SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q3 2019 (← Previous) (Next →)

Filing Date: Oct 31, 2019

Total Value ($000): $45,543 (100.0% shares, 0.0% debt)

Holdings (34)

— PDL BIOPHARMA INC 21.0%

Value ($000) $9,552 Shares 9,937,000 Est. Cost $0.96 Unrealized —

— COLONY CAP INC 18.3%

Value ($000) $8,314 Shares 8,484,000 Est. Cost $0.91 Unrealized —

— EZCORP INC 12.6%

Value ($000) $5,740 Shares 7,242,000 Est. Cost $0.84 Unrealized —

— PROSPECT CAPITAL CORPORATION 12.5%

Value ($000) $5,671 Shares 5,519,000 Est. Cost $1.00 Unrealized —

— HERCULES CAPITAL INC 10.3%

Value ($000) $4,686 Shares 4,577,000 Est. Cost $0.95 Unrealized —

AGG ISHARES TR 2.9%

Value ($000) $1,335 Shares 11,795 Est. Cost $109.12 Unrealized —

— OAKTREE SPECIALTY LENDING CO 2.8%

Value ($000) $1,257 Shares 242,605 Est. Cost $4.90 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 2.3%

Value ($000) $1,031 Shares 156,513 Est. Cost $2.46 Unrealized +20.3%

REM ISHARES TR 1.6%

Value ($000) $721 Shares 17,123 Est. Cost $45.22 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.5%

Value ($000) $701 Shares 4,821 Est. Cost $106.76 Unrealized -4.0%

— SCULPTOR CAP MGMT 1.5%

Value ($000) $699 Shares 35,861 Est. Cost $19.49 Unrealized —

SPY SPDR S&P 500 ETF TR 0.9%

Value ($000) $431 Shares 1,453 Est. Cost $292.97 Unrealized —

EFA ISHARES TR 0.8%

Value ($000) $385 Shares 5,900 Est. Cost $65.79 Unrealized —

AAPL APPLE INC 0.8%

Value ($000) $383 Shares 1,710 Est. Cost $45.96 Unrealized +9.3%

CODI COMPASS DIVERSIFIED HOLDINGS 0.8%

Value ($000) $383 Shares 19,451 Est. Cost $10.42 Unrealized +29.2%

— APOLLO GLOBAL MGMT INC 0.8%

Value ($000) $371 Shares 9,820 Est. Cost $37.78 Unrealized —

SLRC SOLAR CAP LTD 0.8%

Value ($000) $362 Shares 17,516 Est. Cost $9.84 Unrealized +9.5%

— BLACKROCK CR ALLCTN INC TR 0.7%

Value ($000) $332 Shares 24,406 Est. Cost $13.02 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.7%

Value ($000) $317 Shares 29,464 Est. Cost $10.79 Unrealized —

— ALLIANCEBERNSTEIN GBL HGH IN 0.7%

Value ($000) $311 Shares 25,926 Est. Cost $12.34 Unrealized —

CVX CHEVRON CORP NEW 0.6%

Value ($000) $275 Shares 2,321 Est. Cost $85.03 Unrealized +7.6%

XOM EXXON MOBIL CORP 0.5%

Value ($000) $239 Shares 3,379 Est. Cost $57.51 Unrealized -6.5%

VZ VERIZON COMMUNICATIONS INC 0.5%

Value ($000) $237 Shares 3,919 Est. Cost $35.94 Unrealized +12.5%

— HANCOCK JOHN TAX-ADV DIV INC 0.5%

Value ($000) $220 Shares 7,726 Est. Cost $28.48 Unrealized —

— EATON VANCE TAX ADVT DIV INC 0.5%

Value ($000) $209 Shares 8,519 Est. Cost $24.53 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.5%

Value ($000) $206 Shares 13,033 Est. Cost $15.53 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value ($000) $203 Shares 15,968 Est. Cost $12.37 Unrealized —

ARCC ARES CAP CORP 0.4%

Value ($000) $192 Shares 10,326 Est. Cost $7.48 Unrealized +34.7%

— BLACKROCK MULTI-SECTOR INC T 0.4%

Value ($000) $187 Shares 10,889 Est. Cost $17.17 Unrealized —

— PDL BIOPHARMA INC 0.4%

Value ($000) $176 Shares 81,713 Est. Cost $2.74 Unrealized —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value ($000) $158 Shares 17,408 Est. Cost $10.62 Unrealized —

