SMH CAPITAL ADVISORS INC Long-Term Concentrated

CIK: 0001180391 · Show all filings

Period: Q3 2023 (← Previous) (Next →)

Filing Date: Nov 8, 2023

Total Value ($000): $42,842 (28.1% shares, 71.9% debt)

Holdings (44)

— NIO INC 26.3%

Value ($000) $11,265 Shares 12,911,000 Est. Cost $0.83 Unrealized —

— WISDOMTREE INC 21.4%

Value ($000) $9,175 Shares 9,449,000 Est. Cost $0.97 Unrealized —

— FUBOTV INC 19.6%

Value ($000) $8,383 Shares 12,662,000 Est. Cost $0.58 Unrealized —

— EZCORP INC 4.5%

Value ($000) $1,935 Shares 2,075,000 Est. Cost $0.92 Unrealized —

CODI COMPASS DIVERSIFIED 3.2%

Value ($000) $1,356 Shares 72,231 Est. Cost $15.80 Unrealized +22.0%

APO APOLLO GLOBAL MGMT INC 2.6%

Value ($000) $1,096 Shares 12,206 Est. Cost $59.75 Unrealized +35.7%

MAIN MAIN STR CAP CORP 1.7%

Value ($000) $738 Shares 18,166 Est. Cost $40.80 Unrealized 0.0%

PSEC PROSPECT CAP CORP 1.4%

Value ($000) $609 Shares 100,720 Est. Cost $2.51 Unrealized +73.0%

NXDT NEXPOINT DIVERSIFIED REL ET 1.2%

Value ($000) $495 Shares 56,786 Est. Cost $12.21 Unrealized —

VICI VICI PPTYS INC 1.0%

Value ($000) $443 Shares 15,232 Est. Cost $27.60 Unrealized -2.1%

IBM INTERNATIONAL BUSINESS MACHS 1.0%

Value ($000) $430 Shares 3,065 Est. Cost $108.25 Unrealized +21.7%

VZ VERIZON COMMUNICATIONS INC 1.0%

Value ($000) $413 Shares 12,730 Est. Cost $35.82 Unrealized -19.1%

T AT&T INC 0.9%

Value ($000) $395 Shares 26,321 Est. Cost $16.27 Unrealized -20.4%

CSWC CAPITAL SOUTHWEST CORP 0.9%

Value ($000) $390 Shares 17,023 Est. Cost $12.33 Unrealized +31.8%

GROW U S GLOBAL INVS INC 0.8%

Value ($000) $323 Shares 113,323 Est. Cost $6.76 Unrealized -55.2%

AFCG AFC GAMMA INC 0.7%

Value ($000) $305 Shares 26,000 Est. Cost $8.38 Unrealized -24.7%

QQQ INVESCO QQQ TR 0.7%

Value ($000) $286 Shares 798 Est. Cost $322.23 Unrealized —

KHC KRAFT HEINZ CO 0.6%

Value ($000) $278 Shares 8,259 Est. Cost $25.80 Unrealized +18.2%

— VIRTUS EQUITY & CONV INCM FD 0.6%

Value ($000) $267 Shares 13,418 Est. Cost $26.31 Unrealized —

JEF JEFFERIES FINL GROUP INC 0.6%

Value ($000) $262 Shares 7,158 Est. Cost $29.93 Unrealized +11.4%

SPY SPDR S&P 500 ETF TR 0.6%

Value ($000) $259 Shares 605 Est. Cost $415.12 Unrealized —

— ALLIANCEBERNSTEIN GLOBAL HIG 0.6%

Value ($000) $253 Shares 26,121 Est. Cost $11.67 Unrealized —

— BLACKROCK CORPOR HI YLD FD I 0.6%

Value ($000) $250 Shares 29,005 Est. Cost $10.42 Unrealized —

HYG ISHARES TR 0.6%

Value ($000) $249 Shares 3,380 Est. Cost $73.63 Unrealized —

