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