SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q2 2019 (← Previous) (Next →)

Filing Date: Aug 5, 2019

Total Value: $40.99M (100.0% shares, 0.0% debt)

Holdings (32)

— PDL BIOPHARMA INC 25.8%

Value $10.59M Shares 10,092,000 Share Price $1.05 Est. Cost/Share $0.96 Unrealized @ Report Date —

— COLONY CAP INC 14.7%

Value $6.02M Shares 6,271,000 Share Price $0.96 Est. Cost/Share $0.88 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 13.8%

Value $5.672M Shares 5,641,000 Share Price $1.01 Est. Cost/Share $1.00 Unrealized @ Report Date —

— HERCULES CAPITAL INC 11.4%

Value $4.673M Shares 4,671,000 Share Price $1.00 Est. Cost/Share $0.95 Unrealized @ Report Date —

— EZCORP INC 6.5%

Value $2.667M Shares 2,956,000 Share Price $0.90 Est. Cost/Share $0.90 Unrealized @ Report Date —

— OAKTREE SPECIALTY LENDING CO 3.2%

Value $1.294M Shares 238,704 Share Price $5.42 Est. Cost/Share $4.90 Unrealized @ Report Date —

AGG ISHARES TR 2.9%

Value $1.188M Shares 10,668 Share Price $111.36 Est. Cost/Share $108.06 Unrealized @ Report Date +3.0%

PSEC PROSPECT CAPITAL CORPORATION 2.4%

Value $1.001M Shares 153,287 Share Price $6.53 * Est. Cost/Share $2.45 Unrealized @ Report Date +18.5%

REM ISHARES TR 1.8%

Value $722K Shares 17,120 Share Price $42.17 Est. Cost/Share $45.98 Unrealized @ Report Date -8.3%

IBM INTERNATIONAL BUSINESS MACHS 1.6%

Value $656K Shares 4,760 Share Price $137.82 * Est. Cost/Share $106.82 Unrealized @ Report Date -6.9%

SPY SPDR S&P 500 ETF TR 1.4%

Value $554K Shares 1,891 Share Price $292.97 Est. Cost/Share $287.96 Unrealized @ Report Date +1.8%

VWO VANGUARD INTL EQUITY INDEX F 1.3%

Value $535K Shares 12,591 Share Price $42.49 Est. Cost/Share $41.18 Unrealized @ Report Date +3.3%

EFA ISHARES TR 1.2%

Value $509K Shares 7,737 Share Price $65.79 Est. Cost/Share $65.44 Unrealized @ Report Date +0.4%

— BLACKSTONE GROUP L P 1.1%

Value $434K Shares 9,768 Share Price $44.43 Est. Cost/Share $32.00 Unrealized @ Report Date —

CODI COMPASS DIVERSIFIED HOLDINGS 0.9%

Value $372K Shares 19,449 Share Price $19.13 * Est. Cost/Share $10.42 Unrealized @ Report Date +27.3%

SLRC SOLAR CAP LTD 0.8%

Value $339K Shares 16,505 Share Price $20.54 * Est. Cost/Share $9.78 Unrealized @ Report Date +9.7%

— APOLLO GLOBAL MGMT LLC 0.8%

Value $336K Shares 9,803 Share Price $34.28 Est. Cost/Share $33.46 Unrealized @ Report Date —

AAPL APPLE INC 0.8%

Value $331K Shares 1,671 Share Price $198.08 * Est. Cost/Share $45.86 Unrealized @ Report Date +3.4%

— BLACKROCK CR ALLCTN INC TR 0.7%

Value $285K Shares 21,965 Share Price $12.98 Est. Cost/Share $12.96 Unrealized @ Report Date —

— BLACKROCK CORPOR HI YLD FD I 0.7%

Value $282K Shares 26,274 Share Price $10.73 Est. Cost/Share $10.79 Unrealized @ Report Date —

CVX CHEVRON CORP NEW 0.7%

Value $279K Shares 2,244 Share Price $124.33 * Est. Cost/Share $84.81 Unrealized @ Report Date +10.1%

— ALLIANCEBERNSTEIN GBL HGH IN 0.7%

Value $272K Shares 23,058 Share Price $11.80 Est. Cost/Share $12.39 Unrealized @ Report Date —

— PDL BIOPHARMA INC 0.7%

Value $268K Shares 85,368 Share Price $3.14 Est. Cost/Share $2.74 Unrealized @ Report Date —

XOM EXXON MOBIL CORP 0.6%

Value $248K Shares 3,236 Share Price $76.64 * Est. Cost/Share $57.68 Unrealized @ Report Date -1.9%

— OAKTREE CAP GROUP LLC 0.5%

Value $216K Shares 4,355 Share Price $49.60 Est. Cost/Share $42.09 Unrealized @ Report Date —

VZ VERIZON COMMUNICATIONS INC 0.5%

Value $214K Shares 3,747 Share Price $57.11 * Est. Cost/Share $35.73 Unrealized @ Report Date +11.2%

