SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q2 2020 (← Previous) (Next →)

Filing Date: Aug 5, 2020

Total Value ($000): $49,916 (100.0% shares, 0.0% debt)

Holdings (42)

— PDL BIOPHARMA INC 20.6%

Value ($000) $10,272 Shares 9,702,000 Est. Cost $0.96 Unrealized —

— COLONY CAP INC 14.6%

Value ($000) $7,269 Shares 8,452,000 Est. Cost $0.91 Unrealized —

— EZCORP INC 14.0%

Value ($000) $7,004 Shares 9,058,000 Est. Cost $0.83 Unrealized —

— TUTOR PERINI CORP 12.9%

Value ($000) $6,448 Shares 6,844,000 Est. Cost $0.92 Unrealized —

— PROSPECT CAP CORP 9.8%

Value ($000) $4,874 Shares 5,358,000 Est. Cost $1.00 Unrealized —

— HERCULES CAPITAL INC 9.2%

Value ($000) $4,610 Shares 4,732,000 Est. Cost $0.95 Unrealized —

PSEC PROSPECT CAP CORP 1.6%

Value ($000) $816 Shares 159,755 Est. Cost $2.47 Unrealized -6.4%

CODI COMPASS DIVERSIFIED HOLDINGS 1.4%

Value ($000) $708 Shares 41,049 Est. Cost $11.62 Unrealized +9.3%

IBM INTERNATIONAL BUSINESS MACHS 1.2%

Value ($000) $591 Shares 4,890 Est. Cost $106.68 Unrealized -14.3%

— SCULPTOR CAP MGMT 0.9%

Value ($000) $467 Shares 36,133 Est. Cost $19.49 Unrealized —

REM ISHARES TR 0.9%

Value ($000) $425 Shares 17,102 Est. Cost $45.22 Unrealized —

MPC MARATHON PETE CORP 0.8%

Value ($000) $396 Shares 10,589 Est. Cost $27.17 Unrealized 0.0%

— BLACKROCK CR ALLOCATION INCO 0.7%

Value ($000) $348 Shares 26,341 Est. Cost $12.96 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.7%

Value ($000) $330 Shares 32,417 Est. Cost $10.66 Unrealized —

IRM IRON MTN INC NEW 0.7%

Value ($000) $326 Shares 12,474 Est. Cost $19.29 Unrealized 0.0%

SLRC SOLAR CAP LTD 0.6%

Value ($000) $296 Shares 18,469 Est. Cost $9.85 Unrealized -12.9%

— ALLIANCEBERNSTEIN GLOBAL HIG 0.6%

Value ($000) $288 Shares 28,522 Est. Cost $12.12 Unrealized —

— JERNIGAN CAP INC 0.5%

Value ($000) $264 Shares 19,300 Est. Cost $13.68 Unrealized —

SPY SPDR S&P 500 ETF TR 0.5%

Value ($000) $263 Shares 854 Est. Cost $292.97 Unrealized —

KHC KRAFT HEINZ CO 0.5%

Value ($000) $256 Shares 8,021 Est. Cost $23.07 Unrealized 0.0%

PBI PITNEY BOWES INC 0.5%

Value ($000) $245 Shares 94,307 Est. Cost $3.61 Unrealized -30.8%

VWO VANGUARD INTL EQUITY INDEX F 0.5%

Value ($000) $230 Shares 5,803 Est. Cost $39.63 Unrealized —

— PDL BIOPHARMA INC 0.5%

Value ($000) $226 Shares 77,707 Est. Cost $2.91 Unrealized —

VZ VERIZON COMMUNICATIONS INC 0.4%

Value ($000) $224 Shares 4,061 Est. Cost $36.08 Unrealized +12.9%

EFA ISHARES TR 0.4%

Value ($000) $223 Shares 3,664 Est. Cost $60.86 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.4%

