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Reported Holdings Of The
SMH Capital Advisors LLC

Legal Name: SMH CAPITAL ADVISORS LLC

Period of report: Jun 30, 2019
Effectiveness Date: Aug 5, 2019

Security Shares Held / Principal Amount Market Value Option
PDL BIOPHARMA INC (69329YAG9) 10,092,000 $10,594k
Colony NorthStar, Inc. (19624RAA4) 6,271,000 $6,020k
PROSPECT CAPITAL CORPORATION (74348TAR3) 5,641,000 $5,672k
HERCULES CAPITAL INC (427096AF9) 4,671,000 $4,673k
EZCORP INC (302301AE6) 2,956,000 $2,667k
OAKTREE SPECIALTY LENDING CORP (67401P108) 238,704 $1,294k
ISHARES TR CORE US AGGBD ET (464287226) 10,668 $1,188k
PROSPECT CAPITAL CORPORATION (74348T102) 153,287 $1,001k
ISHARES TR (46435G342) 17,120 $722k
INTL BUSINESS MCHN (459200101) 4,760 $656k
SPDR S&P 500 ETF TR TR UNIT (78462F103) 1,891 $554k
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF (922042858) 12,591 $535k
ISHARES (464287465) 7,737 $509k
BLACKSTONE GROUP (09253U108) 9,768 $434k
COMPASS DVRSFD HLDS (20451Q104) 19,449 $372k
SOLAR CAPITAL LTD (83413U100) 16,505 $339k
B. Riley Wealth Management, Inc. (037612306) 9,803 $336k
Apple Inc (037833100) 1,671 $331k
BLACKROCK CR. ALLOC (092508100) 21,965 $285k
BLACKROCK CORPOR HI YLD FD I (09255P107) 26,274 $282k
Chevron Corp (166764100) 2,244 $279k
ALLIANCEBERNSTEIN GBL HGH IN (01879R106) 23,058 $272k
PDL BIOPHARMA INC (69329Y104) 85,368 $268k
Exxon Mobil Corp (30231G102) 3,236 $248k
OAKTREE CAP GROUP (674001201) 4,355 $216k
VERIZON COMMUNICATIONS (92343V104) 3,747 $214k
PITNEY BOWES INC (724479100) 22,307 $188k
ARES CAP CORP (04010L103) 10,326 $185k
CALAMOS STRATEGIC TO (128125101) 14,367 $183k
ADAMS DIVERSIFIED EQUITY FD (006212104) 11,781 $182k
TEMPLETON EMERG MKTS INCOME (880192109) 15,516 $159k
FLUIDIGM CORP DEL (34385PAA6) 139,000 $133k

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