SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q1 2020 (← Previous) (Next →)

Filing Date: Apr 27, 2020

Total Value ($000): $47,051 (100.0% shares, 0.0% debt)

Holdings (35)

— PDL BIOPHARMA INC 21.8%

Value ($000) $10,257 Shares 9,762,000 Est. Cost $0.96 Unrealized —

— COLONY CAP INC 14.6%

Value ($000) $6,848 Shares 8,356,000 Est. Cost $0.91 Unrealized —

— EZCORP INC 14.0%

Value ($000) $6,599 Shares 8,915,000 Est. Cost $0.83 Unrealized —

— TUTOR PERINI CORP 13.0%

Value ($000) $6,108 Shares 6,635,000 Est. Cost $0.92 Unrealized —

— PROSPECT CAPITAL CORPORATION 9.9%

Value ($000) $4,639 Shares 5,394,000 Est. Cost $1.00 Unrealized —

— HERCULES CAPITAL INC 9.2%

Value ($000) $4,326 Shares 4,715,000 Est. Cost $0.95 Unrealized —

AGG ISHARES TR 3.1%

Value ($000) $1,472 Shares 12,758 Est. Cost $109.54 Unrealized —

— OAKTREE SPECIALTY LENDING CO 1.7%

Value ($000) $799 Shares 246,489 Est. Cost $4.88 Unrealized —

PSEC PROSPECT CAPITAL CORPORATION 1.4%

Value ($000) $679 Shares 159,842 Est. Cost $2.47 Unrealized +13.6%

IBM INTERNATIONAL BUSINESS MACHS 1.2%

Value ($000) $543 Shares 4,892 Est. Cost $106.68 Unrealized -7.9%

— SCULPTOR CAP MGMT 1.0%

Value ($000) $486 Shares 35,869 Est. Cost $19.49 Unrealized —

REM ISHARES TR 0.7%

Value ($000) $320 Shares 17,131 Est. Cost $45.22 Unrealized —

— BLACKROCK CR ALLOCATION INCO 0.7%

Value ($000) $311 Shares 26,683 Est. Cost $12.96 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.6%

Value ($000) $286 Shares 32,497 Est. Cost $10.66 Unrealized —

— ALLIANCEBERNSTEIN GLOBAL HIG 0.6%

Value ($000) $265 Shares 28,617 Est. Cost $12.12 Unrealized —

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value ($000) $261 Shares 19,454 Est. Cost $10.42 Unrealized +42.3%

SPY SPDR S&P 500 ETF TR 0.5%

Value ($000) $220 Shares 852 Est. Cost $292.97 Unrealized —

VZ VERIZON COMMUNICATIONS INC 0.5%

Value ($000) $219 Shares 4,072 Est. Cost $36.08 Unrealized +13.7%

— PDL BIOPHARMA INC 0.5%

Value ($000) $217 Shares 76,788 Est. Cost $2.74 Unrealized —

— APOLLO GLOBAL MGMT INC 0.5%

Value ($000) $216 Shares 6,459 Est. Cost $37.78 Unrealized —

SLRC SOLAR CAP LTD 0.5%

Value ($000) $215 Shares 18,476 Est. Cost $9.85 Unrealized +0.7%

HPQ HP INC 0.4%

Value ($000) $207 Shares 11,902 Est. Cost $15.34 Unrealized +7.5%

— ADAMS DIVERSIFIED EQUITY FD 0.4%

Value ($000) $181 Shares 14,386 Est. Cost $15.37 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value ($000) $170 Shares 17,412 Est. Cost $12.24 Unrealized —

