Filed: 2/6/2024ACC: 0001085146-24-000788
📋 What this filing means
SMH CAPITAL ADVISORS INC filed this quarterly 13F‑HR report disclosing 47 equity positions with a total reported market value of $46.12M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
47
Positions
$46.12M
Total AUM (reported)
38.02M
Total Shares
Allocation by class
NOTE 0.500% 2/0$11.77M25.5%
COM$9.43M20.5%
NOTE 3.250% 2/1$9.27M20.1%
NOTE 3.250% 6/1$9.11M19.8%
NOTE 2.375% 5/0$1.88M4.1%
SH BEN INT$1.71M3.7%
ISHS 1-5YR INVS$530.8K1.2%
Portfolio Concentration
Top 3$30.16M65.4%
4–10$7.14M15.5%
11–25$5.34M11.6%
Rest$3.49M7.6%
Top 3 weight
65.4%
Top 10 weight
80.9%
Voting Authority Distribution
Total shares with voting rights: 38.02M
Sole
Full voting authority
38.02M
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)
Sole47
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings47
Rows:
NIO INC
SOLEShares12.87M
TypePRN
Market value$11.77M
25.52%
Sole
12.87M
Shared
0.00
None
0.00
FUBOTV INC
SOLEShares12.66M
TypePRN
Market value$9.27M
20.10%
Sole
12.66M
Shared
0.00
None
0.00
WISDOMTREE INC
SOLEShares9.40M
TypePRN
Market value$9.11M
19.76%
Sole
9.40M
Shared
0.00
None
0.00
EZCORP INC
SOLEShares2.02M
TypePRN
Market value$1.88M
4.07%
Sole
2.02M
Shared
0.00
None
0.00
COMPASS DIVERSIFIED
SOLEShares76.03K
TypeSH
Market value$1.71M
3.70%
Sole
76.03K
Shared
0.00
None
0.00
APOLLO GLOBAL MGMT INC
SOLEShares12.06K
TypeSH
Market value$1.12M
2.44%
Sole
12.06K
Shared
0.00
None
0.00
MAIN STR CAP CORP
SOLEShares18.11K
TypeSH
Market value$782.7K
1.70%
Sole
18.11K
Shared
0.00
None
0.00
PROSPECT CAP CORP
SOLEShares101.32K
TypeSH
Market value$606.9K
1.32%
Sole
101.32K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares10.35K
TypeSH
Market value$530.8K
1.15%
Sole
10.35K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares4.74K
TypeSH
Market value$509.9K
1.11%
Sole
4.74K
Shared
0.00
None
0.00
INTERNATIONAL BUSINESS MACHS
SOLEShares3.06K
TypeSH
Market value$500.1K
1.08%
Sole
3.06K
Shared
0.00
None
0.00
VICI PPTYS INC
SOLEShares15.38K
TypeSH
Market value$490.2K
1.06%
Sole
15.38K
Shared
0.00
None
0.00
VERIZON COMMUNICATIONS INC
SOLEShares12.56K
TypeSH
Market value$473.7K
1.03%
Sole
12.56K
Shared
0.00
None
0.00
NEXPOINT DIVERSIFIED REL ET
SOLEShares57.28K
TypeSH
Market value$455.4K
0.99%
Sole
57.28K
Shared
0.00
None
0.00
AT&T INC
SOLEShares26.21K
TypeSH
Market value$439.8K
0.95%
Sole
26.21K
Shared
0.00
None
0.00
CAPITAL SOUTHWEST CORP
SOLEShares16.94K
TypeSH
Market value$401.6K
0.87%
Sole
16.94K
Shared
0.00
None
0.00
U S GLOBAL INVS INC
SOLEShares112.30K
TypeSH
Market value$316.7K
0.69%
Sole
112.30K
Shared
0.00
None
0.00
AFC GAMMA INC
SOLEShares26K
TypeSH
Market value$312.8K
0.68%
Sole
26K
Shared
0.00
None
0.00
KRAFT HEINZ CO
SOLEShares8.24K
TypeSH
Market value$304.8K
0.66%
Sole
8.24K
Shared
0.00
None
0.00
PERELLA WEINBERG PARTNERS
SOLEShares23.56K
