SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q4 2020 (← Previous) (Next →)

Filing Date: Jan 20, 2021

Total Value ($000): $39,498 (100.0% shares, 0.0% debt)

Holdings (44)

— COLONY CAP INC 20.8%

Value ($000) $8,202 Shares 8,356,000 Est. Cost $0.91 Unrealized —

— TUTOR PERINI CORP 16.8%

Value ($000) $6,651 Shares 6,787,000 Est. Cost $0.92 Unrealized —

— PROSPECT CAP CORP 13.7%

Value ($000) $5,400 Shares 5,275,000 Est. Cost $1.00 Unrealized —

— HERCULES CAPITAL INC 12.1%

Value ($000) $4,768 Shares 4,644,000 Est. Cost $0.95 Unrealized —

— EZCORP INC 4.5%

Value ($000) $1,767 Shares 2,202,000 Est. Cost $0.83 Unrealized —

PSEC PROSPECT CAP CORP 2.2%

Value ($000) $859 Shares 158,723 Est. Cost $2.47 Unrealized +12.9%

CODI COMPASS DIVERSIFIED 2.0%

Value ($000) $796 Shares 40,925 Est. Cost $11.62 Unrealized +27.3%

HYG ISHARES TR 1.7%

Value ($000) $672 Shares 7,700 Est. Cost $87.27 Unrealized —

PBI PITNEY BOWES INC 1.5%

Value ($000) $581 Shares 94,307 Est. Cost $3.61 Unrealized +66.4%

— PERSHING SQUARE TONTINE HLDG 1.4%

Value ($000) $550 Shares 19,856 Est. Cost $22.70 Unrealized —

REM ISHARES TR 1.4%

Value ($000) $542 Shares 17,008 Est. Cost $45.22 Unrealized —

— SCULPTOR CAP MGMT 1.4%

Value ($000) $541 Shares 35,575 Est. Cost $19.49 Unrealized —

— STORE CAP CORP 1.2%

Value ($000) $484 Shares 14,244 Est. Cost $27.41 Unrealized —

MPC MARATHON PETE CORP 1.1%

Value ($000) $435 Shares 10,521 Est. Cost $27.17 Unrealized +15.2%

IRM IRON MTN INC NEW 1.0%

Value ($000) $408 Shares 13,832 Est. Cost $19.63 Unrealized +12.7%

IBM INTERNATIONAL BUSINESS MACHS 1.0%

Value ($000) $377 Shares 2,996 Est. Cost $106.68 Unrealized -12.4%

RMR RMR GROUP INC 1.0%

Value ($000) $377 Shares 9,752 Est. Cost $16.72 Unrealized +15.0%

— BLACKROCK CR ALLOCATION INCO 0.9%

Value ($000) $365 Shares 24,818 Est. Cost $12.96 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.9%