— FLUIDIGM CORP DEL 0.2%

Value ($000) $110 Shares 115,000 Est. Cost $0.82 Unrealized —

PBI PITNEY BOWES INC 0.2%

Value ($000) $90 Shares 22,307 Est. Cost $7.20 Unrealized -44.4%

— WISDOMTREE INVTS INC 0.1%

Value ($000) $59 Shares 11,371 Est. Cost $5.19 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	9,937,000	$9,552	21.0%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	8,484,000	$8,314	18.3%	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	EZCORP INC	7,242,000	$5,740	12.6%	$0.84	—	NOTE 2.375% 5/0	302301AE6
—	PROSPECT CAPITAL CORPORATION	5,519,000	$5,671	12.5%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,577,000	$4,686	10.3%	$0.95	—	DBCV 4.375% 2/0	427096AF9
AGG	ISHARES TR	11,795	$1,335	2.9%	$109.12	—	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	242,605	$1,257	2.8%	$4.90	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	156,513	$1,031	2.3%	$2.46	+20.3%	COM	74348T102
REM	ISHARES TR	17,123	$721	1.6%	$45.22	—	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,821	$701	1.5%	$106.76	-4.0%	COM	459200101
—	SCULPTOR CAP MGMT	35,861	$699	1.5%	$19.49	—	COM CL A	811246107
SPY	SPDR S&P 500 ETF TR	1,453	$431	0.9%	$292.97	—	TR UNIT	78462F103
EFA	ISHARES TR	5,900	$385	0.8%	$65.79	—	MSCI EAFE ETF	464287465
AAPL	APPLE INC	1,710	$383	0.8%	$45.96	+9.3%	COM	037833100
CODI	COMPASS DIVERSIFIED HOLDINGS	19,451	$383	0.8%	$10.42	+29.2%	SH BEN INT	20451Q104
—	APOLLO GLOBAL MGMT INC	9,820	$371	0.8%	$37.78	—	COM CL A	03768E105
SLRC	SOLAR CAP LTD	17,516	$362	0.8%	$9.84	+9.5%	COM	83413U100
—	BLACKROCK CR ALLCTN INC TR	24,406	$332	0.7%	$13.02	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	29,464	$317	0.7%	$10.79	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	25,926	$311	0.7%	$12.34	—	COM	01879R106
CVX	CHEVRON CORP NEW	2,321	$275	0.6%	$85.03	+7.6%	COM	166764100
XOM	EXXON MOBIL CORP	3,379	$239	0.5%	$57.51	-6.5%	COM	30231G102
VZ	VERIZON COMMUNICATIONS INC	3,919	$237	0.5%	$35.94	+12.5%	COM	92343V104
—	HANCOCK JOHN TAX-ADV DIV INC	7,726	$220	0.5%	$28.48	—	COM	41013v100
—	EATON VANCE TAX ADVT DIV INC	8,519	$209	0.5%	$24.53	—	COM	27828g107
—	ADAMS DIVERSIFIED EQUITY FD	13,033	$206	0.5%	$15.53	—	COM	006212104
—	CALAMOS STRATEGIC TOTL RETN	15,968	$203	0.4%	$12.37	—	COM SH BEN INT	128125101
ARCC	ARES CAP CORP	10,326	$192	0.4%	$7.48	+34.7%	COM	04010L103
—	BLACKROCK MULTI-SECTOR INC T	10,889	$187	0.4%	$17.17	—	COM	09258A107
—	PDL BIOPHARMA INC	81,713	$176	0.4%	$2.74	—	COM	69329y104
—	TEMPLETON EMERG MKTS INCOME	17,408	$158	0.3%	$10.62	—	COM	880192109
—	FLUIDIGM CORP DEL	115,000	$110	0.2%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
PBI	PITNEY BOWES INC	22,307	$90	0.2%	$7.20	-44.4%	COM	724479100
—	WISDOMTREE INVTS INC	11,371	$59	0.1%	$5.19	—	COM	97717p104