13F-HR filed by SMH CAPITAL ADVISORS INC
SMH CAPITAL ADVISORS INC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-10-26, with 57 holding rows worth $54,421,000.
- Accession
- 0001085146-21-002901
- Filer
- CIK 1180391
- Filed
- 2021-10-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 57 entries on the cover page, a total value of $54,421,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $54,421,000 with VALUE read as thousands by filing date, 13F file number 028-10258. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 9,574,000 | $9,987,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 9,177,000 | $9,354,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 5,198,000 | $5,320,000 | thousands by filing date | |
| HELLO GROUP INC | 60879BAB3 | NOTE 1.250% 7/0 | 4,797,000 | $4,044,000 | thousands by filing date | |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 3,506,000 | $3,190,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 77,411 | $2,181,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 51,829 | $1,472,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 38,224 | $1,066,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 132,197 | $1,018,000 | thousands by filing date | |
| Apollo Global Management Inc | 03768E105 | COM CL A | 13,319 | $820,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 58,859 | $819,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 8,900 | $779,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 9,250 | $777,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 37,714 | $743,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 119,295 | $679,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 13,832 | $601,000 | thousands by filing date | |
| ADVANCED FLOWER CAP INC | 00109K105 | COM | 26,000 | $561,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 2,390 | $552,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 18,408 | $497,000 | thousands by filing date | |
| VIRTUS EQUITY & CONV INCM FD | 92841M101 | COM | 15,616 | $460,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 3,076 | $427,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 7,905 | $427,000 | thousands by filing date | |
| PERELLA WEINBERG PARTNERS | 71367G102 | COMMON STOCK | 31,138 | $413,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 3,992 | $405,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 25,690 | $389,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 31,584 | $385,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 2,521 | $366,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,547 | $355,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 28,363 | $348,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 47,154 | $340,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 12,182 | $333,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 45,226 | $319,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 17,897 | $317,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 14,994 | $297,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 7,909 | $291,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 9,910 | $272,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 10,430 | $269,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 16,730 | $249,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 13,198 | $247,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 7,028 | $246,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 8,951 | $244,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 4,016 | $236,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 520 | $223,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 9,487 | $217,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 11,330 | $217,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 1,618 | $207,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 12,729 | $199,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 13,251 | $198,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 12,754 | $194,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 14,034 | $188,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 11,950 | $182,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 22,997 | $178,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V | 31810Q107 | COM CL A | 11,547 | $117,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 19,091 | $108,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 53,000 | $54,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 31,000 | $30,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 11,000 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-002901 | this filing | 2021-10-26 | acceptance time not in the bulk data set |