Filed: 8/8/2023ACC: 0001085146-23-003135
📋 What this filing means
SMH CAPITAL ADVISORS INC filed this quarterly 13F‑HR report disclosing 54 equity positions with a total reported market value of $46.21M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
54
Positions
$46.21M
Total AUM (reported)
38.38M
Total Shares
Allocation by class
COM$11.28M24.4%
NOTE 0.500% 2/0$10.76M23.3%
NOTE 3.250% 6/1$9.24M20.0%
NOTE 3.250% 2/1$7.32M15.8%
NOTE 2.375% 5/0$1.99M4.3%
SH BEN INT$1.65M3.6%
COM CL A$840.0K1.8%
Portfolio Concentration
Top 3$27.32M59.1%
4–10$7.31M15.8%
11–25$5.63M12.2%
Rest$5.95M12.9%
Top 3 weight
59.1%
Top 10 weight
74.9%
Voting Authority Distribution
Total shares with voting rights: 38.38M
Sole
Full voting authority
38.38M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole54
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings54
Rows:
NIO INC
SOLEShares12.97M
TypeSH
Market value$10.76M
23.29%
Sole
12.97M
Shared
0.00
None
0.00
WISDOMTREE INC
SOLEShares9.47M
TypeSH
Market value$9.24M
19.99%
Sole
9.47M
Shared
0.00
None
0.00
FUBOTV INC
SOLEShares12.66M
TypeSH
Market value$7.32M
15.84%
Sole
12.66M
Shared
0.00
None
0.00
EZCORP INC
SOLEShares2.16M
TypeSH
Market value$1.99M
4.30%
Sole
2.16M
Shared
0.00
None
0.00
COMPASS DIVERSIFIED
SOLEShares76.18K
TypeSH
Market value$1.65M
3.57%
Sole
76.18K
Shared
0.00
None
0.00
APOLLO GLOBAL MGMT INC
SOLEShares13.83K
TypeSH
Market value$1.06M
2.30%
Sole
13.83K
Shared
0.00
None
0.00
NEXPOINT DIVERSIFIED REL ET
SOLEShares61.08K
TypeSH
Market value$765.0K
1.66%
Sole
61.08K
Shared
0.00
None
0.00
CHEVRON CORP NEW
SOLEShares4.10K
TypeSH
Market value$645.0K
1.40%
Sole
4.10K
Shared
0.00
None
0.00
PROSPECT CAP CORP
SOLEShares100.72K
TypeSH
Market value$624.0K
1.35%
Sole
100.72K
Shared
0.00
None
0.00
SCULPTOR CAP MGMT
SOLEShares65.43K
TypeSH
Market value$578.0K
1.25%
Sole
65.43K
Shared
0.00
None
0.00
EXXON MOBIL CORP
SOLEShares4.68K
TypeSH
Market value$502.0K
1.09%
Sole
4.68K
Shared
0.00
None
0.00
VICI PPTYS INC
SOLEShares15.60K
TypeSH
Market value$490.0K
1.06%
Sole
15.60K
Shared
0.00
None
0.00
AT&T INC
SOLEShares29.40K
TypeSH
Market value$469.0K
1.01%
Sole
29.40K
Shared
0.00
None
0.00
INTERNATIONAL BUSINESS MACHS
SOLEShares3.47K
TypeSH
Market value$465.0K
1.01%
Sole
3.47K
Shared
0.00
None
0.00
U S GLOBAL INVS INC
SOLEShares128.27K
TypeSH
Market value$392.0K
0.85%
Sole
128.27K
Shared
0.00
None
0.00
VIRTUS EQUITY & CONV INCM FD
SOLEShares17.11K
TypeSH
Market value$362.0K
0.78%
Sole
17.11K
Shared
0.00
None
0.00
INVESCO QQQ TR
SOLEShares931.00
TypeSH
Market value$344.0K
0.74%
Sole
931.00
Shared
0.00
None
0.00
KRAFT HEINZ CO
SOLEShares9.63K
TypeSH
Market value$342.0K
0.74%
Sole
9.63K
Shared
0.00
None
0.00
ALLIANCEBERNSTEIN GLOBAL HIG
SOLEShares33.41K
TypeSH
Market value$333.0K
0.72%
Sole
33.41K
Shared
0.00
None
0.00
BLACKROCK CORPOR HI YLD FD I
SOLEShares37K
TypeSH
