SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q2 2019 (← Previous) (Next →)

Filing Date: Aug 5, 2019

Total Value ($000): $40,991 (100.0% shares, 0.0% debt)

Holdings (32)

— PDL BIOPHARMA INC 25.8%

Value ($000) $10,594 Shares 10,092,000 Est. Cost $0.96 Unrealized —

— COLONY CAP INC 14.7%

Value ($000) $6,020 Shares 6,271,000 Est. Cost $0.88 Unrealized —

— PROSPECT CAPITAL CORPORATION 13.8%

Value ($000) $5,672 Shares 5,641,000 Est. Cost $1.00 Unrealized —

— HERCULES CAPITAL INC 11.4%

Value ($000) $4,673 Shares 4,671,000 Est. Cost $0.95 Unrealized —

— EZCORP INC 6.5%

Value ($000) $2,667 Shares 2,956,000 Est. Cost $0.90 Unrealized —

— OAKTREE SPECIALTY LENDING CO 3.2%

Value ($000) $1,294 Shares 238,704 Est. Cost $4.90 Unrealized —

AGG ISHARES TR 2.9%

Value ($000) $1,188 Shares 10,668 Est. Cost $108.70 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 2.4%

Value ($000) $1,001 Shares 153,287 Est. Cost $2.45 Unrealized +18.0%

REM ISHARES TR 1.8%

Value ($000) $722 Shares 17,120 Est. Cost $45.22 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.6%

Value ($000) $656 Shares 4,760 Est. Cost $106.82 Unrealized -7.7%

SPY SPDR S&P 500 ETF TR 1.4%

Value ($000) $554 Shares 1,891 Est. Cost $292.97 Unrealized —

VWO VANGUARD INTL EQUITY INDEX F 1.3%

Value ($000) $535 Shares 12,591 Est. Cost $42.53 Unrealized —

EFA ISHARES TR 1.2%

Value ($000) $509 Shares 7,737 Est. Cost $65.79 Unrealized —

— BLACKSTONE GROUP L P 1.1%

Value ($000) $434 Shares 9,768 Est. Cost $32.00 Unrealized —

CODI COMPASS DIVERSIFIED HOLDINGS 0.9%

Value ($000) $372 Shares 19,449 Est. Cost $10.42 Unrealized +13.4%

SLRC SOLAR CAP LTD 0.8%

Value ($000) $339 Shares 16,505 Est. Cost $9.78 Unrealized +10.5%

— APOLLO GLOBAL MGMT LLC 0.8%

Value ($000) $336 Shares 9,803 Est. Cost $33.46 Unrealized —

AAPL APPLE INC 0.8%

Value ($000) $331 Shares 1,671 Est. Cost $45.86 Unrealized +1.7%

— BLACKROCK CR ALLCTN INC TR 0.7%

Value ($000) $285 Shares 21,965 Est. Cost $12.96 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.7%

Value ($000) $282 Shares 26,274 Est. Cost $10.79 Unrealized —

CVX CHEVRON CORP NEW 0.7%

Value ($000) $279 Shares 2,244 Est. Cost $84.81 Unrealized +6.4%

— ALLIANCEBERNSTEIN GBL HGH IN 0.7%

Value ($000) $272 Shares 23,058 Est. Cost $12.39 Unrealized —

— PDL BIOPHARMA INC 0.7%

Value ($000) $268 Shares 85,368 Est. Cost $2.74 Unrealized —

XOM EXXON MOBIL CORP 0.6%

Value ($000) $248 Shares 3,236 Est. Cost $57.68 Unrealized -1.4%

— OAKTREE CAP GROUP LLC 0.5%

Value ($000) $216 Shares 4,355 Est. Cost $42.09 Unrealized —

VZ VERIZON COMMUNICATIONS INC 0.5%

Value ($000) $214 Shares 3,747 Est. Cost $35.73 Unrealized +12.0%

PBI PITNEY BOWES INC 0.5%

Value ($000) $188 Shares 22,307 Est. Cost $7.20 Unrealized -25.5%

ARCC ARES CAP CORP 0.5%

Value ($000) $185 Shares 10,326 Est. Cost $7.48 Unrealized +25.5%

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value ($000) $183 Shares 14,367 Est. Cost $12.33 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.4%