Value ($000) $350 Shares 30,587 Est. Cost $10.66 Unrealized —

SPG SIMON PPTY GROUP INC NEW 0.8%

Value ($000) $332 Shares 3,896 Est. Cost $48.49 Unrealized +18.9%

EFA ISHARES TR 0.8%

Value ($000) $331 Shares 4,536 Est. Cost $61.39 Unrealized —

SLRC SOLAR CAP LTD 0.8%

Value ($000) $326 Shares 18,600 Est. Cost $9.85 Unrealized +1.9%

— ALLIANCEBERNSTEIN GLOBAL HIG 0.8%

Value ($000) $318 Shares 27,027 Est. Cost $12.12 Unrealized —

HPQ HP INC 0.7%

Value ($000) $294 Shares 11,945 Est. Cost $15.34 Unrealized +14.8%

— COLONY CR REAL ESTATE INC 0.7%

Value ($000) $273 Shares 36,450 Est. Cost $4.90 Unrealized —

KHC KRAFT HEINZ CO 0.7%

Value ($000) $269 Shares 7,765 Est. Cost $23.07 Unrealized +10.7%

VWO VANGUARD INTL EQUITY INDEX F 0.7%

Value ($000) $269 Shares 5,366 Est. Cost $39.63 Unrealized —

— CALAMOS STRATEGIC TOTL RETN 0.7%

Value ($000) $268 Shares 16,993 Est. Cost $12.24 Unrealized —

— OAKTREE SPECIALTY LENDING CO 0.6%

Value ($000) $242 Shares 43,458 Est. Cost $4.47 Unrealized —

— ADAMS DIVERSIFIED EQUITY FD 0.6%

Value ($000) $241 Shares 13,965 Est. Cost $15.37 Unrealized —

VZ VERIZON COMMUNICATIONS INC 0.6%

Value ($000) $238 Shares 4,051 Est. Cost $36.08 Unrealized +21.9%

— EATON VANCE TAX ADVT DIV INC 0.5%

Value ($000) $217 Shares 9,187 Est. Cost $23.62 Unrealized —

— FINTECH ACQUISITION CORP IV 0.5%

Value ($000) $217 Shares 19,172 Est. Cost $11.32 Unrealized —

— COHEN & STEERS LTD DURATION 0.5%

Value ($000) $214 Shares 8,057 Est. Cost $26.56 Unrealized —

— BLACKROCK MULTI-SECTOR INC T 0.5%

Value ($000) $209 Shares 11,893 Est. Cost $16.73 Unrealized —

CVX CHEVRON CORP NEW 0.5%

Value ($000) $205 Shares 2,427 Est. Cost $65.02 Unrealized 0.0%

— GABELLI DIVID & INCOME TR 0.5%

Value ($000) $203 Shares 9,476 Est. Cost $21.42 Unrealized —

— COHEN & STEERS QUALITY INCOM 0.5%

Value ($000) $190 Shares 15,337 Est. Cost $10.93 Unrealized —

— TEMPLETON EMERGING MKTS INCO 0.4%

Value ($000) $153 Shares 19,743 Est. Cost $10.25 Unrealized —

— EATON VANCE MUN BD FD 0.4%

Value ($000) $148 Shares 10,916 Est. Cost $12.86 Unrealized —

LNSR LENSAR INC 0.2%

Value ($000) $84 Shares 11,638 Est. Cost $8.58 Unrealized 0.0%

WT WISDOMTREE INVTS INC 0.2%

Value ($000) $79 Shares 14,838 Est. Cost $3.10 Unrealized +38.7%

— FLUIDIGM CORP DEL 0.1%

Value ($000) $38 Shares 38,000 Est. Cost $0.82 Unrealized —

— ENVESTNET INC 0.0%

Value ($000) $15 Shares 11,000 Est. Cost $1.27 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	COLONY CAP INC	8,356,000	$8,202	20.8%	$0.91	—	NOTE 5.000% 4/1	19624RAA4
—	TUTOR PERINI CORP	6,787,000	$6,651	16.8%	$0.92	—	NOTE 2.875% 6/1	901109AD0
—	PROSPECT CAP CORP	5,275,000	$5,400	13.7%	$1.00	—	NOTE 4.950% 7/1	74348TAR3
—	HERCULES CAPITAL INC	4,644,000	$4,768	12.1%	$0.95	—	DBCV 4.375% 2/0	427096AF9
