SMH CAPITAL ADVISORS INC's Q3 2024 13F: 3 new positions, 5 exits
Form 13F-HR for the quarter ended Sep 30, 2024 · filed Nov 8, 2024 · 43 reported positions · accession 0001085146-24-005467
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Exited | COMPASS DIVERSIFIED (CODI) | 9.4% | — | −9.4 pts | −72,248 sh | −100% |
| New | HA SUSTAINABLE INFRA CAP INC (HASI) | — | 3.0% | +3.0 pts | +14,043 sh | new |
| Exited | 3M CO (MMM) | 2.4% | — | −2.4 pts | −3,900 sh | −100% |
| Exited | JEFFERIES FINL GROUP INC (JEF) | 1.9% | — | −1.9 pts | −6,404 sh | −100% |
| Increased | TRINITY CAP INC (TRIN) | 2.1% | 4.0% | +1.9 pts | +22,190 sh | +89% |
| Reduced | PENNANTPARK INVT CORP (PNNT) | 4.6% | 2.9% | −1.7 pts | −35,183 sh | −34% |
| Increased | PROSPECT CAP CORP (PSEC) | 3.3% | 4.8% | +1.5 pts | +44,301 sh | +44% |
| New | HANCOCK JOHN TAX-ADVANTAGED (HTD) | — | 1.3% | +1.3 pts | +9,209 sh | new |
| New | CIVITAS RESOURCES INC (CIVI) | — | 1.3% | +1.3 pts | +4,093 sh | new |
| Reduced | APOLLO GLOBAL MGMT INC (APO) | 7.9% | 8.3% | +0.4 pts | −469 sh | −4% |
| Increased | AT&T INC (T) | 3.0% | 3.9% | +0.9 pts | +2,638 sh | +10% |
| Reduced | MAIN STR CAP CORP (MAIN) | 6.0% | 5.9% | −0.1 pts | −871 sh | −4% |
| Reduced | ENBRIDGE INC (ENB) | 3.3% | 3.7% | +0.4 pts | −876 sh | −6% |
| Reduced | VICTORY CAP HLDGS INC (VCTR) | 1.7% | 1.9% | +0.2 pts | −495 sh | −8% |
| Reduced | VICI PPTYS INC (VICI) | 4.8% | 5.6% | +0.9 pts | −743 sh | −3% |
| Reduced | VIRTUS EQUITY & CONV INCM FD (NIE) | 1.7% | 1.6% | −0.1 pts | −920 sh | −8% |
| Reduced | ADAMS DIVERSIFIED EQUITY FD (ADX) | 1.9% | 1.8% | 0.0 pts | −844 sh | −6% |
| Exited | STANDARD BIOTOOLS INC (LAB) | 0.1% | — | −0.1 pts | −19,000 sh | −100% |
| Reduced | BLACKROCK CORPOR HI YLD FD I (HYT) | 1.7% | 1.7% | 0.0 pts | −1,730 sh | −6% |
| Reduced | ALLIANCEBERNSTEIN GLOBAL HIG (AWF) | 1.6% | 1.7% | +0.1 pts | −1,532 sh | −6% |
| Reduced | CALAMOS STRATEGIC TOTAL RETU (CSQ) | 1.7% | 1.7% | 0.0 pts | −999 sh | −6% |
| Reduced | BLACKROCK CR ALLOCATION INCO (BTZ) | 1.5% | 1.6% | 0.0 pts | −1,402 sh | −6% |
| Reduced | GABELLI DIVID & INCOME TR (GDV) | 1.4% | 1.5% | +0.1 pts | −524 sh | −5% |
| Reduced | COHEN & STEERS QUALITY INCOM (RQI) | 1.1% | 1.4% | +0.2 pts | −904 sh | −5% |
| Reduced | VERIZON COMMUNICATIONS INC (VZ) | 2.9% | 3.2% | +0.3 pts | −275 sh | −2% |
| Reduced | EATON VANCE TAX ADVT DIV INC (EVT) | 1.4% | 1.4% | +0.1 pts | −469 sh | −5% |
