SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q3 2019 (← Previous) (Next →)

Filing Date: Oct 31, 2019

Total Value: $45.54M (100.0% shares, 0.0% debt)

Holdings (34)

— PDL BIOPHARMA INC 21.0%

Value $9.552M Shares 9,937,000 Share Price $0.96 Est. Cost/Share $0.96 Unrealized @ Report Date —

— COLONY CAP INC 18.3%

Value $8.314M Shares 8,484,000 Share Price $0.98 Est. Cost/Share $0.91 Unrealized @ Report Date —

— EZCORP INC 12.6%

Value $5.74M Shares 7,242,000 Share Price $0.79 Est. Cost/Share $0.84 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 12.5%

Value $5.671M Shares 5,519,000 Share Price $1.03 Est. Cost/Share $1.00 Unrealized @ Report Date —

— HERCULES CAPITAL INC 10.3%

Value $4.686M Shares 4,577,000 Share Price $1.02 Est. Cost/Share $0.95 Unrealized @ Report Date —

AGG ISHARES TR 2.9%

Value $1.335M Shares 11,795 Share Price $113.18 Est. Cost/Share $108.48 Unrealized @ Report Date +4.3%

— OAKTREE SPECIALTY LENDING CO 2.8%

Value $1.257M Shares 242,605 Share Price $5.18 Est. Cost/Share $4.90 Unrealized @ Report Date —

PSEC PROSPECT CAPITAL CORPORATION 2.3%

Value $1.031M Shares 156,513 Share Price $6.59 * Est. Cost/Share $2.46 Unrealized @ Report Date +22.4%

REM ISHARES TR 1.6%

Value $721K Shares 17,123 Share Price $42.11 Est. Cost/Share $45.98 Unrealized @ Report Date -8.4%

IBM INTERNATIONAL BUSINESS MACHS 1.5%

Value $701K Shares 4,821 Share Price $145.41 * Est. Cost/Share $106.76 Unrealized @ Report Date -0.6%

— SCULPTOR CAP MGMT 1.5%

Value $699K Shares 35,861 Share Price $19.49 Est. Cost/Share $19.49 Unrealized @ Report Date —

SPY SPDR S&P 500 ETF TR 0.9%

Value $431K Shares 1,453 Share Price $296.63 Est. Cost/Share $287.96 Unrealized @ Report Date +3.1%

EFA ISHARES TR 0.8%

Value $385K Shares 5,900 Share Price $65.25 Est. Cost/Share $65.44 Unrealized @ Report Date -0.4%

AAPL APPLE INC 0.8%

Value $383K Shares 1,710 Share Price $223.98 * Est. Cost/Share $45.96 Unrealized @ Report Date +17.2%

CODI COMPASS DIVERSIFIED HOLDINGS 0.8%

Value $383K Shares 19,451 Share Price $19.69 * Est. Cost/Share $10.42 Unrealized @ Report Date +33.7%

— APOLLO GLOBAL MGMT INC 0.8%

Value $371K Shares 9,820 Share Price $37.78 Est. Cost/Share $37.78 Unrealized @ Report Date —

SLRC SOLAR CAP LTD 0.8%

Value $362K Shares 17,516 Share Price $20.67 * Est. Cost/Share $9.84 Unrealized @ Report Date +11.9%

— BLACKROCK CR ALLCTN INC TR 0.7%

Value $332K Shares 24,406 Share Price $13.60 Est. Cost/Share $13.02 Unrealized @ Report Date —

— BLACKROCK CORPOR HI YLD FD I 0.7%

Value $317K Shares 29,464 Share Price $10.76 Est. Cost/Share $10.79 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN GBL HGH IN 0.7%

Value $311K Shares 25,926 Share Price $12.00 Est. Cost/Share $12.34 Unrealized @ Report Date —

CVX CHEVRON CORP NEW 0.6%

Value $275K Shares 2,321 Share Price $118.48 * Est. Cost/Share $85.03 Unrealized @ Report Date +5.7%

XOM EXXON MOBIL CORP 0.5%

Value $239K Shares 3,379 Share Price $70.73 * Est. Cost/Share $57.51 Unrealized @ Report Date -8.2%

VZ VERIZON COMMUNICATIONS INC 0.5%

Value $237K Shares 3,919 Share Price $60.47 * Est. Cost/Share $35.94 Unrealized @ Report Date +18.0%

— HANCOCK JOHN TAX-ADV DIV INC 0.5%

Value $220K Shares 7,726 Share Price $28.48 Est. Cost/Share $28.48 Unrealized @ Report Date —

— EATON VANCE TAX ADVT DIV INC 0.5%

Value $209K Shares 8,519 Share Price $24.53 Est. Cost/Share $24.53 Unrealized @ Report Date —

— ADAMS DIVERSIFIED EQUITY FD 0.5%

Value $206K Shares 13,033 Share Price $15.81 Est. Cost/Share $15.53 Unrealized @ Report Date —

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value $203K Shares 15,968 Share Price $12.71 Est. Cost/Share $12.37 Unrealized @ Report Date —

ARCC ARES CAP CORP 0.4%

Value $192K Shares 10,326 Share Price $18.59 * Est. Cost/Share $7.48 Unrealized @ Report Date +37.8%