Market value$330.0K
0.71%
Sole
37K
Shared
0.00
None
0.00
VERIZON COMMUNICATIONS INC
SOLEShares8.73K
TypeSH
Market value$325.0K
0.70%
Sole
8.73K
Shared
0.00
None
0.00
CAPITAL SOUTHWEST CORP
SOLEShares16.43K
TypeSH
Market value$324.0K
0.70%
Sole
16.43K
Shared
0.00
None
0.00
AFC GAMMA INC
SOLEShares26K
TypeSH
Market value$324.0K
0.70%
Sole
26K
Shared
0.00
None
0.00
ADAMS DIVERSIFIED EQUITY FD
SOLEShares18.77K
TypeSH
Market value$316.0K
0.68%
Sole
18.77K
Shared
0.00
None
0.00
CALAMOS STRATEGIC TOTAL RETU
SOLEShares21.27K
TypeSH
Market value$314.0K
0.68%
Sole
21.27K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
NIO INCSOLE | NOTE 0.500% 2/0 | 12.97M | SH | $10.76M 23.29% | 12.97M | 0.00 | 0.00 |
WISDOMTREE INCSOLE | NOTE 3.250% 6/1 | 9.47M | SH | $9.24M 19.99% | 9.47M | 0.00 | 0.00 |
FUBOTV INCSOLE | NOTE 3.250% 2/1 | 12.66M | SH | $7.32M 15.84% | 12.66M | 0.00 | 0.00 |
EZCORP INCSOLE | NOTE 2.375% 5/0 | 2.16M | SH | $1.99M 4.30% | 2.16M | 0.00 | 0.00 |
COMPASS DIVERSIFIEDSOLE | SH BEN INT | 76.18K | SH | $1.65M 3.57% | 76.18K | 0.00 | 0.00 |
APOLLO GLOBAL MGMT INCSOLE | COM | 13.83K | SH | $1.06M 2.30% | 13.83K | 0.00 | 0.00 |
NEXPOINT DIVERSIFIED REL ETSOLE | COM NEW | 61.08K | SH | $765.0K 1.66% | 61.08K | 0.00 | 0.00 |
CHEVRON CORP NEWSOLE | COM | 4.10K | SH | $645.0K 1.40% | 4.10K | 0.00 | 0.00 |
PROSPECT CAP CORPSOLE | COM | 100.72K | SH | $624.0K 1.35% | 100.72K | 0.00 | 0.00 |
SCULPTOR CAP MGMTSOLE | COM CL A | 65.43K | SH | $578.0K 1.25% | 65.43K | 0.00 | 0.00 |
EXXON MOBIL CORPSOLE | COM | 4.68K | SH | $502.0K 1.09% | 4.68K | 0.00 | 0.00 |
VICI PPTYS INCSOLE | COM | 15.60K | SH | $490.0K 1.06% | 15.60K | 0.00 | 0.00 |
AT&T INCSOLE | COM | 29.40K | SH | $469.0K 1.01% | 29.40K | 0.00 | 0.00 |
INTERNATIONAL BUSINESS MACHSSOLE | COM | 3.47K | SH | $465.0K 1.01% | 3.47K | 0.00 | 0.00 |
U S GLOBAL INVS INCSOLE | CL A | 128.27K | SH | $392.0K 0.85% | 128.27K | 0.00 | 0.00 |
VIRTUS EQUITY & CONV INCM FDSOLE | COM | 17.11K | SH | $362.0K 0.78% | 17.11K | 0.00 | 0.00 |
INVESCO QQQ TRSOLE | UNIT SER 1 | 931.00 | SH | $344.0K 0.74% | 931.00 | 0.00 | 0.00 |
KRAFT HEINZ COSOLE | COM | 9.63K | SH | $342.0K 0.74% | 9.63K | 0.00 | 0.00 |
ALLIANCEBERNSTEIN GLOBAL HIGSOLE | COM | 33.41K | SH | $333.0K 0.72% | 33.41K | 0.00 | 0.00 |
BLACKROCK CORPOR HI YLD FD ISOLE | COM | 37K | SH | $330.0K 0.71% | 37K | 0.00 | 0.00 |
VERIZON COMMUNICATIONS INCSOLE | COM | 8.73K | SH | $325.0K 0.70% | 8.73K | 0.00 | 0.00 |
CAPITAL SOUTHWEST CORPSOLE | COM | 16.43K | SH | $324.0K 0.70% | 16.43K | 0.00 | 0.00 |
AFC GAMMA INCSOLE | COM | 26K | SH | $324.0K 0.70% | 26K | 0.00 | 0.00 |
ADAMS DIVERSIFIED EQUITY FDSOLE | COM | 18.77K | SH | $316.0K 0.68% | 18.77K | 0.00 | 0.00 |
CALAMOS STRATEGIC TOTAL RETUSOLE | COM SH BEN INT | 21.27K | SH | $314.0K 0.68% | 21.27K | 0.00 | 0.00 |
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