EFA ISHARES TR 0.6%

Value ($000) $249 Shares 3,612 Est. Cost $73.66 Unrealized —

PWP PERELLA WEINBERG PARTNERS 0.6%

Value ($000) $242 Shares 23,796 Est. Cost $10.61 Unrealized -8.1%

— ADAMS DIVERSIFIED EQUITY FD 0.6%

Value ($000) $237 Shares 14,262 Est. Cost $15.80 Unrealized —

— CALAMOS STRATEGIC TOTAL RETU 0.5%

Value ($000) $235 Shares 16,686 Est. Cost $13.06 Unrealized —

— BLACKROCK CR ALLOCATION INCO 0.5%

Value ($000) $230 Shares 23,744 Est. Cost $12.55 Unrealized —

VCTR VICTORY CAP HLDGS INC 0.5%

Value ($000) $217 Shares 6,499 Est. Cost $25.07 Unrealized +23.4%

— BLACKROCK MULTI SECTOR INC T 0.4%

Value ($000) $186 Shares 12,884 Est. Cost $16.06 Unrealized —

ONL ORION OFFICE REIT INC 0.4%

Value ($000) $177 Shares 34,002 Est. Cost $8.68 Unrealized —

— COHEN & STEERS QUALITY INCOM 0.4%

Value ($000) $154 Shares 15,249 Est. Cost $12.01 Unrealized —

PBI PITNEY BOWES INC 0.3%

Value ($000) $142 Shares 47,154 Est. Cost $3.61 Unrealized -5.1%

WT WISDOMTREE INC 0.3%

Value ($000) $130 Shares 18,554 Est. Cost $4.62 Unrealized +51.3%

— NUVEEN QUALITY MUNCP INCOME 0.3%

Value ($000) $119 Shares 11,719 Est. Cost $15.97 Unrealized —

— EATON VANCE MUN BD FD 0.3%

Value ($000) $118 Shares 13,209 Est. Cost $13.04 Unrealized —

XMUIX BLACKROCK MUNICIPAL INCOME 0.3%

Value ($000) $117 Shares 11,552 Est. Cost $15.62 Unrealized —

— ALLIANCEBERNSTEIN NATL MUN I 0.3%

Value ($000) $114 Shares 12,230 Est. Cost $15.19 Unrealized —

— NUVEEN AMT FREE QLTY MUN INC 0.3%

Value ($000) $114 Shares 11,795 Est. Cost $15.62 Unrealized —

— TEMPLETON EMERGING MKTS INCO 0.2%

Value ($000) $103 Shares 22,432 Est. Cost $7.68 Unrealized —

MPT MEDICAL PPTYS TRUST INC 0.2%

Value ($000) $66 Shares 12,170 Est. Cost $11.14 Unrealized —

— STANDARD BIOTOOLS INC 0.1%

Value ($000) $27 Shares 28,000 Est. Cost $0.96 Unrealized —

— HELLO GROUP INC 0.0%

Value ($000) $10 Shares 10,000 Est. Cost $1.00 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	NIO INC	12,911,000	$11,265	26.3%	$0.83	—	NOTE 0.500% 2/0	62914VAF3
—	WISDOMTREE INC	9,449,000	$9,175	21.4%	$0.97	—	NOTE 3.250% 6/1	97717PAD6
—	FUBOTV INC	12,662,000	$8,383	19.6%	$0.58	—	NOTE 3.250% 2/1	35953DAB0
—	EZCORP INC	2,075,000	$1,935	4.5%	$0.92	—	NOTE 2.375% 5/0	302301AE6
CODI	COMPASS DIVERSIFIED	72,231	$1,356	3.2%	$15.80	+22.0%	SH BEN INT	20451Q104
APO	APOLLO GLOBAL MGMT INC	12,206	$1,096	2.6%	$59.75	+35.7%	COM	03769M106
MAIN	MAIN STR CAP CORP	18,166	$738	1.7%	$40.80	0.0%	COM	56035L104
PSEC	PROSPECT CAP CORP	100,720	$609	1.4%	$2.51	+73.0%	COM	74348T102
