Filed: 11/8/2023ACC: 0001085146-23-004178
📋 What this filing means
SMH CAPITAL ADVISORS INC filed this quarterly 13F‑HR report disclosing 44 equity positions with a total reported market value of $42.84M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
44
Positions
$42.84M
Total AUM (reported)
38.01M
Total Shares
Allocation by class
NOTE 0.500% 2/0$11.27M26.3%
NOTE 3.250% 6/1$9.18M21.4%
NOTE 3.250% 2/1$8.38M19.6%
COM$8.14M19.0%
NOTE 2.375% 5/0$1.94M4.5%
SH BEN INT$1.36M3.2%
COM NEW$495.0K1.2%
Portfolio Concentration
Top 3$28.82M67.3%
4–10$6.67M15.6%
11–25$4.61M10.8%
Rest$2.74M6.4%
Top 3 weight
67.3%
Top 10 weight
82.9%
Voting Authority Distribution
Total shares with voting rights: 38.01M
Sole
Full voting authority
38.01M
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)
Sole44
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings44
Rows:
NIO INC
SOLEShares12.91M
TypePRN
Market value$11.27M
26.29%
Sole
12.91M
Shared
0.00
None
0.00
WISDOMTREE INC
SOLEShares9.45M
TypePRN
Market value$9.18M
21.42%
Sole
9.45M
Shared
0.00
None
0.00
FUBOTV INC
SOLEShares12.66M
TypePRN
Market value$8.38M
19.57%
Sole
12.66M
Shared
0.00
None
0.00
EZCORP INC
SOLEShares2.08M
TypePRN
Market value$1.94M
4.52%
Sole
2.08M
Shared
0.00
None
0.00
COMPASS DIVERSIFIED
SOLEShares72.23K
TypeSH
Market value$1.36M
3.17%
Sole
72.23K
Shared
0.00
None
0.00
APOLLO GLOBAL MGMT INC
SOLEShares12.21K
TypeSH
Market value$1.10M
2.56%
Sole
12.21K
Shared
0.00
None
0.00
MAIN STR CAP CORP
SOLEShares18.17K
TypeSH
Market value$738.0K
1.72%
Sole
18.17K
Shared
0.00
None
0.00
PROSPECT CAP CORP
SOLEShares100.72K
TypeSH
Market value$609.0K
1.42%
Sole
100.72K
Shared
0.00
None
0.00
NEXPOINT DIVERSIFIED REL ET
SOLEShares56.79K
TypeSH
Market value$495.0K
1.16%
Sole
56.79K
Shared
0.00
None
0.00
VICI PPTYS INC
SOLEShares15.23K
TypeSH
Market value$443.0K
1.03%
Sole
15.23K
Shared
0.00
None
0.00
INTERNATIONAL BUSINESS MACHS
SOLEShares3.06K
TypeSH
Market value$430.0K
1.00%
Sole
3.06K
Shared
0.00
None
0.00
VERIZON COMMUNICATIONS INC
SOLEShares12.73K
TypeSH
Market value$413.0K
0.96%
Sole
12.73K
Shared
0.00
None
0.00
AT&T INC
SOLEShares26.32K
TypeSH
Market value$395.0K
0.92%
Sole
26.32K
Shared
0.00
None
0.00
CAPITAL SOUTHWEST CORP
SOLEShares17.02K
TypeSH
Market value$390.0K
0.91%
Sole
17.02K
Shared
0.00
None
0.00
U S GLOBAL INVS INC
SOLEShares113.32K
TypeSH
Market value$323.0K
0.75%
Sole
113.32K
Shared
0.00
None
0.00
AFC GAMMA INC
SOLEShares26K
TypeSH
Market value$305.0K
0.71%
Sole
26K
Shared
0.00
None
0.00
INVESCO QQQ TR
SOLEShares798.00
TypeSH
Market value$286.0K
0.67%
Sole
798.00
Shared
0.00
None
0.00
KRAFT HEINZ CO
SOLEShares8.26K
TypeSH
Market value$278.0K
0.65%
Sole
8.26K
Shared
0.00
None
0.00
VIRTUS EQUITY & CONV INCM FD
SOLEShares13.42K
TypeSH
Market value$267.0K
0.62%
Sole
13.42K
Shared
0.00
None
0.00
JEFFERIES FINL GROUP INC
SOLEShares7.16K
TypeSH