TypeSH
Market value$288.2K
0.62%
Sole
23.56K
Shared
0.00
None
0.00
JEFFERIES FINL GROUP INC
SOLEShares6.97K
TypeSH
Market value$281.6K
0.61%
Sole
6.97K
Shared
0.00
None
0.00
VIRTUS EQUITY & CONV INCM FD
SOLEShares13.40K
TypeSH
Market value$280.2K
0.61%
Sole
13.40K
Shared
0.00
None
0.00
BLACKROCK CORPOR HI YLD FD I
SOLEShares28.85K
TypeSH
Market value$272.0K
0.59%
Sole
28.85K
Shared
0.00
None
0.00
ALLIANCEBERNSTEIN GLOBAL HIG
SOLEShares25.92K
TypeSH
Market value$262.3K
0.57%
Sole
25.92K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares3.38K
TypeSH
Market value$261.6K
0.57%
Sole
3.38K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
NIO INCSOLE | NOTE 0.500% 2/0 | 12.87M | PRN | $11.77M 25.52% | 12.87M | 0.00 | 0.00 |
FUBOTV INCSOLE | NOTE 3.250% 2/1 | 12.66M | PRN | $9.27M 20.10% | 12.66M | 0.00 | 0.00 |
WISDOMTREE INCSOLE | NOTE 3.250% 6/1 | 9.40M | PRN | $9.11M 19.76% | 9.40M | 0.00 | 0.00 |
EZCORP INCSOLE | NOTE 2.375% 5/0 | 2.02M | PRN | $1.88M 4.07% | 2.02M | 0.00 | 0.00 |
COMPASS DIVERSIFIEDSOLE | SH BEN INT | 76.03K | SH | $1.71M 3.70% | 76.03K | 0.00 | 0.00 |
APOLLO GLOBAL MGMT INCSOLE | COM | 12.06K | SH | $1.12M 2.44% | 12.06K | 0.00 | 0.00 |
MAIN STR CAP CORPSOLE | COM | 18.11K | SH | $782.7K 1.70% | 18.11K | 0.00 | 0.00 |
PROSPECT CAP CORPSOLE | COM | 101.32K | SH | $606.9K 1.32% | 101.32K | 0.00 | 0.00 |
ISHARES TRSOLE | ISHS 1-5YR INVS | 10.35K | SH | $530.8K 1.15% | 10.35K | 0.00 | 0.00 |
ISHARES TRSOLE | TIPS BD ETF | 4.74K | SH | $509.9K 1.11% | 4.74K | 0.00 | 0.00 |
INTERNATIONAL BUSINESS MACHSSOLE | COM | 3.06K | SH | $500.1K 1.08% | 3.06K | 0.00 | 0.00 |
VICI PPTYS INCSOLE | COM | 15.38K | SH | $490.2K 1.06% | 15.38K | 0.00 | 0.00 |
VERIZON COMMUNICATIONS INCSOLE | COM | 12.56K | SH | $473.7K 1.03% | 12.56K | 0.00 | 0.00 |
NEXPOINT DIVERSIFIED REL ETSOLE | COM NEW | 57.28K | SH | $455.4K 0.99% | 57.28K | 0.00 | 0.00 |
AT&T INCSOLE | COM | 26.21K | SH | $439.8K 0.95% | 26.21K | 0.00 | 0.00 |
CAPITAL SOUTHWEST CORPSOLE | COM | 16.94K | SH | $401.6K 0.87% | 16.94K | 0.00 | 0.00 |
U S GLOBAL INVS INCSOLE | CL A | 112.30K | SH | $316.7K 0.69% | 112.30K | 0.00 | 0.00 |
AFC GAMMA INCSOLE | COM | 26K | SH | $312.8K 0.68% | 26K | 0.00 | 0.00 |
KRAFT HEINZ COSOLE | COM | 8.24K | SH | $304.8K 0.66% | 8.24K | 0.00 | 0.00 |
PERELLA WEINBERG PARTNERSSOLE | CLASS A COM | 23.56K | SH | $288.2K 0.62% | 23.56K | 0.00 | 0.00 |
JEFFERIES FINL GROUP INCSOLE | COM | 6.97K | SH | $281.6K 0.61% | 6.97K | 0.00 | 0.00 |
VIRTUS EQUITY & CONV INCM FDSOLE | COM | 13.40K | SH | $280.2K 0.61% | 13.40K | 0.00 | 0.00 |
BLACKROCK CORPOR HI YLD FD ISOLE | COM | 28.85K | SH | $272.0K 0.59% | 28.85K | 0.00 | 0.00 |
ALLIANCEBERNSTEIN GLOBAL HIGSOLE | COM | 25.92K | SH | $262.3K 0.57% | 25.92K | 0.00 | 0.00 |
ISHARES TRSOLE | IBOXX HI YD ETF | 3.38K | SH | $261.6K 0.57% | 3.38K | 0.00 | 0.00 |
Page 1 of 2