0000919574-21-006824.txt : 20211112 0000919574-21-006824.hdr.sgml : 20211112 20211112164147 ACCESSION NUMBER: 0000919574-21-006824 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 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: 211404314 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 09-30-2021 09-30-2021 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 11-12-2021 0 36 281649 INFORMATION TABLE 2 infotable.xml ACCURAY INC COM 004397105 7127 1804184 SH SOLE 1804184 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 3787 120000 SH Call SOLE 120000 0 0 CITRIX SYS INC COM 177376100 4841 45085 SH SOLE 45085 0 0 CROCS INC COM 227046109 2870 20000 SH SOLE 20000 0 0 DONNELLEY FINL SOLUTIONS INC COM 25787G100 7097 205000 SH SOLE 205000 0 0 DURECT CORP COM 266605104 1627 1271402 SH SOLE 1271402 0 0 ENZO BIOCHEM INC COM 294100102 18323 5175913 SH SOLE 5175913 0 0 FENNEC PHARMACEUTICALS INC COM 31447P100 1646 174750 SH SOLE 174750 0 0 GLOBAL INDEMNITY GROUP LLC COM CL A 37959R103 23161 849985 SH SOLE 849985 0 0 I3 VERTICALS INC COM CL A 46571Y107 1976 81606 SH SOLE 81606 0 0 IDENTIV INC COM NEW 45170X205 15350 814750 SH SOLE 814750 0 0 INNOVATE CORP COM 45784J105 568 138519 SH SOLE 138519 0 0 ISOS ACQUISITION CORPORATION *W EXP 03/01/202 G4962C104 345 250000 SH SOLE 250000 0 0 ISOS ACQUISITION CORPORATION SHARES CL A G4962C112 7485 750000 SH SOLE 750000 0 0 KALEYRA INC COM 483379103 649 59000 SH SOLE 59000 0 0 LIQUIDIA CORPORATION COM NEW 53635D202 1162 420939 SH SOLE 420939 0 0 MASTERCRAFT BOAT HLDGS INC COM 57637H103 2273 90640 SH SOLE 90640 0 0 MAXCYTE INC COM 57777K106 8850 724856 SH SOLE 724856 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 880 66255 SH SOLE 66255 0 0 QUMU CORP COM 749063103 4206 1695785 SH SOLE 1695785 0 0 SHARECARE INC COM CL A 81948W104 7189 873488 SH SOLE 873488 0 0 SPX FLOW INC COM 78469X107 10711 146520 SH SOLE 146520 0 0 SPX FLOW INC COM 78469X107 18275 250000 SH Call SOLE 250000 0 0 SPX FLOW INC COM 78469X107 18275 250000 SH Put SOLE 250000 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 6942 3966637 SH SOLE 3966637 0 0 TEGNA INC COM 87901J105 19720 1000000 SH Call SOLE 1000000 0 0 TEGNA INC COM 87901J105 8515 431790 SH SOLE 431790 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 8396 604061 SH SOLE 604061 0 0 TURTLE BEACH CORP COM NEW 900450206 13910 500000 SH Put SOLE 500000 0 0 TURTLE BEACH CORP COM NEW 900450206 14606 525000 SH Call SOLE 525000 0 0 TURTLE BEACH CORP COM NEW 900450206 16297 585816 SH SOLE 585816 0 0 ULTA BEAUTY INC COM 90384S303 2166 6000 SH SOLE 6000 0 0 UPHEALTH INC COM 91532B101 158 50000 SH SOLE 50000 0 0 US ECOLOGY INC COM 91734M103 11721 362317 SH SOLE 362317 0 0 VSE CORP COM 918284100 8557 177652 SH SOLE 177652 0 0 WILLSCOT MOBILE MINI HLDNG CO COM CL A 971378104 1988 62682 SH SOLE 62682 0 0