13F-HR filed by SMH CAPITAL ADVISORS INC
SMH CAPITAL ADVISORS INC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-08, with 44 holding rows worth $42,842,000.
- Accession
- 0001085146-23-004178
- Filer
- CIK 1180391
- Filed
- 2023-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 44 entries on the cover page, a total value of $42,842,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $42,842,000 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| NIO INC | 62914VAF3 | NOTE 0.500% 2/0 | 12,911,000 | $11,265,000 | dollars as filed | principal |
| WISDOMTREE INC | 97717PAD6 | NOTE 3.250% 6/1 | 9,449,000 | $9,175,000 | dollars as filed | principal |
| FUBOTV INC | 35953DAB0 | NOTE 3.250% 2/1 | 12,662,000 | $8,383,000 | dollars as filed | principal |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 2,075,000 | $1,935,000 | dollars as filed | principal |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 72,231 | $1,356,000 | dollars as filed | |
| APOLLO GLOBAL MGMT INC COM | 03769M106 | Stock | 12,206 | $1,096,000 | dollars as filed | |
| MAIN STR CAP CORP | 56035L104 | COM | 18,166 | $738,000 | dollars as filed | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100,720 | $609,000 | dollars as filed | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 56,786 | $495,000 | dollars as filed | |
| VICI PPTYS INC COM | 925652109 | REIT | 15,232 | $443,000 | dollars as filed | |
| International Business Machines Corporation | 459200101 | COM | 3,065 | $430,000 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 12,730 | $413,000 | dollars as filed | |
| AT&T Inc | 00206R102 | COM | 26,321 | $395,000 | dollars as filed | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 17,023 | $390,000 | dollars as filed | |
| U S GLOBAL INVS INC | 902952100 | CL A | 113,323 | $323,000 | dollars as filed | |
| ADVANCED FLOWER CAP INC | 00109K105 | COM | 26,000 | $305,000 | dollars as filed | |
| INVESCO QQQ TR | 46090E103 | COM | 798 | $286,000 | dollars as filed | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 8,259 | $278,000 | dollars as filed | |
| VIRTUS EQUITY & CONV INCM FD | 92841M101 | COM | 13,418 | $267,000 | dollars as filed | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 7,158 | $262,000 | dollars as filed | |
| SPY | 78462F103 | SHS | 605 | $259,000 | dollars as filed | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 26,121 | $253,000 | dollars as filed | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 29,005 | $250,000 | dollars as filed | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,380 | $249,000 | dollars as filed | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 3,612 | $249,000 | dollars as filed | |
| PERELLA WEINBERG PARTNERS | 71367G102 | COMMON STOCK | 23,796 | $242,000 | dollars as filed | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 14,262 | $237,000 | dollars as filed | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 16,686 | $235,000 | dollars as filed | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 23,744 | $230,000 | dollars as filed | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 6,499 | $217,000 | dollars as filed | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 12,884 | $186,000 | dollars as filed | |
| ORION PROPERTIES INC COM | 68629Y103 | REIT | 34,002 | $177,000 | dollars as filed | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 15,249 | $154,000 | dollars as filed | |
| PITNEY BOWES INC COM | 724479100 | Stock | 47,154 | $142,000 | dollars as filed | |
| WISDOMTREE INC | 97717P104 | COM | 18,554 | $130,000 | dollars as filed | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 11,719 | $119,000 | dollars as filed | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 13,209 | $118,000 | dollars as filed | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 11,552 | $117,000 | dollars as filed | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 11,795 | $114,000 | dollars as filed | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 12,230 | $114,000 | dollars as filed | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 22,432 | $103,000 | dollars as filed | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 12,170 | $66,000 | dollars as filed | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 28,000 | $27,000 | dollars as filed | principal |
| HELLO GROUP INC | 60879BAB3 | NOTE 1.250% 7/0 | 10,000 | $10,000 | dollars as filed | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-23-004178 | this filing | 2023-11-08 | acceptance time not in the bulk data set |