Value ($000) $216 Shares 17,362 Est. Cost $12.24 Unrealized —

CVX CHEVRON CORP NEW 0.4%

Value ($000) $215 Shares 2,406 Est. Cost $69.83 Unrealized 0.0%

— ADAMS DIVERSIFIED EQUITY FD 0.4%

Value ($000) $213 Shares 14,298 Est. Cost $15.37 Unrealized —

HPQ HP INC 0.4%

Value ($000) $207 Shares 11,876 Est. Cost $15.34 Unrealized -14.7%

— OAKTREE SPECIALTY LENDING CO 0.4%

Value ($000) $201 Shares 44,995 Est. Cost $4.47 Unrealized —

— BLACKROCK MULTI-SECTOR INC T 0.4%

Value ($000) $175 Shares 12,162 Est. Cost $16.73 Unrealized —

— COHEN & STEERS QUALITY INCOM 0.3%

Value ($000) $172 Shares 15,732 Est. Cost $10.93 Unrealized —

— TEMPLETON EMERGING MKTS INCO 0.3%

Value ($000) $154 Shares 19,660 Est. Cost $10.29 Unrealized —

— EATON VANCE MUN BD FD 0.3%

Value ($000) $149 Shares 11,731 Est. Cost $12.86 Unrealized —

XMUIX BLACKROCK MUNI INTER DR FD I 0.3%

Value ($000) $147 Shares 10,645 Est. Cost $14.22 Unrealized —

— NUVEEN QUALITY MUNCP INCOME 0.3%

Value ($000) $146 Shares 10,441 Est. Cost $14.60 Unrealized —

— NUVEEN AMT FREE QLTY MUN INC 0.3%

Value ($000) $143 Shares 10,258 Est. Cost $14.37 Unrealized —

— ALLIANCEBERNSTEIN NATL MUNI 0.3%

Value ($000) $141 Shares 10,561 Est. Cost $13.96 Unrealized —

FATAQ FAT BRANDS INC 0.3%

Value ($000) $127 Shares 36,760 Est. Cost $2.09 Unrealized -34.6%

WT WISDOMTREE INVTS INC 0.1%

Value ($000) $49 Shares 14,180 Est. Cost $3.04 Unrealized 0.0%

— FLUIDIGM CORP DEL 0.1%

Value ($000) $48 Shares 48,000 Est. Cost $0.82 Unrealized —

— ENVESTNET INC 0.0%

Value ($000) $14 Shares 11,000 Est. Cost $1.27 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PDL BIOPHARMA INC	9,702,000	$10,272	20.6%	$0.96	—	NOTE 2.750%12/0	69329YAG9
—	COLONY CAP INC	8,452,000	$7,269	14.6%	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	EZCORP INC	9,058,000	$7,004	14.0%	$0.83	—	NOTE 2.375% 5/0	302301AE6
—	TUTOR PERINI CORP	6,844,000	$6,448	12.9%	$0.92	—	NOTE 2.875% 6/1	901109AD0
—	PROSPECT CAP CORP	5,358,000	$4,874	9.8%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,732,000	$4,610	9.2%	$0.95	—	DBCV 4.375% 2/0	427096AF9
PSEC	PROSPECT CAP CORP	159,755	$816	1.6%	$2.47	-6.4%	COM	74348T102
CODI	COMPASS DIVERSIFIED HOLDINGS	41,049	$708	1.4%	$11.62	+9.3%	SH BEN INT	20451Q104
IBM	INTERNATIONAL BUSINESS MACHS	4,890	$591	1.2%	$106.68	-14.3%	COM	459200101
—	SCULPTOR CAP MGMT	36,133	$467	0.9%	$19.49	—	COM CL A	811246107
REM	ISHARES TR	17,102	$425	0.9%	$45.22	—	MORTGE REL ETF	46435G342
MPC	MARATHON PETE CORP	10,589	$396	0.8%	$27.17	0.0%	COM	56585A102
—	BLACKROCK CR ALLOCATION INCO	26,341	$348	0.7%	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	32,417	$330	0.7%	$10.66	—	COM	09255P107
IRM	IRON MTN INC NEW	12,474	$326	0.7%	$19.29	0.0%	COM	46284V101
SLRC	SOLAR CAP LTD	18,469	$296	0.6%	$9.85	-12.9%	COM	83413U100
—	ALLIANCEBERNSTEIN GLOBAL HIG	28,522	$288	0.6%	$12.12	—	COM	01879R106
—	JERNIGAN CAP INC	19,300	$264	0.5%	$13.68	—	COM	476405105
SPY	SPDR S&P 500 ETF TR	854	$263	0.5%	$292.97	—	TR UNIT	78462F103
KHC	KRAFT HEINZ CO	8,021	$256	0.5%	$23.07	0.0%	COM	500754106
PBI	PITNEY BOWES INC	94,307	$245	0.5%	$3.61	-30.8%	COM	724479100
VWO	VANGUARD INTL EQUITY INDEX F	5,803	$230	0.5%	$39.63	—	FTSE EMR MKT ETF	922042858
—	PDL BIOPHARMA INC	77,707	$226	0.5%	$2.91	—	COM	69329Y104
VZ	VERIZON COMMUNICATIONS INC	4,061	$224	0.4%	$36.08	+12.9%	COM	92343V104
EFA	ISHARES TR	3,664	$223	0.4%	$60.86	—	MSCI EAFE ETF	464287465
—	CALAMOS STRATEGIC TOTL RETN	17,362	$216	0.4%	$12.24	—	COM SH BEN INT	128125101
CVX	CHEVRON CORP NEW	2,406	$215	0.4%	$69.83	0.0%	COM	166764100
—	ADAMS DIVERSIFIED EQUITY FD	14,298	$213	0.4%	$15.37	—	COM	006212104
HPQ	HP INC	11,876	$207	0.4%	$15.34	-14.7%	COM	40434L105
—	OAKTREE SPECIALTY LENDING CO	44,995	$201	0.4%	$4.47	—	COM	67401P108
—	BLACKROCK MULTI-SECTOR INC T	12,162	$175	0.4%	$16.73	—	COM	09258A107
—	COHEN & STEERS QUALITY INCOM	15,732	$172	0.3%	$10.93	—	COM	19247L106
—	TEMPLETON EMERGING MKTS INCO	19,660	$154	0.3%	$10.29	—	COM	880192109
—	EATON VANCE MUN BD FD	11,731	$149	0.3%	$12.86	—	COM	27827X101
XMUIX	BLACKROCK MUNI INTER DR FD I	10,645	$147	0.3%	$14.22	—	COM	09253X102
—	NUVEEN QUALITY MUNCP INCOME	10,441	$146	0.3%	$14.60	—	COM	67066V101
—	NUVEEN AMT FREE QLTY MUN INC	10,258	$143	0.3%	$14.37	—	COM	670657105
—	ALLIANCEBERNSTEIN NATL MUNI	10,561	$141	0.3%	$13.96	—	COM	01864U106
FATAQ	FAT BRANDS INC	36,760	$127	0.3%	$2.09	-34.6%	COM	30258N105
WT	WISDOMTREE INVTS INC	14,180	$49	0.1%	$3.04	0.0%	COM	97717P104
—	FLUIDIGM CORP DEL	48,000	$48	0.1%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	ENVESTNET INC	11,000	$14	0.0%	$1.27	—	NOTE 1.750% 6/0	29404KAB2