Market value$262.0K
0.61%
Sole
7.16K
Shared
0.00
None
0.00
SPDR S&P 500 ETF TR
SOLEShares605.00
TypeSH
Market value$259.0K
0.60%
Sole
605.00
Shared
0.00
None
0.00
ALLIANCEBERNSTEIN GLOBAL HIG
SOLEShares26.12K
TypeSH
Market value$253.0K
0.59%
Sole
26.12K
Shared
0.00
None
0.00
BLACKROCK CORPOR HI YLD FD I
SOLEShares29K
TypeSH
Market value$250.0K
0.58%
Sole
29K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares3.38K
TypeSH
Market value$249.0K
0.58%
Sole
3.38K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares3.61K
TypeSH
Market value$249.0K
0.58%
Sole
3.61K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
NIO INCSOLE | NOTE 0.500% 2/0 | 12.91M | PRN | $11.27M 26.29% | 12.91M | 0.00 | 0.00 |
WISDOMTREE INCSOLE | NOTE 3.250% 6/1 | 9.45M | PRN | $9.18M 21.42% | 9.45M | 0.00 | 0.00 |
FUBOTV INCSOLE | NOTE 3.250% 2/1 | 12.66M | PRN | $8.38M 19.57% | 12.66M | 0.00 | 0.00 |
EZCORP INCSOLE | NOTE 2.375% 5/0 | 2.08M | PRN | $1.94M 4.52% | 2.08M | 0.00 | 0.00 |
COMPASS DIVERSIFIEDSOLE | SH BEN INT | 72.23K | SH | $1.36M 3.17% | 72.23K | 0.00 | 0.00 |
APOLLO GLOBAL MGMT INCSOLE | COM | 12.21K | SH | $1.10M 2.56% | 12.21K | 0.00 | 0.00 |
MAIN STR CAP CORPSOLE | COM | 18.17K | SH | $738.0K 1.72% | 18.17K | 0.00 | 0.00 |
PROSPECT CAP CORPSOLE | COM | 100.72K | SH | $609.0K 1.42% | 100.72K | 0.00 | 0.00 |
NEXPOINT DIVERSIFIED REL ETSOLE | COM NEW | 56.79K | SH | $495.0K 1.16% | 56.79K | 0.00 | 0.00 |
VICI PPTYS INCSOLE | COM | 15.23K | SH | $443.0K 1.03% | 15.23K | 0.00 | 0.00 |
INTERNATIONAL BUSINESS MACHSSOLE | COM | 3.06K | SH | $430.0K 1.00% | 3.06K | 0.00 | 0.00 |
VERIZON COMMUNICATIONS INCSOLE | COM | 12.73K | SH | $413.0K 0.96% | 12.73K | 0.00 | 0.00 |
AT&T INCSOLE | COM | 26.32K | SH | $395.0K 0.92% | 26.32K | 0.00 | 0.00 |
CAPITAL SOUTHWEST CORPSOLE | COM | 17.02K | SH | $390.0K 0.91% | 17.02K | 0.00 | 0.00 |
U S GLOBAL INVS INCSOLE | CL A | 113.32K | SH | $323.0K 0.75% | 113.32K | 0.00 | 0.00 |
AFC GAMMA INCSOLE | COM | 26K | SH | $305.0K 0.71% | 26K | 0.00 | 0.00 |
INVESCO QQQ TRSOLE | UNIT SER 1 | 798.00 | SH | $286.0K 0.67% | 798.00 | 0.00 | 0.00 |
KRAFT HEINZ COSOLE | COM | 8.26K | SH | $278.0K 0.65% | 8.26K | 0.00 | 0.00 |
VIRTUS EQUITY & CONV INCM FDSOLE | COM | 13.42K | SH | $267.0K 0.62% | 13.42K | 0.00 | 0.00 |
JEFFERIES FINL GROUP INCSOLE | COM | 7.16K | SH | $262.0K 0.61% | 7.16K | 0.00 | 0.00 |
SPDR S&P 500 ETF TRSOLE | TR UNIT | 605.00 | SH | $259.0K 0.60% | 605.00 | 0.00 | 0.00 |
ALLIANCEBERNSTEIN GLOBAL HIGSOLE | COM | 26.12K | SH | $253.0K 0.59% | 26.12K | 0.00 | 0.00 |
BLACKROCK CORPOR HI YLD FD ISOLE | COM | 29K | SH | $250.0K 0.58% | 29K | 0.00 | 0.00 |
ISHARES TRSOLE | IBOXX HI YD ETF | 3.38K | SH | $249.0K 0.58% | 3.38K | 0.00 | 0.00 |
ISHARES TRSOLE | MSCI EAFE ETF | 3.61K | SH | $249.0K 0.58% | 3.61K | 0.00 | 0.00 |
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