NXDT	NEXPOINT DIVERSIFIED REL ET	56,786	$495	1.2%	$12.21	—	COM NEW	65340G205
VICI	VICI PPTYS INC	15,232	$443	1.0%	$27.60	-2.1%	COM	925652109
IBM	INTERNATIONAL BUSINESS MACHS	3,065	$430	1.0%	$108.25	+21.7%	COM	459200101
VZ	VERIZON COMMUNICATIONS INC	12,730	$413	1.0%	$35.82	-19.1%	COM	92343V104
T	AT&T INC	26,321	$395	0.9%	$16.27	-20.4%	COM	00206R102
CSWC	CAPITAL SOUTHWEST CORP	17,023	$390	0.9%	$12.33	+31.8%	COM	140501107
GROW	U S GLOBAL INVS INC	113,323	$323	0.8%	$6.76	-55.2%	CL A	902952100
AFCG	AFC GAMMA INC	26,000	$305	0.7%	$8.38	-24.7%	COM	00109K105
QQQ	INVESCO QQQ TR	798	$286	0.7%	$322.23	—	UNIT SER 1	46090E103
KHC	KRAFT HEINZ CO	8,259	$278	0.6%	$25.80	+18.2%	COM	500754106
—	VIRTUS EQUITY & CONV INCM FD	13,418	$267	0.6%	$26.31	—	COM	92841M101
JEF	JEFFERIES FINL GROUP INC	7,158	$262	0.6%	$29.93	+11.4%	COM	47233W109
SPY	SPDR S&P 500 ETF TR	605	$259	0.6%	$415.12	—	TR UNIT	78462F103
—	ALLIANCEBERNSTEIN GLOBAL HIG	26,121	$253	0.6%	$11.67	—	COM	01879R106
—	BLACKROCK CORPOR HI YLD FD I	29,005	$250	0.6%	$10.42	—	COM	09255P107
HYG	ISHARES TR	3,380	$249	0.6%	$73.63	—	IBOXX HI YD ETF	464288513
EFA	ISHARES TR	3,612	$249	0.6%	$73.66	—	MSCI EAFE ETF	464287465
PWP	PERELLA WEINBERG PARTNERS	23,796	$242	0.6%	$10.61	-8.1%	CLASS A COM	71367G102
—	ADAMS DIVERSIFIED EQUITY FD	14,262	$237	0.6%	$15.80	—	COM	006212104
—	CALAMOS STRATEGIC TOTAL RETU	16,686	$235	0.5%	$13.06	—	COM SH BEN INT	128125101
—	BLACKROCK CR ALLOCATION INCO	23,744	$230	0.5%	$12.55	—	COM	092508100
VCTR	VICTORY CAP HLDGS INC	6,499	$217	0.5%	$25.07	+23.4%	COM CL A	92645B103
—	BLACKROCK MULTI SECTOR INC T	12,884	$186	0.4%	$16.06	—	COM	09258A107
ONL	ORION OFFICE REIT INC	34,002	$177	0.4%	$8.68	—	COM	68629Y103
—	COHEN & STEERS QUALITY INCOM	15,249	$154	0.4%	$12.01	—	COM	19247L106
PBI	PITNEY BOWES INC	47,154	$142	0.3%	$3.61	-5.1%	COM	724479100
WT	WISDOMTREE INC	18,554	$130	0.3%	$4.62	+51.3%	COM	97717P104
—	NUVEEN QUALITY MUNCP INCOME	11,719	$119	0.3%	$15.97	—	COM	67066V101
—	EATON VANCE MUN BD FD	13,209	$118	0.3%	$13.04	—	COM	27827X101
XMUIX	BLACKROCK MUNICIPAL INCOME	11,552	$117	0.3%	$15.62	—	COM	09253X102
—	ALLIANCEBERNSTEIN NATL MUN I	12,230	$114	0.3%	$15.19	—	COM	01864U106
—	NUVEEN AMT FREE QLTY MUN INC	11,795	$114	0.3%	$15.62	—	COM	670657105
—	TEMPLETON EMERGING MKTS INCO	22,432	$103	0.2%	$7.68	—	COM	880192109
MPT	MEDICAL PPTYS TRUST INC	12,170	$66	0.2%	$11.14	—	COM	58463J304
—	STANDARD BIOTOOLS INC	28,000	$27	0.1%	$0.96	—	NOTE 2.750% 2/0	34385PAA6
—	HELLO GROUP INC	10,000	$10	0.0%	$1.00	—	NOTE 1.250% 7/0	60879BAB3