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Livermore
Livermore
ZHEN

Harbert Fund Advisors, Inc.

SEC CIK
0001616659
Latest filing
Aug 17, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 12, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
30
−2 vs. Q2 2021
Portfolio value
$193.1M
+$13.9M (+7.8%) vs. Q2 2021
Filed
Nov 12, 2021
SEC
Holdings of Harbert Fund Advisors, Inc. in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
GBLIGlobal Indemnity Group, LLCCOM CL A849,985$23.2M12.0%00.0%UnchangedHistory
ENZBEnzo Biochem IncCOM5,175,913$18.3M9.5%00.0%UnchangedHistory
TBCHTurtle Beach CorpCOM NEW585,816$16.3M8.4%+75,816+14.9%AddedHistory
INVEINVE Technologies, Inc.COM NEW814,750$15.3M8.0%00.0%UnchangedHistory
US Ecology, Inc.91734M103COM362,317$11.7M6.1%+25,544+7.6%Added–
FLOWSPX FLOW, Inc.COM146,520$10.7M5.5%+146,520NewHistory
MXCTMaxcyte, Inc.COM724,856$8.85M4.6%+724,856NewHistory
VSECVse CorpCOM177,652$8.56M4.4%00.0%UnchangedHistory
TGNATegna IncCOM431,790$8.52M4.4%+431,790NewHistory
TACTTransact Technologies IncCOM604,061$8.40M4.3%+26,947+4.7%AddedHistory
Isos Acquisition CorporationG4962C112SHARES CL A750,000$7.49M3.9%00.0%Unchanged–
SHCRSharecare, Inc.COM CL A873,488$7.19M3.7%+873,488NewHistory
ARAYAccuray IncCOM1,804,184$7.13M3.7%+173,866+10.7%AddedHistory
DFINDonnelley Financial Solutions, Inc.COM205,000$7.10M3.7%+35,000+20.6%AddedHistory
STRMStreamline Health Solutions Inc.COM3,966,637$6.94M3.6%00.0%UnchangedHistory
CTXSCitrix Systems IncCOM45,085$4.84M2.5%+45,085NewHistory
QUMUQumu CorpCOM1,695,785$4.21M2.2%+328,263+24.0%AddedHistory
CROXCrocs, Inc.COM20,000$2.87M1.5%+20,000NewHistory
MCFTMasterCraft Boat Holdings, Inc.COM90,640$2.27M1.2%+90,640NewHistory
ULTAUlta Beauty, Inc.Stock6,000$2.17M1.1%+6,000NewHistory
WSCWillScot Holdings CorpCOM CL A62,682$1.99M1.0%+62,682NewHistory
IIIVi3 Verticals, Inc.COM CL A81,606$1.98M1.0%00.0%UnchangedHistory
FENCFennec Pharmaceuticals Inc.COM174,750$1.65M0.9%+53,899+44.6%AddedHistory
DRRXDurect CorpCOM1,271,402$1.63M0.8%00.0%UnchangedHistory
LQDALiquidia CorpCOM NEW420,939$1.16M0.6%+376,168+840.2%AddedHistory
PCTPureCycle Technologies, Inc.COM66,255$880.0K0.5%+18,055+37.5%AddedHistory
KLRKaleyra, Inc.COM59,000$649.0K0.3%−96,500−62.1%ReducedHistory
VATEINNOVATE Corp.COM138,519$568.0K0.3%00.0%UnchangedHistory
Isos Acquisition CorporationG4962C104*W EXP 03/01/202250,000$345.0K0.2%00.0%Unchanged–
UPHLUpHealth, Inc.COM50,000$158.0K0.1%00.0%UnchangedHistory

Options (4)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Harbert Fund Advisors, Inc. in Q3 2021
SecurityClassPutsCalls
FLOWSPX FLOW, Inc.COM$18.3M$18.3M
TBCHTurtle Beach CorpCOM NEW$13.9M$14.6M
TGNATegna IncCOM–$19.7M
Advisorshares Tr00768Y453PURE US CANN ETF–$3.79M

Sold out since Q2 2021 (11)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Harbert Fund Advisors, Inc. sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
BFXBowflex Inc.COM430,000$7.25M4.0%History
CVACovanta Holding CorpCOM390,236$6.87M3.8%History
CTRNCiti Trends IncCOM73,449$6.39M3.6%History
PLYAPlaya Hotels & Resorts N.V.SHS588,840$4.38M2.4%History
DBDDiebold Nixdorf, IncCOM275,000$3.53M2.0%History
KPLTKatapult Holdings, Inc.COM249,963$2.70M1.5%History
MAPSWM Technology, Inc.COM150,000$2.68M1.5%History
AVYAAvaya Holdings Corp.COM87,200$2.35M1.3%History
MSONMisonix IncCOM95,507$2.12M1.2%History
ACELAccel Entertainment, Inc.COM CL A1145,305$1.73M1.0%History
RXTRackspace Technology, Inc.COM33,500$657.0K0.4%History