Value ($000) $182 Shares 11,781 Est. Cost $15.51 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.4%

Value ($000) $159 Shares 15,516 Est. Cost $10.81 Unrealized —

— FLUIDIGM CORP DEL 0.3%

Value ($000) $133 Shares 139,000 Est. Cost $0.82 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	10,092,000	$10,594	25.8%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	6,271,000	$6,020	14.7%	$0.88	—	NOTE 5.000% 4/1	19624RAA4
—	PROSPECT CAPITAL CORPORATION	5,641,000	$5,672	13.8%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,671,000	$4,673	11.4%	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	EZCORP INC	2,956,000	$2,667	6.5%	$0.90	—	NOTE 2.375% 5/0	302301AE6
—	OAKTREE SPECIALTY LENDING CO	238,704	$1,294	3.2%	$4.90	—	COM	67401p108
AGG	ISHARES TR	10,668	$1,188	2.9%	$108.70	—	CORE US AGGBD ET	464287226
PSEC	PROSPECT CAPITAL CORPORATION	153,287	$1,001	2.4%	$2.45	+18.0%	COM	74348T102
REM	ISHARES TR	17,120	$722	1.8%	$45.22	—	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,760	$656	1.6%	$106.82	-7.7%	COM	459200101
SPY	SPDR S&P 500 ETF TR	1,891	$554	1.4%	$292.97	—	TR UNIT	78462F103
VWO	VANGUARD INTL EQUITY INDEX F	12,591	$535	1.3%	$42.53	—	FTSE EMR MKT ETF	922042858
EFA	ISHARES TR	7,737	$509	1.2%	$65.79	—	MSCI EAFE ETF	464287465
—	BLACKSTONE GROUP L P	9,768	$434	1.1%	$32.00	—	COM UNIT LTD	09253u108
CODI	COMPASS DIVERSIFIED HOLDINGS	19,449	$372	0.9%	$10.42	+13.4%	SH BEN INT	20451Q104
SLRC	SOLAR CAP LTD	16,505	$339	0.8%	$9.78	+10.5%	COM	83413U100
—	APOLLO GLOBAL MGMT LLC	9,803	$336	0.8%	$33.46	—	CL A SHS	037612306
AAPL	APPLE INC	1,671	$331	0.8%	$45.86	+1.7%	COM	037833100
—	BLACKROCK CR ALLCTN INC TR	21,965	$285	0.7%	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	26,274	$282	0.7%	$10.79	—	COM	09255P107
CVX	CHEVRON CORP NEW	2,244	$279	0.7%	$84.81	+6.4%	COM	166764100
—	ALLIANCEBERNSTEIN GBL HGH IN	23,058	$272	0.7%	$12.39	—	COM	01879R106
—	PDL BIOPHARMA INC	85,368	$268	0.7%	$2.74	—	COM	69329y104
XOM	EXXON MOBIL CORP	3,236	$248	0.6%	$57.68	-1.4%	COM	30231G102
—	OAKTREE CAP GROUP LLC	4,355	$216	0.5%	$42.09	—	UNIT CL A	674001201
VZ	VERIZON COMMUNICATIONS INC	3,747	$214	0.5%	$35.73	+12.0%	COM	92343V104
PBI	PITNEY BOWES INC	22,307	$188	0.5%	$7.20	-25.5%	COM	724479100
ARCC	ARES CAP CORP	10,326	$185	0.5%	$7.48	+25.5%	COM	04010L103
—	CALAMOS STRATEGIC TOTL RETN	14,367	$183	0.4%	$12.33	—	COM SH BEN INT	128125101
—	ADAMS DIVERSIFIED EQUITY FD	11,781	$182	0.4%	$15.51	—	COM	006212104
—	TEMPLETON EMERG MKTS INCOME	15,516	$159	0.4%	$10.81	—	COM	880192109
—	FLUIDIGM CORP DEL	139,000	$133	0.3%	$0.82	—	NOTE 2.750% 2/0	34385PAA6