0000919574-21-003589.txt : 20210517 0000919574-21-003589.hdr.sgml : 20210517 20210514191614 ACCESSION NUMBER: 0000919574-21-003589 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210517 DATE AS OF CHANGE: 20210514 EFFECTIVENESS DATE: 20210517 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: 21926867 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 03-31-2021 03-31-2021 false HARBERT FUND ADVISORS, INC.

2100 Third Avenue North Suite 600 Birmingham AL 35203

13F HOLDINGS REPORT 028-16265 N John W. McCullough 205-987-5576 John W. McCullough Birmingham AL 05-14-2021 0 26 211942 INFORMATION TABLE 2 infotable.xml AVAYA HLDGS CORP COM 05351X101 2262 80700 SH SOLE 80700 0 0 AXALTA COATING SYS LTD COM G0750C108 4881 165000 SH SOLE 165000 0 0 BOX INC CL A 10316T104 22960 1000000 SH Call SOLE 1000000 0 0 BOX INC CL A 10316T104 5740 250000 SH SOLE 250000 0 0 DEL TACO RESTAURANTS INC NEW COM 245496104 1899 198198 SH SOLE 198198 0 0 ENZO BIOCHEM INC COM 294100102 17805 5175913 SH SOLE 5175913 0 0 GLOBAL INDEMNITY GROUP LLC COM CL A 37959R103 25193 849985 SH SOLE 849985 0 0 HC2 HLDGS INC COM 404139107 751 190500 SH SOLE 190500 0 0 I3 VERTICALS INC COM CL A 46571Y107 2540 81606 SH SOLE 81606 0 0 IDENTIV INC COM NEW 45170X205 8426 735213 SH SOLE 735213 0 0 ISHARES TR IBOXX HI YD ETF 464288513 40539 465000 SH Put SOLE 465000 0 0 ISOS ACQUISITION CORPORATION UNIT 99/99/9999 G4962C120 7470 750000 SH SOLE 750000 0 0 KALEYRA INC COM 483379103 783 55500 SH SOLE 55500 0 0 LANDEC CORP COM 514766104 1617 152505 SH SOLE 152505 0 0 MARCHEX INC CL B 56624R108 1243 442270 SH SOLE 442270 0 0 MISONIX INC COM 604871103 813 41495 SH SOLE 41495 0 0 QUMU CORP COM 749063103 9244 1367522 SH SOLE 1367522 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 8132 3966637 SH SOLE 3966637 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 6238 573913 SH SOLE 573913 0 0 TURTLE BEACH CORP COM NEW 900450206 11737 440100 SH SOLE 440100 0 0 ULTA BEAUTY INC COM 90384S303 1082 3500 SH SOLE 3500 0 0 UNITED NAT FOODS INC COM 911163103 942 28587 SH SOLE 28587 0 0 UP FINTECH HLDG LTD SPONSORED ADS 91531W106 4714 265000 SH SOLE 265000 0 0 US ECOLOGY INC COM 91734M103 8120 195000 SH SOLE 195000 0 0 VSE CORP COM 918284100 6341 160534 SH SOLE 160534 0 0 YETI HLDGS INC COM 98585X104 10470 145000 SH SOLE 145000 0 0