— BLACKROCK MULTI-SECTOR INC T 0.4%

Value $187K Shares 10,889 Share Price $17.17 Est. Cost/Share $17.17 Unrealized @ Report Date —

— PDL BIOPHARMA INC 0.4%

Value $176K Shares 81,713 Share Price $2.15 Est. Cost/Share $2.74 Unrealized @ Report Date —

— TEMPLETON EMERG MKTS INCOME 0.3%

Value $158K Shares 17,408 Share Price $9.08 Est. Cost/Share $10.62 Unrealized @ Report Date —

— FLUIDIGM CORP DEL 0.2%

Value $110K Shares 115,000 Share Price $0.96 Est. Cost/Share $0.82 Unrealized @ Report Date —

PBI PITNEY BOWES INC 0.2%

Value $90,000 Shares 22,307 Share Price $4.03 * Est. Cost/Share $7.20 Unrealized @ Report Date -36.6%

— WISDOMTREE INVTS INC 0.1%

Value $59,000 Shares 11,371 Share Price $5.19 Est. Cost/Share $5.19 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	PDL BIOPHARMA INC	9,937,000	$9.552M	21.0%	$0.96	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	8,484,000	$8.314M	18.3%	$0.98	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	EZCORP INC	7,242,000	$5.74M	12.6%	$0.79	$0.84	—	NOTE 2.375% 5/0	302301AE6
—	PROSPECT CAPITAL CORPORATION	5,519,000	$5.671M	12.5%	$1.03	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,577,000	$4.686M	10.3%	$1.02	$0.95	—	DBCV 4.375% 2/0	427096AF9
AGG	ISHARES TR	11,795	$1.335M	2.9%	$113.18	$108.48	+4.3%	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	242,605	$1.257M	2.8%	$5.18	$4.90	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	156,513	$1.031M	2.3%	$6.59 *	$2.46	+22.4%	COM	74348T102
REM	ISHARES TR	17,123	$721K	1.6%	$42.11	$45.98	-8.4%	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,821	$701K	1.5%	$145.41 *	$106.76	-0.6%	COM	459200101
—	SCULPTOR CAP MGMT	35,861	$699K	1.5%	$19.49	$19.49	—	COM CL A	811246107
SPY	SPDR S&P 500 ETF TR	1,453	$431K	0.9%	$296.63	$287.96	+3.1%	TR UNIT	78462F103
EFA	ISHARES TR	5,900	$385K	0.8%	$65.25	$65.44	-0.4%	MSCI EAFE ETF	464287465
AAPL	APPLE INC	1,710	$383K	0.8%	$223.98 *	$45.96	+17.2%	COM	037833100
CODI	COMPASS DIVERSIFIED HOLDINGS	19,451	$383K	0.8%	$19.69 *	$10.42	+33.7%	SH BEN INT	20451Q104
—	APOLLO GLOBAL MGMT INC	9,820	$371K	0.8%	$37.78	$37.78	—	COM CL A	03768E105
SLRC	SOLAR CAP LTD	17,516	$362K	0.8%	$20.67 *	$9.84	+11.9%	COM	83413U100
—	BLACKROCK CR ALLCTN INC TR	24,406	$332K	0.7%	$13.60	$13.02	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	29,464	$317K	0.7%	$10.76	$10.79	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	25,926	$311K	0.7%	$12.00	$12.34	—	COM	01879R106
CVX	CHEVRON CORP NEW	2,321	$275K	0.6%	$118.48 *	$85.03	+5.7%	COM	166764100
XOM	EXXON MOBIL CORP	3,379	$239K	0.5%	$70.73 *	$57.51	-8.2%	COM	30231G102
VZ	VERIZON COMMUNICATIONS INC	3,919	$237K	0.5%	$60.47 *	$35.94	+18.0%	COM	92343V104
—	HANCOCK JOHN TAX-ADV DIV INC	7,726	$220K	0.5%	$28.48	$28.48	—	COM	41013v100
—	EATON VANCE TAX ADVT DIV INC	8,519	$209K	0.5%	$24.53	$24.53	—	COM	27828g107
—	ADAMS DIVERSIFIED EQUITY FD	13,033	$206K	0.5%	$15.81	$15.53	—	COM	006212104
—	CALAMOS STRATEGIC TOTL RETN	15,968	$203K	0.4%	$12.71	$12.37	—	COM SH BEN INT	128125101
ARCC	ARES CAP CORP	10,326	$192K	0.4%	$18.59 *	$7.48	+37.8%	COM	04010L103
—	BLACKROCK MULTI-SECTOR INC T	10,889	$187K	0.4%	$17.17	$17.17	—	COM	09258A107
—	PDL BIOPHARMA INC	81,713	$176K	0.4%	$2.15	$2.74	—	COM	69329y104
—	TEMPLETON EMERG MKTS INCOME	17,408	$158K	0.3%	$9.08	$10.62	—	COM	880192109
—	FLUIDIGM CORP DEL	115,000	$110K	0.2%	$0.96	$0.82	—	NOTE 2.750% 2/0	34385PAA6
PBI	PITNEY BOWES INC	22,307	$90,000	0.2%	$4.03 *	$7.20	-36.6%	COM	724479100
—	WISDOMTREE INVTS INC	11,371	$59,000	0.1%	$5.19	$5.19	—	COM	97717p104