SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q3 2020 (← Previous) (Next →)

Filing Date: Nov 4, 2020

Total Value ($000): $43,003 (100.0% shares, 0.0% debt)

Holdings (44)

— COLONY CAP INC 19.0%

Value ($000) $8,165 Shares 8,416,000 Est. Cost $0.91 Unrealized —

— EZCORP INC 16.4%

Value ($000) $7,036 Shares 9,027,000 Est. Cost $0.83 Unrealized —

— TUTOR PERINI CORP 15.6%

Value ($000) $6,726 Shares 6,815,000 Est. Cost $0.92 Unrealized —

— PROSPECT CAP CORP 12.5%

Value ($000) $5,370 Shares 5,329,000 Est. Cost $1.00 Unrealized —

— HERCULES CAPITAL INC 11.0%

Value ($000) $4,709 Shares 4,691,000 Est. Cost $0.95 Unrealized —

PSEC PROSPECT CAP CORP 1.9%

Value ($000) $801 Shares 159,341 Est. Cost $2.47 Unrealized +4.0%

CODI COMPASS DIVERSIFIED 1.8%

Value ($000) $780 Shares 40,936 Est. Cost $11.62 Unrealized +11.4%

— PDL BIOPHARMA INC 1.2%

Value ($000) $511 Shares 162,336 Est. Cost $3.03 Unrealized —

— PERSHING SQUARE TONTINE HLDG 1.1%

Value ($000) $457 Shares 20,136 Est. Cost $22.70 Unrealized —

REM ISHARES TR 1.0%

Value ($000) $438 Shares 17,008 Est. Cost $45.22 Unrealized —

— SCULPTOR CAP MGMT 1.0%

Value ($000) $418 Shares 35,575 Est. Cost $19.49 Unrealized —

— STORE CAP CORP 1.0%

Value ($000) $412 Shares 15,031 Est. Cost $27.41 Unrealized —

IRM IRON MTN INC NEW 0.9%

Value ($000) $379 Shares 14,137 Est. Cost $19.63 Unrealized +13.2%

— BLACKROCK CR ALLOCATION INCO 0.9%

Value ($000) $369 Shares 25,967 Est. Cost $12.96 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 0.8%

Value ($000) $362 Shares 2,978 Est. Cost $106.68 Unrealized -12.0%

— BLACKROCK CORPOR HI YLD FD I 0.8%

Value ($000) $341 Shares 31,975 Est. Cost $10.66 Unrealized —

— JERNIGAN CAP INC 0.8%

Value ($000) $331 Shares 19,300 Est. Cost $13.68 Unrealized —

PBI PITNEY BOWES INC 0.7%

Value ($000) $315 Shares 94,307 Est. Cost $3.61 Unrealized +27.8%

MPC MARATHON PETE CORP 0.7%

Value ($000) $310 Shares 10,563 Est. Cost $27.17 Unrealized +10.9%

— ALLIANCEBERNSTEIN GLOBAL HIG 0.7%

Value ($000) $297 Shares 28,214 Est. Cost $12.12 Unrealized —

SLRC SOLAR CAP LTD 0.7%

Value ($000) $292 Shares 18,432 Est. Cost $9.85 Unrealized -3.8%

EFA ISHARES TR 0.7%

Value ($000) $288 Shares 4,525 Est. Cost $61.39 Unrealized —

RMR RMR GROUP INC 0.6%

Value ($000) $274 Shares 9,959 Est. Cost $16.72 Unrealized 0.0%

SPG SIMON PPTY GROUP INC NEW 0.6%

Value ($000) $256 Shares 3,953 Est. Cost $48.49 Unrealized 0.0%

VZ VERIZON COMMUNICATIONS INC 0.6%

Value ($000) $241 Shares 4,049 Est. Cost $36.08 Unrealized +18.0%

VWO VANGUARD INTL EQUITY INDEX F 0.5%

Value ($000) $235 Shares 5,430 Est. Cost $39.63 Unrealized —

KHC KRAFT HEINZ CO 0.5%

Value ($000) $233 Shares 7,771 Est. Cost $23.07 Unrealized +12.2%

— CALAMOS STRATEGIC TOTL RETN 0.5%

Value ($000) $232 Shares 17,234 Est. Cost $12.24 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.5%

