SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q4 2019 (← Previous) (Next →)

Filing Date: Feb 4, 2020

Total Value ($000): $50,446 (100.0% shares, 0.0% debt)

Holdings (43)

— PDL BIOPHARMA INC 21.1%

Value ($000) $10,640 Shares 9,901,000 Est. Cost $0.96 Unrealized —

— COLONY CAP INC 16.7%

Value ($000) $8,417 Shares 8,460,000 Est. Cost $0.91 Unrealized —

— EZCORP INC 14.5%

Value ($000) $7,292 Shares 9,003,000 Est. Cost $0.83 Unrealized —

— PROSPECT CAPITAL CORPORATION 11.2%

Value ($000) $5,628 Shares 5,490,000 Est. Cost $1.00 Unrealized —

— HERCULES CAPITAL INC 9.6%

Value ($000) $4,860 Shares 4,758,000 Est. Cost $0.95 Unrealized —

AGG ISHARES TR 2.7%

Value ($000) $1,351 Shares 12,027 Est. Cost $109.19 Unrealized —

— OAKTREE SPECIALTY LENDING CO 2.6%

Value ($000) $1,332 Shares 243,896 Est. Cost $4.90 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 2.0%

Value ($000) $1,013 Shares 157,277 Est. Cost $2.46 Unrealized +22.2%

— SCULPTOR CAP MGMT 1.6%

Value ($000) $793 Shares 35,862 Est. Cost $19.49 Unrealized —

REM ISHARES TR 1.5%

Value ($000) $763 Shares 17,126 Est. Cost $45.22 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 1.3%

Value ($000) $649 Shares 4,842 Est. Cost $106.76 Unrealized -6.4%

CODI COMPASS DIVERSIFIED HOLDINGS 1.0%

Value ($000) $484 Shares 19,453 Est. Cost $10.42 Unrealized +52.0%

SPY SPDR S&P 500 ETF TR 0.9%

Value ($000) $468 Shares 1,454 Est. Cost $292.97 Unrealized —

EFA ISHARES TR 0.8%

Value ($000) $404 Shares 5,825 Est. Cost $65.79 Unrealized —

VWO VANGUARD INTL EQUITY INDEX F 0.8%

Value ($000) $388 Shares 8,719 Est. Cost $44.50 Unrealized —

SLRC SOLAR CAP LTD 0.7%

Value ($000) $365 Shares 17,716 Est. Cost $9.85 Unrealized +11.4%

— BLACKROCK CR ALLCTN INC TR 0.7%

Value ($000) $351 Shares 25,079 Est. Cost $13.05 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.7%

Value ($000) $339 Shares 30,289 Est. Cost $10.80 Unrealized —

— ALLIANCEBERNSTEIN GBL HGH IN 0.6%

Value ($000) $323 Shares 26,613 Est. Cost $12.34 Unrealized —

— APOLLO GLOBAL MGMT INC 0.6%

Value ($000) $308 Shares 6,451 Est. Cost $37.78 Unrealized —

CVX CHEVRON CORP NEW 0.6%

Value ($000) $282 Shares 2,338 Est. Cost $85.03 Unrealized +5.5%

— PDL BIOPHARMA INC 0.5%

Value ($000) $260 Shares 80,063 Est. Cost $2.74 Unrealized —

KHC KRAFT HEINZ CO 0.5%

Value ($000) $253 Shares 7,860 Est. Cost $22.63 Unrealized 0.0%

VZ VERIZON COMMUNICATIONS INC 0.5%

Value ($000) $243 Shares 3,955 Est. Cost $35.94 Unrealized +19.1%

HPQ HP INC 0.5%

Value ($000) $239 Shares 11,637 Est. Cost $15.31 Unrealized 0.0%

XOM EXXON MOBIL CORP 0.5%

Value ($000) $238 Shares 3,411 Est. Cost $57.51 Unrealized -9.5%

— EATON VANCE TAX ADVT DIV INC 0.4%

Value ($000) $224 Shares 8,758 Est. Cost $24.56 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value ($000) $223 Shares 16,385 Est. Cost $12.40 Unrealized —

— HANCOCK JOHN TAX-ADV DIV INC 0.4%

Value ($000) $217 Shares 7,923 Est. Cost $28.45 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.4%

