @ Report Date -1.1%

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value $305K Shares 19,446 Share Price $15.68 * Est. Cost/Share $10.42 Unrealized @ Report Date +2.2%

— APOLLO GLOBAL MGMT LLC 0.5%

Value $276K Shares 9,783 Share Price $28.21 Est. Cost/Share $33.46 Unrealized @ Report Date —

CVX CHEVRON CORP NEW 0.5%

Value $276K Shares 2,243 Share Price $123.05 * Est. Cost/Share $84.81 Unrealized @ Report Date +7.9%

— BLACKROCK CR ALLCTN INC TR 0.5%

Value $272K Shares 21,925 Share Price $12.41 Est. Cost/Share $12.96 Unrealized @ Report Date —

— BLACKROCK CORPOR HI YLD FD I 0.5%

Value $269K Shares 26,213 Share Price $10.26 Est. Cost/Share $10.79 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN GBL HGH IN 0.5%

Value $267K Shares 23,013 Share Price $11.60 Est. Cost/Share $12.39 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.5%

Value $261K Shares 3,235 Share Price $80.68 * Est. Cost/Share $57.68 Unrealized @ Report Date +2.3%

VZ VERIZON COMMUNICATIONS INC 0.4%

Value $221K Shares 3,745 Share Price $59.01 * Est. Cost/Share $35.73 Unrealized @ Report Date +13.9%

PBI PITNEY BOWES INC 0.4%

Value $188K Shares 22,307 Share Price $8.43 * Est. Cost/Share $7.20 Unrealized @ Report Date -4.6%

— CALAMOS STRATEGIC TOTL RETN 0.3%

Value $178K Shares 14,337 Share Price $12.42 Est. Cost/Share $12.33 Unrealized @ Report Date —

ARCC ARES CAP CORP 0.3%

Value $177K Shares 10,326 Share Price $17.14 * Est. Cost/Share $7.48 Unrealized @ Report Date +21.1%

— ADAMS DIVERSIFIED EQUITY FD 0.3%

Value $170K Shares 11,777 Share Price $14.43 Est. Cost/Share $15.51 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value $159K Shares 15,481 Share Price $10.27 Est. Cost/Share $10.81 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 0.3%

Value $146K Shares 156,000 Share Price $0.94 Est. Cost/Share $0.82 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	PDL BIOPHARMA INC	10,278,000	$11.76M	22.8%	$1.14	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	EZCORP INC	7,119,000	$7.098M	13.7%	$1.00	$1.03	—	NOTE 2.125% 6/1	302301AB2
—	PROSPECT CAPITAL CORPORATION	6,117,000	$6.027M	11.7%	$0.99	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	COLONY CAP INC	6,347,000	$5.977M	11.6%	$0.94	$0.88	—	NOTE 5.000% 4/1	19624RAA4
—	HERCULES CAPITAL INC	4,744,000	$4.633M	9.0%	$0.98	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	ENVESTNET INC	2,802,000	$3.103M	6.0%	$1.11	$1.04	—	NOTE 1.750%12/1	29404KAA4
AGG	ISHARES TR	15,730	$1.716M	3.3%	$109.09	$108.06	+0.9%	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	238,639	$1.236M	2.4%	$5.18	$4.90	—	COM	67401p108
—	OAKTREE CAP GROUP LLC	20,612	$1.023M	2.0%	$49.63	$42.09	—	UNIT CL A	674001201
PSEC	PROSPECT CAPITAL CORPORATION	153,207	$999K	1.9%	$6.52 *	$2.45	+15.2%	COM	74348T102
REM	ISHARES TR	17,117	$742K	1.4%	$43.35	$45.98	-5.7%	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,760	$672K	1.3%	$141.18 *	$106.82	-5.8%	COM	459200101
HYG	ISHARES TR	6,452	$558K	1.1%	$86.48	$84.91	+1.8%	IBOXX HI YD ETF	464288513
—	SPDR SERIES TRUST	15,337	$552K	1.1%	$35.99	$35.53	—	BLOOMBERG BRCLYS	78464A417
VWO	VANGUARD INTL EQUITY INDEX F	12,579	$535K	1.0%	$42.53	$41.18	+3.2%	FTSE EMR MKT ETF	922042858
BND	VANGUARD BD INDEX FD INC	6,482	$526K	1.0%	$81.15	$79.86	+1.7%	TOTAL BND MRKT	921937835
SLRC	SOLAR CAP LTD	16,488	$344K	0.7%	$20.86 *	$9.78	+9.1%	COM	83413U100
—	BLACKSTONE GROUP L P	9,767	$342K	0.7%	$35.02	$32.00	—	COM UNIT LTD	09253u108
—	PDL BIOPHARMA INC	85,368	$318K	0.6%	$3.73	$2.74	—	COM	69329y104
AAPL	APPLE INC	1,670	$317K	0.6%	$189.82 *	$45.86	-1.1%	COM	037833100
CODI	COMPASS DIVERSIFIED HOLDINGS	19,446	$305K	0.6%	$15.68 *	$10.42	+2.2%	SH BEN INT	20451Q104
—	APOLLO GLOBAL MGMT LLC	9,783	$276K	0.5%	$28.21	$33.46	—	CL A SHS	037612306
CVX	CHEVRON CORP NEW	2,243	$276K	0.5%	$123.05 *	$84.81	+7.9%	COM	166764100
—	BLACKROCK CR ALLCTN INC TR	21,925	$272K	0.5%	$12.41	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	26,213	$269K	0.5%	$10.26	$10.79	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	23,013	$267K	0.5%	$11.60	$12.39	—	COM	01879R106
XOM	EXXON MOBIL CORP	3,235	$261K	0.5%	$80.68 *	$57.68	+2.3%	COM	30231G102
VZ	VERIZON COMMUNICATIONS INC	3,745	$221K	0.4%	$59.01 *	$35.73	+13.9%	COM	92343V104
PBI	PITNEY BOWES INC	22,307	$188K	0.4%	$8.43 *	$7.20	-4.6%	COM	724479100
—	CALAMOS STRATEGIC TOTL RETN	14,337	$178K	0.3%	$12.42	$12.33	—	COM SH BEN INT	128125101
ARCC	ARES CAP CORP	10,326	$177K	0.3%	$17.14 *	$7.48	+21.1%	COM	04010L103
—	ADAMS DIVERSIFIED EQUITY FD	11,777	$170K	0.3%	$14.43	$15.51	—	COM	006212104
—	TEMPLETON EMERG MKTS INCOME	15,481	$159K	0.3%	$10.27	$10.81	—	COM	880192109
—	FLUIDIGM CORP DEL	156,000	$146K	0.3%	$0.94	$0.82	—	NOTE 2.750% 2/0	34385PAA6