0000919574-14-004868.txt : 20140814 0000919574-14-004868.hdr.sgml : 20140814 20140814165014 ACCESSION NUMBER: 0000919574-14-004868 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140814 DATE AS OF CHANGE: 20140814 EFFECTIVENESS DATE: 20140814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBERT FUND ADVISORS, INC. CENTRAL INDEX KEY: 0001616659 IRS NUMBER: 000000000 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16265 FILM NUMBER: 141043832 BUSINESS ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 205-987-5576 MAIL ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 FORMER COMPANY: FORMER CONFORMED NAME: HARBERT FUND ADVISERS, INC. DATE OF NAME CHANGE: 20140813 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001616659 XXXXXXXX 06-30-2014 06-30-2014 false HARBERT FUND ADVISORS, INC.

2100 Third Avenue North Suite 600 Birmingham AL 35203

13F HOLDINGS REPORT 028-16265 Y This is the first 13F-HR for Harbert Fund Advisors, Inc. ("HFA"), an SEC registered investment adviser. In prior reporting periods, Harbert Management Corporation ("HMC"), filed a Form 13F-HR to report the securities under the management of it and/or HFA, which is an indirect wholly owned subsidiary of HMC. HMC has determined that it is appropriate for HFA to file this report instead of HMC, and thus this report will be filed by HFA going forward. HFA will not be including this note on any future filings. John W. McCullough 205-987-5576 /s/ John W. McCullough Birmingham AL 08-14-2014 2 30 86361 1 0001512582 028-14261 HARBERT VALUE FUND GP, LLC 2 0001512587 028-14262 HARBERT VALUE MASTER FUND, LTD. INFORMATION TABLE 2 infotable.xml AMERICAN INTL GROUP INC COM NEW 026874784 2729 50000 SH DFND 1, 2 50000 0 0 BANCO MACRO SA SPON ADR B 05961W105 360 10000 SH SOLE 0 0 10000 BBVA BANCO FRANCES S A SPONSORED ADR 07329M100 147 12655 SH SOLE 0 0 12655 BOB EVANS FARMS INC COM 096761101 1001 20000 SH DFND 1, 2 20000 0 0 CHARTER FINL CORP MD COM 16122W108 3011 271226 SH DFND 1, 2 271226 0 0 CIT GROUP INC COM NEW 125581801 2151 47000 SH DFND 1, 2 47000 0 0 CLIFFS NAT RES INC COM 18683K101 3763 250000 SH Put DFND 1, 2 250000 0 0 CLIFTON BANCORP INC COM 186873105 2407 190000 SH DFND 1, 2 190000 0 0 DEAN FOODS CO NEW COM NEW 242370203 2111 120000 SH DFND 1, 2 120000 0 0 EXELIS INC COM 30162A108 7047 415000 SH DFND 1, 2 415000 0 0 FTD COS INC COM 30281V108 2270 71400 SH DFND 1, 2 71400 0 0 GRUPO FINANCIERO GALICIA S A SP ADR 10 SH B 399909100 293 20000 SH SOLE 0 0 20000 HESS CORP COM 42809H107 4450 45000 SH DFND 1, 2 45000 0 0 MADISON SQUARE GARDEN CO CL A 55826P100 1249 20000 SH DFND 1, 2 20000 0 0 MAGICJACK VOCALTEC LTD SHS M6787E101 378 25000 SH DFND 1, 2 25000 0 0 MARATHON OIL CORP COM 565849106 2595 65000 SH DFND 1, 2 65000 0 0 MARTHA STEWART LIVING OMNIME CL A 573083102 940 200000 SH DFND 1, 2 200000 0 0 MICRON TECHNOLOGY INC COM 595112103 2471 75000 SH DFND 1, 2 75000 0 0 MICROSOFT CORP COM 594918104 5213 125000 SH DFND 1, 2 125000 0 0 NATIONAL BK HLDGS CORP CL A 633707104 1715 86000 SH DFND 1, 2 86000 0 0 NEW MEDIA INVT GROUP INC COM 64704V106 988 70000 SH DFND 1, 2 70000 0 0 NEWS CORP NEW CL A 65249B109 8073 450000 SH DFND 1, 2 0 0 450000 ORACLE CORP COM 68389X105 4053 100000 SH DFND 1, 2 100000 0 0 PFIZER INC COM 717081103 5936 200000 SH DFND 1, 2 200000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3411 150000 SH SOLE 150000 0 0 TRIPLE-S MGMT CORP CL B 896749108 5200 290000 SH DFND 1, 2 290000 0 0 UNITED STATES STL CORP NEW COM 912909108 9072 348400 SH Put DFND 1, 2 348400 0 0 URS CORP NEW COM 903236107 2063 45000 SH DFND 1, 2 45000 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 929 60000 SH DFND 1, 2 60000 0 0 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 337 10300 SH SOLE 10300 0 0