SMH CAPITAL ADVISORS INC Long-Term Concentrated

Location: Fort Worth, TX

CIK: 0001180391 · Show all filings

Period: Q1 2020 (← Previous) (Next →)

Filing Date: Apr 27, 2020

Total Value: $47.05M (100.0% shares, 0.0% debt)

Holdings (35)

— PDL BIOPHARMA INC 21.8%

Value $10.26M Shares 9,762,000 Share Price $1.05 Est. Cost/Share $0.96 Unrealized @ Report Date —

— COLONY CAP INC 14.6%

Value $6.848M Shares 8,356,000 Share Price $0.82 Est. Cost/Share $0.91 Unrealized @ Report Date —

— EZCORP INC 14.0%

Value $6.599M Shares 8,915,000 Share Price $0.74 Est. Cost/Share $0.83 Unrealized @ Report Date —

— TUTOR PERINI CORP 13.0%

Value $6.108M Shares 6,635,000 Share Price $0.92 Est. Cost/Share $0.92 Unrealized @ Report Date —

— PROSPECT CAPITAL CORPORATION 9.9%

Value $4.639M Shares 5,394,000 Share Price $0.86 Est. Cost/Share $1.00 Unrealized @ Report Date —

— HERCULES CAPITAL INC 9.2%

Value $4.326M Shares 4,715,000 Share Price $0.92 Est. Cost/Share $0.95 Unrealized @ Report Date —

AGG ISHARES TR 3.1%

Value $1.472M Shares 12,758 Share Price $115.38 Est. Cost/Share $108.87 Unrealized @ Report Date +6.0%

— OAKTREE SPECIALTY LENDING CO 1.7%

Value $799K Shares 246,489 Share Price $3.24 Est. Cost/Share $4.88 Unrealized @ Report Date —

PSEC PROSPECT CAPITAL CORPORATION 1.4%

Value $679K Shares 159,842 Share Price $4.25 * Est. Cost/Share $2.47 Unrealized @ Report Date -16.3%

IBM INTERNATIONAL BUSINESS MACHS 1.2%

Value $543K Shares 4,892 Share Price $111.00 * Est. Cost/Share $106.68 Unrealized @ Report Date -22.4%

— SCULPTOR CAP MGMT 1.0%

Value $486K Shares 35,869 Share Price $13.55 Est. Cost/Share $19.49 Unrealized @ Report Date —

REM ISHARES TR 0.7%

Value $320K Shares 17,131 Share Price $18.68 Est. Cost/Share $45.98 Unrealized @ Report Date -59.3%

— BLACKROCK CR ALLOCATION INCO 0.7%

Value $311K Shares 26,683 Share Price $11.66 Est. Cost/Share $12.96 Unrealized @ Report Date —

— BLACKROCK CORPOR HI YLD FD I 0.6%

Value $286K Shares 32,497 Share Price $8.80 Est. Cost/Share $10.66 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN GLOBAL HIG 0.6%

Value $265K Shares 28,617 Share Price $9.26 Est. Cost/Share $12.12 Unrealized @ Report Date —

CODI COMPASS DIVERSIFIED HOLDINGS 0.6%

Value $261K Shares 19,454 Share Price $13.42 * Est. Cost/Share $10.42 Unrealized @ Report Date -6.1%

SPY SPDR S&P 500 ETF TR 0.5%

Value $220K Shares 852 Share Price $258.22 Est. Cost/Share $287.96 Unrealized @ Report Date -10.5%

VZ VERIZON COMMUNICATIONS INC 0.5%

Value $219K Shares 4,072 Share Price $53.78 * Est. Cost/Share $36.08 Unrealized @ Report Date +6.8%

— PDL BIOPHARMA INC 0.5%

Value $217K Shares 76,788 Share Price $2.83 Est. Cost/Share $2.74 Unrealized @ Report Date —

— APOLLO GLOBAL MGMT INC 0.5%

Value $216K Shares 6,459 Share Price $33.44 Est. Cost/Share $37.78 Unrealized @ Report Date —

SLRC SOLAR CAP LTD 0.5%

Value $215K Shares 18,476 Share Price $11.64 * Est. Cost/Share $9.85 Unrealized @ Report Date -33.6%

HPQ HP INC 0.4%

Value $207K Shares 11,902 Share Price $17.39 * Est. Cost/Share $15.34 Unrealized @ Report Date -7.1%

— ADAMS DIVERSIFIED EQUITY FD 0.4%

Value $181K Shares 14,386 Share Price $12.58 Est. Cost/Share $15.37 Unrealized @ Report Date —

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value $170K Shares 17,412 Share Price $9.76 Est. Cost/Share $12.24 Unrealized @ Report Date —

— BLACKROCK MULTI-SECTOR INC T 0.3%

Value $147K Shares 12,184 Share Price $12.07 Est. Cost/Share $16.73 Unrealized @ Report Date —

— TEMPLETON EMERGING MKTS INCO 0.3%

Value $147K Shares 19,715 Share Price $7.46 Est. Cost/Share $10.29 Unrealized @ Report Date —

— EATON VANCE MUN BD FD 0.3%

Value $145K Shares 11,658 Share Price $12.44 Est. Cost/Share $12.86 Unrealized @ Report Date —

— NUVEEN QUALITY MUNCP INCOME 0.3%

Value $143K Shares 10,380 Share Price $13.78 Est. Cost/Share $14.60 Unrealized @ Report Date —

XMUIX BLACKROCK MUNI INTER DR FD I 0.3%

Value $138K Shares 10,586 Share Price $13.04 Est. Cost/Share $14.22 Unrealized @ Report Date —

— NUVEEN AMT FREE QLTY MUN INC 0.3%

Value $138K Shares 10,195 Share Price $13.54 Est. Cost/Share $14.37 Unrealized @ Report Date —