— BLACKROCK MULTI-SECTOR INC T 0.3%

Value ($000) $147 Shares 12,184 Est. Cost $16.73 Unrealized —

— TEMPLETON EMERGING MKTS INCO 0.3%

Value ($000) $147 Shares 19,715 Est. Cost $10.29 Unrealized —

— EATON VANCE MUN BD FD 0.3%

Value ($000) $145 Shares 11,658 Est. Cost $12.86 Unrealized —

— NUVEEN QUALITY MUNCP INCOME 0.3%

Value ($000) $143 Shares 10,380 Est. Cost $14.60 Unrealized —

XMUIX BLACKROCK MUNI INTER DR FD I 0.3%

Value ($000) $138 Shares 10,586 Est. Cost $14.22 Unrealized —

— NUVEEN AMT FREE QLTY MUN INC 0.3%

Value ($000) $138 Shares 10,195 Est. Cost $14.37 Unrealized —

— ALLIANCEBERNSTEIN NATL MUNI 0.3%

Value ($000) $135 Shares 10,582 Est. Cost $13.96 Unrealized —

FATAQ FAT BRANDS INC 0.2%

Value ($000) $84 Shares 36,760 Est. Cost $2.09 Unrealized -21.2%

— FLUIDIGM CORP DEL 0.1%

Value ($000) $51 Shares 54,000 Est. Cost $0.82 Unrealized —

PBI PITNEY BOWES INC 0.1%

Value ($000) $46 Shares 22,307 Est. Cost $7.20 Unrealized -52.4%

— WISDOMTREE INVTS INC 0.1%

Value ($000) $33 Shares 14,219 Est. Cost $4.70 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	9,762,000	$10,257	21.8%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	8,356,000	$6,848	14.6%	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	EZCORP INC	8,915,000	$6,599	14.0%	$0.83	—	NOTE 2.375% 5/0	302301AE6
—	TUTOR PERINI CORP	6,635,000	$6,108	13.0%	$0.92	—	NOTE 2.875% 6/1	901109AD0
—	PROSPECT CAPITAL CORPORATION	5,394,000	$4,639	9.9%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,715,000	$4,326	9.2%	$0.95	—	DBCV 4.375% 2/0	427096AF9
AGG	ISHARES TR	12,758	$1,472	3.1%	$109.54	—	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	246,489	$799	1.7%	$4.88	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	159,842	$679	1.4%	$2.47	+13.6%	COM	74348T102
IBM	INTERNATIONAL BUSINESS MACHS	4,892	$543	1.2%	$106.68	-7.9%	COM	459200101
—	SCULPTOR CAP MGMT	35,869	$486	1.0%	$19.49	—	COM CL A	811246107
REM	ISHARES TR	17,131	$320	0.7%	$45.22	—	MORTGE REL ETF	46435G342
—	BLACKROCK CR ALLOCATION INCO	26,683	$311	0.7%	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	32,497	$286	0.6%	$10.66	—	COM	09255P107
—	ALLIANCEBERNSTEIN GLOBAL HIG	28,617	$265	0.6%	$12.12	—	COM	01879R106
CODI	COMPASS DIVERSIFIED HOLDINGS	19,454	$261	0.6%	$10.42	+42.3%	SH BEN INT	20451Q104
SPY	SPDR S&P 500 ETF TR	852	$220	0.5%	$292.97	—	TR UNIT	78462F103
VZ	VERIZON COMMUNICATIONS INC	4,072	$219	0.5%	$36.08	+13.7%	COM	92343V104
—	PDL BIOPHARMA INC	76,788	$217	0.5%	$2.74	—	COM	69329y104
—	APOLLO GLOBAL MGMT INC	6,459	$216	0.5%	$37.78	—	COM CL A	03768E105
SLRC	SOLAR CAP LTD	18,476	$215	0.5%	$9.85	+0.7%	COM	83413U100
HPQ	HP INC	11,902	$207	0.4%	$15.34	+7.5%	COM	40434L105
—	ADAMS DIVERSIFIED EQUITY FD	14,386	$181	0.4%	$15.37	—	COM	006212104
—	CALAMOS STRATEGIC TOTL RETN	17,412	$170	0.4%	$12.24	—	COM SH BEN INT	128125101
—	BLACKROCK MULTI-SECTOR INC T	12,184	$147	0.3%	$16.73	—	COM	09258A107
—	TEMPLETON EMERGING MKTS INCO	19,715	$147	0.3%	$10.29	—	COM	880192109
—	EATON VANCE MUN BD FD	11,658	$145	0.3%	$12.86	—	COM	27827X101
—	NUVEEN QUALITY MUNCP INCOME	10,380	$143	0.3%	$14.60	—	COM	67066V101
XMUIX	BLACKROCK MUNI INTER DR FD I	10,586	$138	0.3%	$14.22	—	COM	09253X102
—	NUVEEN AMT FREE QLTY MUN INC	10,195	$138	0.3%	$14.37	—	COM	670657105
—	ALLIANCEBERNSTEIN NATL MUNI	10,582	$135	0.3%	$13.96	—	COM	01864U106
FATAQ	FAT BRANDS INC	36,760	$84	0.2%	$2.09	-21.2%	COM	30258N105
—	FLUIDIGM CORP DEL	54,000	$51	0.1%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
PBI	PITNEY BOWES INC	22,307	$46	0.1%	$7.20	-52.4%	COM	724479100
—	WISDOMTREE INVTS INC	14,219	$33	0.1%	$4.70	—	COM	97717p104