0000919574-20-006915.txt : 20201113 0000919574-20-006915.hdr.sgml : 20201113 20201113170907 ACCESSION NUMBER: 0000919574-20-006915 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 EFFECTIVENESS DATE: 20201113 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: 201312464 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 09-30-2020 09-30-2020 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 11-13-2020 0 17 81834 INFORMATION TABLE 2 infotable.xml ALICO INC COM 016230104 3847 134411 SH SOLE 134411 0 0 AMTECH SYS INC COM PAR $0.01N 032332504 4059 829994 SH SOLE 829994 0 0 AVID TECHNOLOGY INC COM 05367P100 3290 384328 SH SOLE 384328 0 0 ENZO BIOCHEM INC COM 294100102 11860 5620681 SH SOLE 5620681 0 0 GLOBAL INDEMNITY GROUP LLC COM CL A 37959R103 5201 250166 SH SOLE 250166 0 0 I3 VERTICALS INC COM CL A 46571Y107 14181 561606 SH SOLE 561606 0 0 IDENTIV INC COM NEW 45170X205 1967 314215 SH SOLE 314215 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 2359 108500 SH Call SOLE 108500 0 0 ISHARES TR IBOXX HI YD ETF 464288513 797 9500 SH Call SOLE 9500 0 0 LANDEC CORP COM 514766104 2907 299116 SH SOLE 299116 0 0 MARCHEX INC CL B 56624R108 5598 2640513 SH SOLE 2640513 0 0 PERCEPTRON INC COM 71361F100 6712 987091 SH SOLE 987091 0 0 QUMU CORP COM 749063103 6304 1367522 SH SOLE 1367522 0 0 SITEONE LANDSCAPE SUPPLY INC COM 82982L103 4268 35000 SH Put SOLE 35000 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 5213 3341637 SH SOLE 3341637 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 2570 513911 SH SOLE 513911 0 0 VSE CORP COM 918284100 701 22868 SH SOLE 22868 0 0