Value ($000) $229 Shares 14,156 Est. Cost $15.37 Unrealized —

HPQ HP INC 0.5%

Value ($000) $226 Shares 11,903 Est. Cost $15.34 Unrealized -1.1%

— OAKTREE SPECIALTY LENDING CO 0.5%

Value ($000) $216 Shares 44,675 Est. Cost $4.47 Unrealized —

FATAQ FAT BRANDS INC 0.5%

Value ($000) $207 Shares 36,760 Est. Cost $2.09 Unrealized -12.5%

— COLONY CR REAL ESTATE INC 0.4%

Value ($000) $191 Shares 38,951 Est. Cost $4.90 Unrealized —

— BLACKROCK MULTI-SECTOR INC T 0.4%

Value ($000) $190 Shares 12,069 Est. Cost $16.73 Unrealized —

— COHEN & STEERS QUALITY INCOM 0.4%

Value ($000) $173 Shares 15,601 Est. Cost $10.93 Unrealized —

— EATON VANCE MUN BD FD 0.4%

Value ($000) $155 Shares 11,804 Est. Cost $12.86 Unrealized —

XMUIX BLACKROCK MUNI INTER DR FD I 0.3%

Value ($000) $150 Shares 10,711 Est. Cost $14.22 Unrealized —

— NUVEEN QUALITY MUNCP INCOME 0.3%

Value ($000) $150 Shares 10,329 Est. Cost $14.60 Unrealized —

— NUVEEN AMT FREE QLTY MUN INC 0.3%

Value ($000) $148 Shares 10,321 Est. Cost $14.37 Unrealized —

— ALLIANCEBERNSTEIN NATL MUN I 0.3%

Value ($000) $148 Shares 10,624 Est. Cost $13.96 Unrealized —

— TEMPLETON EMERGING MKTS INCO 0.3%

Value ($000) $144 Shares 19,454 Est. Cost $10.29 Unrealized —

WT WISDOMTREE INVTS INC 0.1%

Value ($000) $45 Shares 14,086 Est. Cost $3.04 Unrealized +18.7%

— FLUIDIGM CORP DEL 0.1%

Value ($000) $39 Shares 38,000 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
—	COLONY CAP INC	8,416,000	$8,165	19.0%	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	EZCORP INC	9,027,000	$7,036	16.4%	$0.83	—	NOTE 2.375% 5/0	302301AE6
—	TUTOR PERINI CORP	6,815,000	$6,726	15.6%	$0.92	—	NOTE 2.875% 6/1	901109AD0
—	PROSPECT CAP CORP	5,329,000	$5,370	12.5%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,691,000	$4,709	11.0%	$0.95	—	DBCV 4.375% 2/0	427096AF9
PSEC	PROSPECT CAP CORP	159,341	$801	1.9%	$2.47	+4.0%	COM	74348T102
CODI	COMPASS DIVERSIFIED	40,936	$780	1.8%	$11.62	+11.4%	SH BEN INT	20451Q104
—	PDL BIOPHARMA INC	162,336	$511	1.2%	$3.03	—	COM	69329Y104
—	PERSHING SQUARE TONTINE HLDG	20,136	$457	1.1%	$22.70	—	COM CL A	71531R109
REM	ISHARES TR	17,008	$438	1.0%	$45.22	—	MORTGE REL ETF	46435G342
—	SCULPTOR CAP MGMT	35,575	$418	1.0%	$19.49	—	COM CL A	811246107
—	STORE CAP CORP	15,031	$412	1.0%	$27.41	—	COM	862121100
IRM	IRON MTN INC NEW	14,137	$379	0.9%	$19.63	+13.2%	COM	46284V101
—	BLACKROCK CR ALLOCATION INCO	25,967	$369	0.9%	$12.96	—	COM	092508100
IBM	INTERNATIONAL BUSINESS MACHS	2,978	$362	0.8%	$106.68	-12.0%	COM	459200101
—	BLACKROCK CORPOR HI YLD FD I	31,975	$341	0.8%	$10.66	—	COM	09255P107
—	JERNIGAN CAP INC	19,300	$331	0.8%	$13.68	—	COM	476405105
PBI	PITNEY BOWES INC	94,307	$315	0.7%	$3.61	+27.8%	COM	724479100
MPC	MARATHON PETE CORP	10,563	$310	0.7%	$27.17	+10.9%	COM	56585A102
—	ALLIANCEBERNSTEIN GLOBAL HIG	28,214	$297	0.7%	$12.12	—	COM	01879R106
SLRC	SOLAR CAP LTD	18,432	$292	0.7%	$9.85	-3.8%	COM	83413U100
EFA	ISHARES TR	4,525	$288	0.7%	$61.39	—	MSCI EAFE ETF	464287465
RMR	RMR GROUP INC	9,959	$274	0.6%	$16.72	0.0%	CL A	74967R106
SPG	SIMON PPTY GROUP INC NEW	3,953	$256	0.6%	$48.49	0.0%	COM	828806109
VZ	VERIZON COMMUNICATIONS INC	4,049	$241	0.6%	$36.08	+18.0%	COM	92343V104
VWO	VANGUARD INTL EQUITY INDEX F	5,430	$235	0.5%	$39.63	—	FTSE EMR MKT ETF	922042858
KHC	KRAFT HEINZ CO	7,771	$233	0.5%	$23.07	+12.2%	COM	500754106
—	CALAMOS STRATEGIC TOTL RETN	17,234	$232	0.5%	$12.24	—	COM SH BEN INT	128125101
—	ADAMS DIVERSIFIED EQUITY FD	14,156	$229	0.5%	$15.37	—	COM	006212104
HPQ	HP INC	11,903	$226	0.5%	$15.34	-1.1%	COM	40434L105
—	OAKTREE SPECIALTY LENDING CO	44,675	$216	0.5%	$4.47	—	COM	67401P108
FATAQ	FAT BRANDS INC	36,760	$207	0.5%	$2.09	-12.5%	COM	30258N105
—	COLONY CR REAL ESTATE INC	38,951	$191	0.4%	$4.90	—	COM CL A	19625T101
—	BLACKROCK MULTI-SECTOR INC T	12,069	$190	0.4%	$16.73	—	COM	09258A107
—	COHEN & STEERS QUALITY INCOM	15,601	$173	0.4%	$10.93	—	COM	19247L106
—	EATON VANCE MUN BD FD	11,804	$155	0.4%	$12.86	—	COM	27827X101
XMUIX	BLACKROCK MUNI INTER DR FD I	10,711	$150	0.3%	$14.22	—	COM	09253X102
—	NUVEEN QUALITY MUNCP INCOME	10,329	$150	0.3%	$14.60	—	COM	67066V101
—	NUVEEN AMT FREE QLTY MUN INC	10,321	$148	0.3%	$14.37	—	COM	670657105
—	ALLIANCEBERNSTEIN NATL MUN I	10,624	$148	0.3%	$13.96	—	COM	01864U106
—	TEMPLETON EMERGING MKTS INCO	19,454	$144	0.3%	$10.29	—	COM	880192109
WT	WISDOMTREE INVTS INC	14,086	$45	0.1%	$3.04	+18.7%	COM	97717P104
—	FLUIDIGM CORP DEL	38,000	$39	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