| Reduced | NEXPOINT DIVERSIFIED REL ET (HCF) | 2.0% | 2.3% | +0.3 pts | −1,699 sh | −3% |
| Reduced | RITHM CAPITAL CORP (RITM) | 2.3% | 2.4% | +0.1 pts | −930 sh | −3% |
| Exited | HELLO GROUP INC (MOMO 1.25 07/01/25) | 0.1% | — | −0.1 pts | −10,000 sh | −100% |
| Reduced | WISDOMTREE INC (WT) | 1.1% | 1.1% | 0.0 pts | −838 sh | −5% |
| Reduced | BLACKROCK MULTI SECTOR INC T (BIT) | 1.2% | 1.2% | 0.0 pts | −542 sh | −4% |
| Reduced | REALTY INCOME CORP (O) | 2.5% | 3.1% | +0.6 pts | −116 sh | −1% |
| Reduced | ORION OFFICE REIT INC (ONL) | 0.7% | 0.7% | +0.1 pts | −1,672 sh | −5% |
| Reduced | U S GLOBAL INVS INC (GROW) | 1.7% | 1.7% | 0.0 pts | −2,531 sh | −2% |
| Reduced | TEMPLETON EMERGING MKTS INCO (TEI) | 0.7% | 0.8% | +0.1 pts | −1,101 sh | −5% |
| Reduced | CAPITAL SOUTHWEST CORP (CSWC) | 2.5% | 2.5% | 0.0 pts | −197 sh | −1% |
| Increased | CARLYLE GROUP INC (CG) | 3.8% | 4.2% | +0.5 pts | +107 sh | +1% |
| Reduced | KRAFT HEINZ CO (KHC) | 1.6% | 1.7% | +0.2 pts | −131 sh | −2% |
| Increased | APPLE INC (AAPL) | 1.2% | 1.4% | +0.2 pts | +13 sh | +1% |
| Increased | VANGUARD INTL EQUITY INDEX F (VWO) | 2.0% | 2.3% | +0.3 pts | +5 sh | 0% |
Reported by the fund in its Form 13F filed with the SEC; holdings are as of the quarter-end report date and may have changed since. For informational purposes only — not investment advice or a recommendation to buy or sell any security. FilingExplorer is not affiliated with or endorsed by this fund. How this brief is compiled
Top 10 positions — 46.8% of the equity book
Changes in the top 10 this quarter: TRIN entered · O entered · CODI left · PNNT left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | APOLLO GLOBAL MGMT INC (APO) | 7.9% | 8.3% | |
| 2 | MAIN STR CAP CORP (MAIN) | 6.0% | 5.9% | |
| 3 | VICI PPTYS INC (VICI) | 4.8% | 5.6% | |
| 4 | PROSPECT CAP CORP (PSEC) | 3.3% | 4.8% | |
| 5 | CARLYLE GROUP INC (CG) | 3.8% | 4.2% | |
| 6 | TRINITY CAP INC (TRIN) | 2.1% | 4.0% | Entered the top 10 |
| 7 | AT&T INC (T) | 3.0% | 3.9% | |
| 8 | ENBRIDGE INC (ENB) | 3.3% | 3.7% | |
| 9 | VERIZON COMMUNICATIONS INC (VZ) | 2.9% | 3.2% | |
| 10 | REALTY INCOME CORP (O) | 2.5% | 3.1% | Entered the top 10 |
| — | COMPASS DIVERSIFIED (CODI) | 9.4% | 0.0% | Left the top 10 |
| — | PENNANTPARK INVT CORP (PNNT) | 4.6% | 2.9% | Left the top 10 |
Weights are each position's reported value as a share of the fund's reported equity positions (options and principal-amount holdings excluded).