PBI PITNEY BOWES INC 0.5%

Value $188K Shares 22,307 Share Price $8.43 * Est. Cost/Share $7.20 Unrealized @ Report Date -40.6%

ARCC ARES CAP CORP 0.5%

Value $185K Shares 10,326 Share Price $17.92 * Est. Cost/Share $7.48 Unrealized @ Report Date +29.7%

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value $183K Shares 14,367 Share Price $12.74 Est. Cost/Share $12.33 Unrealized @ Report Date —

— ADAMS DIVERSIFIED EQUITY FD 0.4%

Value $182K Shares 11,781 Share Price $15.45 Est. Cost/Share $15.51 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.4%

Value $159K Shares 15,516 Share Price $10.25 Est. Cost/Share $10.81 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 0.3%

Value $133K Shares 139,000 Share Price $0.96 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	10,092,000	$10.59M	25.8%	$1.05	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	6,271,000	$6.02M	14.7%	$0.96	$0.88	—	NOTE 5.000% 4/1	19624RAA4
—	PROSPECT CAPITAL CORPORATION	5,641,000	$5.672M	13.8%	$1.01	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,671,000	$4.673M	11.4%	$1.00	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	EZCORP INC	2,956,000	$2.667M	6.5%	$0.90	$0.90	—	NOTE 2.375% 5/0	302301AE6
—	OAKTREE SPECIALTY LENDING CO	238,704	$1.294M	3.2%	$5.42	$4.90	—	COM	67401p108
AGG	ISHARES TR	10,668	$1.188M	2.9%	$111.36	$108.06	+3.0%	CORE US AGGBD ET	464287226
PSEC	PROSPECT CAPITAL CORPORATION	153,287	$1.001M	2.4%	$6.53 *	$2.45	+18.5%	COM	74348T102
REM	ISHARES TR	17,120	$722K	1.8%	$42.17	$45.98	-8.3%	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,760	$656K	1.6%	$137.82 *	$106.82	-6.9%	COM	459200101
SPY	SPDR S&P 500 ETF TR	1,891	$554K	1.4%	$292.97	$287.96	+1.8%	TR UNIT	78462F103
VWO	VANGUARD INTL EQUITY INDEX F	12,591	$535K	1.3%	$42.49	$41.18	+3.3%	FTSE EMR MKT ETF	922042858
EFA	ISHARES TR	7,737	$509K	1.2%	$65.79	$65.44	+0.4%	MSCI EAFE ETF	464287465
—	BLACKSTONE GROUP L P	9,768	$434K	1.1%	$44.43	$32.00	—	COM UNIT LTD	09253u108
CODI	COMPASS DIVERSIFIED HOLDINGS	19,449	$372K	0.9%	$19.13 *	$10.42	+27.3%	SH BEN INT	20451Q104
SLRC	SOLAR CAP LTD	16,505	$339K	0.8%	$20.54 *	$9.78	+9.7%	COM	83413U100
—	APOLLO GLOBAL MGMT LLC	9,803	$336K	0.8%	$34.28	$33.46	—	CL A SHS	037612306
AAPL	APPLE INC	1,671	$331K	0.8%	$198.08 *	$45.86	+3.4%	COM	037833100
—	BLACKROCK CR ALLCTN INC TR	21,965	$285K	0.7%	$12.98	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	26,274	$282K	0.7%	$10.73	$10.79	—	COM	09255P107
CVX	CHEVRON CORP NEW	2,244	$279K	0.7%	$124.33 *	$84.81	+10.1%	COM	166764100
—	ALLIANCEBERNSTEIN GBL HGH IN	23,058	$272K	0.7%	$11.80	$12.39	—	COM	01879R106
—	PDL BIOPHARMA INC	85,368	$268K	0.7%	$3.14	$2.74	—	COM	69329y104
XOM	EXXON MOBIL CORP	3,236	$248K	0.6%	$76.64 *	$57.68	-1.9%	COM	30231G102
—	OAKTREE CAP GROUP LLC	4,355	$216K	0.5%	$49.60	$42.09	—	UNIT CL A	674001201
VZ	VERIZON COMMUNICATIONS INC	3,747	$214K	0.5%	$57.11 *	$35.73	+11.2%	COM	92343V104
PBI	PITNEY BOWES INC	22,307	$188K	0.5%	$8.43 *	$7.20	-40.6%	COM	724479100
ARCC	ARES CAP CORP	10,326	$185K	0.5%	$17.92 *	$7.48	+29.7%	COM	04010L103
—	CALAMOS STRATEGIC TOTL RETN	14,367	$183K	0.4%	$12.74	$12.33	—	COM SH BEN INT	128125101
—	ADAMS DIVERSIFIED EQUITY FD	11,781	$182K	0.4%	$15.45	$15.51	—	COM	006212104
—	TEMPLETON EMERG MKTS INCOME	15,516	$159K	0.4%	$10.25	$10.81	—	COM	880192109
—	FLUIDIGM CORP DEL	139,000	$133K	0.3%	$0.96	$0.82	—	NOTE 2.750% 2/0	34385PAA6