— ALLIANCEBERNSTEIN NATL MUNI 0.3%

Value $135K Shares 10,582 Share Price $12.76 Est. Cost/Share $13.96 Unrealized @ Report Date —

FATAQ FAT BRANDS INC 0.2%

Value $84,000 Shares 36,760 Share Price $2.29 * Est. Cost/Share $2.09 Unrealized @ Report Date -54.0%

— FLUIDIGM CORP DEL 0.1%

Value $51,000 Shares 54,000 Share Price $0.94 Est. Cost/Share $0.82 Unrealized @ Report Date —

PBI PITNEY BOWES INC 0.1%

Value $46,000 Shares 22,307 Share Price $2.06 Est. Cost/Share $7.20 Unrealized @ Report Date -71.7%

— WISDOMTREE INVTS INC 0.1%

Value $33,000 Shares 14,219 Share Price $2.32 Est. Cost/Share $4.70 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	PDL BIOPHARMA INC	9,762,000	$10.26M	21.8%	$1.05	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	8,356,000	$6.848M	14.6%	$0.82	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	EZCORP INC	8,915,000	$6.599M	14.0%	$0.74	$0.83	—	NOTE 2.375% 5/0	302301AE6
—	TUTOR PERINI CORP	6,635,000	$6.108M	13.0%	$0.92	$0.92	—	NOTE 2.875% 6/1	901109AD0
—	PROSPECT CAPITAL CORPORATION	5,394,000	$4.639M	9.9%	$0.86	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,715,000	$4.326M	9.2%	$0.92	$0.95	—	DBCV 4.375% 2/0	427096AF9
AGG	ISHARES TR	12,758	$1.472M	3.1%	$115.38	$108.87	+6.0%	CORE US AGGBD ET	464287226
—	OAKTREE SPECIALTY LENDING CO	246,489	$799K	1.7%	$3.24	$4.88	—	COM	67401p108
PSEC	PROSPECT CAPITAL CORPORATION	159,842	$679K	1.4%	$4.25 *	$2.47	-16.3%	COM	74348T102
IBM	INTERNATIONAL BUSINESS MACHS	4,892	$543K	1.2%	$111.00 *	$106.68	-22.4%	COM	459200101
—	SCULPTOR CAP MGMT	35,869	$486K	1.0%	$13.55	$19.49	—	COM CL A	811246107
REM	ISHARES TR	17,131	$320K	0.7%	$18.68	$45.98	-59.3%	MORTGE REL ETF	46435G342
—	BLACKROCK CR ALLOCATION INCO	26,683	$311K	0.7%	$11.66	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	32,497	$286K	0.6%	$8.80	$10.66	—	COM	09255P107
—	ALLIANCEBERNSTEIN GLOBAL HIG	28,617	$265K	0.6%	$9.26	$12.12	—	COM	01879R106
CODI	COMPASS DIVERSIFIED HOLDINGS	19,454	$261K	0.6%	$13.42 *	$10.42	-6.1%	SH BEN INT	20451Q104
SPY	SPDR S&P 500 ETF TR	852	$220K	0.5%	$258.22	$287.96	-10.5%	TR UNIT	78462F103
VZ	VERIZON COMMUNICATIONS INC	4,072	$219K	0.5%	$53.78 *	$36.08	+6.8%	COM	92343V104
—	PDL BIOPHARMA INC	76,788	$217K	0.5%	$2.83	$2.74	—	COM	69329y104
—	APOLLO GLOBAL MGMT INC	6,459	$216K	0.5%	$33.44	$37.78	—	COM CL A	03768E105
SLRC	SOLAR CAP LTD	18,476	$215K	0.5%	$11.64 *	$9.85	-33.6%	COM	83413U100
HPQ	HP INC	11,902	$207K	0.4%	$17.39 *	$15.34	-7.1%	COM	40434L105
—	ADAMS DIVERSIFIED EQUITY FD	14,386	$181K	0.4%	$12.58	$15.37	—	COM	006212104
—	CALAMOS STRATEGIC TOTL RETN	17,412	$170K	0.4%	$9.76	$12.24	—	COM SH BEN INT	128125101
—	BLACKROCK MULTI-SECTOR INC T	12,184	$147K	0.3%	$12.07	$16.73	—	COM	09258A107
—	TEMPLETON EMERGING MKTS INCO	19,715	$147K	0.3%	$7.46	$10.29	—	COM	880192109
—	EATON VANCE MUN BD FD	11,658	$145K	0.3%	$12.44	$12.86	—	COM	27827X101
—	NUVEEN QUALITY MUNCP INCOME	10,380	$143K	0.3%	$13.78	$14.60	—	COM	67066V101
XMUIX	BLACKROCK MUNI INTER DR FD I	10,586	$138K	0.3%	$13.04	$14.22	—	COM	09253X102
—	NUVEEN AMT FREE QLTY MUN INC	10,195	$138K	0.3%	$13.54	$14.37	—	COM	670657105
—	ALLIANCEBERNSTEIN NATL MUNI	10,582	$135K	0.3%	$12.76	$13.96	—	COM	01864U106
FATAQ	FAT BRANDS INC	36,760	$84,000	0.2%	$2.29 *	$2.09	-54.0%	COM	30258N105
—	FLUIDIGM CORP DEL	54,000	$51,000	0.1%	$0.94	$0.82	—	NOTE 2.750% 2/0	34385PAA6
PBI	PITNEY BOWES INC	22,307	$46,000	0.1%	$2.06	$7.20	-71.7%	COM	724479100
—	WISDOMTREE INVTS INC	14,219	$33,000	0.1%	$2.32	$4.70	—	COM	97717p104