—	EZCORP INC	2,202,000	$1,767	4.5%	$0.83	—	NOTE 2.375% 5/0	302301AE6
PSEC	PROSPECT CAP CORP	158,723	$859	2.2%	$2.47	+12.9%	COM	74348T102
CODI	COMPASS DIVERSIFIED	40,925	$796	2.0%	$11.62	+27.3%	SH BEN INT	20451Q104
HYG	ISHARES TR	7,700	$672	1.7%	$87.27	—	IBOXX HI YD ETF	464288513
PBI	PITNEY BOWES INC	94,307	$581	1.5%	$3.61	+66.4%	COM	724479100
—	PERSHING SQUARE TONTINE HLDG	19,856	$550	1.4%	$22.70	—	COM CL A	71531R109
REM	ISHARES TR	17,008	$542	1.4%	$45.22	—	MORTGE REL ETF	46435G342
—	SCULPTOR CAP MGMT	35,575	$541	1.4%	$19.49	—	COM CL A	811246107
—	STORE CAP CORP	14,244	$484	1.2%	$27.41	—	COM	862121100
MPC	MARATHON PETE CORP	10,521	$435	1.1%	$27.17	+15.2%	COM	56585A102
IRM	IRON MTN INC NEW	13,832	$408	1.0%	$19.63	+12.7%	COM	46284V101
IBM	INTERNATIONAL BUSINESS MACHS	2,996	$377	1.0%	$106.68	-12.4%	COM	459200101
RMR	RMR GROUP INC	9,752	$377	1.0%	$16.72	+15.0%	CL A	74967R106
—	BLACKROCK CR ALLOCATION INCO	24,818	$365	0.9%	$12.96	—	COM	092508100
—	BLACKROCK CORPOR HI YLD FD I	30,587	$350	0.9%	$10.66	—	COM	09255P107
SPG	SIMON PPTY GROUP INC NEW	3,896	$332	0.8%	$48.49	+18.9%	COM	828806109
EFA	ISHARES TR	4,536	$331	0.8%	$61.39	—	MSCI EAFE ETF	464287465
SLRC	SOLAR CAP LTD	18,600	$326	0.8%	$9.85	+1.9%	COM	83413U100
—	ALLIANCEBERNSTEIN GLOBAL HIG	27,027	$318	0.8%	$12.12	—	COM	01879R106
HPQ	HP INC	11,945	$294	0.7%	$15.34	+14.8%	COM	40434L105
—	COLONY CR REAL ESTATE INC	36,450	$273	0.7%	$4.90	—	COM CL A	19625T101
KHC	KRAFT HEINZ CO	7,765	$269	0.7%	$23.07	+10.7%	COM	500754106
VWO	VANGUARD INTL EQUITY INDEX F	5,366	$269	0.7%	$39.63	—	FTSE EMR MKT ETF	922042858
—	CALAMOS STRATEGIC TOTL RETN	16,993	$268	0.7%	$12.24	—	COM SH BEN INT	128125101
—	OAKTREE SPECIALTY LENDING CO	43,458	$242	0.6%	$4.47	—	COM	67401P108
—	ADAMS DIVERSIFIED EQUITY FD	13,965	$241	0.6%	$15.37	—	COM	006212104
VZ	VERIZON COMMUNICATIONS INC	4,051	$238	0.6%	$36.08	+21.9%	COM	92343V104
—	EATON VANCE TAX ADVT DIV INC	9,187	$217	0.5%	$23.62	—	COM	27828G107
—	FINTECH ACQUISITION CORP IV	19,172	$217	0.5%	$11.32	—	CL A	31810N104
—	COHEN & STEERS LTD DURATION	8,057	$214	0.5%	$26.56	—	COM	19248C105
—	BLACKROCK MULTI-SECTOR INC T	11,893	$209	0.5%	$16.73	—	COM	09258A107
CVX	CHEVRON CORP NEW	2,427	$205	0.5%	$65.02	0.0%	COM	166764100
—	GABELLI DIVID & INCOME TR	9,476	$203	0.5%	$21.42	—	COM	36242H104
—	COHEN & STEERS QUALITY INCOM	15,337	$190	0.5%	$10.93	—	COM	19247L106
—	TEMPLETON EMERGING MKTS INCO	19,743	$153	0.4%	$10.25	—	COM	880192109
—	EATON VANCE MUN BD FD	10,916	$148	0.4%	$12.86	—	COM	27827X101
LNSR	LENSAR INC	11,638	$84	0.2%	$8.58	0.0%	COM	52634L108
WT	WISDOMTREE INVTS INC	14,838	$79	0.2%	$3.10	+38.7%	COM	97717P104
—	FLUIDIGM CORP DEL	38,000	$38	0.1%	$0.82	—	NOTE 2.750% 2/0	34385PAA6
—	ENVESTNET INC	11,000	$15	0.0%	$1.27	—	NOTE 1.750% 6/0	29404KAB2