Value ($000) $214 Shares 13,546 Est. Cost $15.54 Unrealized —

— COHEN & STEERS LTD DUR PFD I 0.4%

Value ($000) $202 Shares 7,688 Est. Cost $26.27 Unrealized —

ARCC ARES CAP CORP 0.4%

Value ($000) $193 Shares 10,326 Est. Cost $7.48 Unrealized +37.8%

— BLACKROCK MULTI-SECTOR INC T 0.4%

Value ($000) $181 Shares 11,189 Est. Cost $17.15 Unrealized —

FATAQ FAT BRANDS INC 0.3%

Value ($000) $167 Shares 36,760 Est. Cost $2.09 Unrealized 0.0%

— TEMPLETON EMERG MKTS INCOME 0.3%

Value ($000) $164 Shares 17,866 Est. Cost $10.59 Unrealized —

— NUVEEN QUALITY MUNCP INCOME 0.3%

Value ($000) $151 Shares 10,344 Est. Cost $14.60 Unrealized —

XMUIX BLACKROCK MUNI INTER DR FD I 0.3%

Value ($000) $150 Shares 10,551 Est. Cost $14.22 Unrealized —

— EATON VANCE MUN BD FD 0.3%

Value ($000) $149 Shares 11,588 Est. Cost $12.86 Unrealized —

— ALLIANCEBERNSTEIN NATL MUNI 0.3%

Value ($000) $147 Shares 10,527 Est. Cost $13.96 Unrealized —

— NUVEEN AMT FREE QLTY MUN INC 0.3%

Value ($000) $146 Shares 10,157 Est. Cost $14.37 Unrealized —

PBI PITNEY BOWES INC 0.2%

Value ($000) $90 Shares 22,307 Est. Cost $7.20 Unrealized -36.4%

— FLUIDIGM CORP DEL 0.2%

Value ($000) $88 Shares 93,000 Est. Cost $0.82 Unrealized —

— WISDOMTREE INVTS INC 0.1%

Value ($000) $57 Shares 11,851 Est. Cost $5.17 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	9,901,000	$10,640	21.1%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	8,460,000	$8,417	16.7%	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	EZCORP INC	9,003,000	$7,292	14.5%	$0.83	—	NOTE 2.375% 5/0	302301AE6
—	PROSPECT CAPITAL CORPORATION	5,490,000	$5,628	11.2%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,758,000	$4,860	9.6%	$0.95	—	DBCV 4.375% 2/0	427096AF9
AGG	ISHARES TR	12,027	$1,351	2.7%	$109.19	—	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	243,896	$1,332	2.6%	$4.90	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	157,277	$1,013	2.0%	$2.46	+22.2%	COM	74348T102
—	SCULPTOR CAP MGMT	35,862	$793	1.6%	$19.49	—	COM CL A	811246107
REM	ISHARES TR	17,126	$763	1.5%	$45.22	—	MORTGE REL ETF	46435G342
IBM	INTERNATIONAL BUSINESS MACHS	4,842	$649	1.3%	$106.76	-6.4%	COM	459200101
CODI	COMPASS DIVERSIFIED HOLDINGS	19,453	$484	1.0%	$10.42	+52.0%	SH BEN INT	20451Q104
SPY	SPDR S&P 500 ETF TR	1,454	$468	0.9%	$292.97	—	TR UNIT	78462F103
EFA	ISHARES TR	5,825	$404	0.8%	$65.79	—	MSCI EAFE ETF	464287465
VWO	VANGUARD INTL EQUITY INDEX F	8,719	$388	0.8%	$44.50	—	FTSE EMR MKT ETF	922042858
SLRC	SOLAR CAP LTD	17,716	$365	0.7%	$9.85	+11.4%	COM	83413U100
—	BLACKROCK CR ALLCTN INC TR	25,079	$351	0.7%	$13.05	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	30,289	$339	0.7%	$10.80	—	COM	09255P107
—	ALLIANCEBERNSTEIN GBL HGH IN	26,613	$323	0.6%	$12.34	—	COM	01879R106
—	APOLLO GLOBAL MGMT INC	6,451	$308	0.6%	$37.78	—	COM CL A	03768E105
CVX	CHEVRON CORP NEW	2,338	$282	0.6%	$85.03	+5.5%	COM	166764100
—	PDL BIOPHARMA INC	80,063	$260	0.5%	$2.74	—	COM	69329y104
KHC	KRAFT HEINZ CO	7,860	$253	0.5%	$22.63	0.0%	COM	500754106
VZ	VERIZON COMMUNICATIONS INC	3,955	$243	0.5%	$35.94	+19.1%	COM	92343V104
HPQ	HP INC	11,637	$239	0.5%	$15.31	0.0%	COM	40434L105
XOM	EXXON MOBIL CORP	3,411	$238	0.5%	$57.51	-9.5%	COM	30231G102
—	EATON VANCE TAX ADVT DIV INC	8,758	$224	0.4%	$24.56	—	COM	27828g107
—	CALAMOS STRATEGIC TOTL RETN	16,385	$223	0.4%	$12.40	—	COM SH BEN INT	128125101
—	HANCOCK JOHN TAX-ADV DIV INC	7,923	$217	0.4%	$28.45	—	COM	41013v100
—	ADAMS DIVERSIFIED EQUITY FD	13,546	$214	0.4%	$15.54	—	COM	006212104
—	COHEN & STEERS LTD DUR PFD I	7,688	$202	0.4%	$26.27	—	COM	19248C105
ARCC	ARES CAP CORP	10,326	$193	0.4%	$7.48	+37.8%	COM	04010L103
—	BLACKROCK MULTI-SECTOR INC T	11,189	$181	0.4%	$17.15	—	COM	09258A107
FATAQ	FAT BRANDS INC	36,760	$167	0.3%	$2.09	0.0%	COM	30258N105
—	TEMPLETON EMERG MKTS INCOME	17,866	$164	0.3%	$10.59	—	COM	880192109
—	NUVEEN QUALITY MUNCP INCOME	10,344	$151	0.3%	$14.60	—	COM	67066V101
XMUIX	BLACKROCK MUNI INTER DR FD I	10,551	$150	0.3%	$14.22	—	COM	09253X102
—	EATON VANCE MUN BD FD	11,588	$149	0.3%	$12.86	—	COM	27827X101
—	ALLIANCEBERNSTEIN NATL MUNI	10,527	$147	0.3%	$13.96	—	COM	01864U106
—	NUVEEN AMT FREE QLTY MUN INC	10,157	$146	0.3%	$14.37	—	COM	670657105
PBI	PITNEY BOWES INC	22,307	$90	0.2%	$7.20	-36.4%	COM	724479100
—	FLUIDIGM CORP DEL	93,000	$88	0.2%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	WISDOMTREE INVTS INC	11,851	$57	0.1%	$5.17	—	COM	97717p104