Executive Vice President and General Counsel

0000919574-19-006856.txt : 20191113 0000919574-19-006856.hdr.sgml : 20191113 20191113105956 ACCESSION NUMBER: 0000919574-19-006856 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191113 DATE AS OF CHANGE: 20191113 EFFECTIVENESS DATE: 20191113 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: 191212324 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 09-30-2019 09-30-2019 false HARBERT FUND ADVISORS, INC.

2100 Third Avenue North Suite 600 Birmingham AL 35203

13F HOLDINGS REPORT 028-16265 N John W. McCullough Executive Vice President and General Counsel 205-987-5576 John W. McCullough Birmingham AL 11-12-2019 0 12 67212 INFORMATION TABLE 2 infotable.xml AMTECH SYSTEMS INC COM PAR $0.01N 032332504 3540 667952 SH SOLE 667952 0 0 ECOLOGY & ENVIRONMENT INC CL A 278878103 4362 287330 SH SOLE 287330 0 0 ENZO BIOCHEM INC COM 294100102 20234 5620681 SH SOLE 5620681 0 0 LANDEC CORP COM 514766104 2716 249879 SH SOLE 249879 0 0 QUMU CORP COM 749063103 4132 1267522 SH SOLE 1267522 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 2451 201713 SH SOLE 201713 0 0 DASAN ZHONE SOLUTIONS INC COM NEW 23305L206 3438 375285 SH SOLE 375285 0 0 I3 VERTICALS INC COM CL A 46571Y107 14077 699672 SH SOLE 699672 0 0 MARCHEX INC CL B 56624R108 3258 1037455 SH SOLE 1037455 0 0 1347 PPTY INS HLDGS INC COM 68244P107 2276 516122 SH SOLE 516122 0 0 PERCEPTRON INC COM 71361F100 4730 987091 SH SOLE 987091 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 1998 1841637 SH SOLE 1841637 0 0