0000919574-22-004815.txt : 20220812 0000919574-22-004815.hdr.sgml : 20220812 20220812161927 ACCESSION NUMBER: 0000919574-22-004815 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220812 DATE AS OF CHANGE: 20220812 EFFECTIVENESS DATE: 20220812 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: 221160393 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 06-30-2022 06-30-2022 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 /s/ John W. McCullough Birmingham AL 08-12-2022 0 50 205508 INFORMATION TABLE 2 infotable.xml 1STDIBS COM INC COM 320551104 5519 969959 SH SOLE 969959 0 0 ACCURAY INC COM 004397105 3624 1849184 SH SOLE 1849184 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 274 26500 SH SOLE 26500 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 4347 420000 SH Call SOLE 420000 0 0 ALPHABET INC CAP STK CL C 02079K107 991 453 SH SOLE 453 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 3963 4107000 PRN SOLE 4107000 0 0 BOSTON SCIENTIFIC CORP COM 101137107 811 21750 SH SOLE 21750 0 0 BOWLERO CORP CL A COM 10258P102 5825 550000 SH SOLE 550000 0 0 DONNELLEY FINL SOLUTIONS INC COM 25787G100 4292 146530 SH SOLE 146530 0 0 DURECT CORP COM 266605104 608 1271402 SH SOLE 1271402 0 0 ELEVANCE HEALTH INC COM 036752103 2534 5250 SH SOLE 5250 0 0 ENZO BIOCHEM INC COM 294100102 10714 5175913 SH SOLE 5175913 0 0 FENNEC PHARMACEUTICALS INC COM 31447P100 1059 189750 SH SOLE 189750 0 0 GLOBAL INDEMNITY GROUP LLC COM CL A 37959R103 18280 706602 SH SOLE 706602 0 0 I3 VERTICALS INC COM CL A 46571Y107 2042 81606 SH SOLE 81606 0 0 IDENTIV INC COM NEW 45170X205 9435 814750 SH SOLE 814750 0 0 INFUSYSTEM HLDGS INC COM 45685K102 2520 261654 SH SOLE 261654 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 981 3500 SH Put SOLE 3500 0 0 IQVIA HLDGS INC COM 46266C105 1069 4925 SH SOLE 4925 0 0 ISHARES TR IBOXX HI YD ETF 464288513 7361 100000 SH Put SOLE 100000 0 0 KALEYRA INC COM 483379103 41 20000 SH SOLE 20000 0 0 KOHLS CORP COM 500255104 17845 500000 SH Call SOLE 500000 0 0 LIQUIDIA CORPORATION COM NEW 53635D202 1877 430458 SH SOLE 430458 0 0 MAXCYTE INC COM 57777K106 465 98304 SH SOLE 98304 0 0 MICROSOFT CORP COM 594918104 1785 6950 SH SOLE 6950 0 0 MOMENTIVE GLOBAL INC COM 60878Y108 4400 500000 SH Call SOLE 500000 0 0 MOMENTIVE GLOBAL INC COM 60878Y108 11555 1313048 SH SOLE 1313048 0 0 NCR CORP NEW COM 62886E108 5729 184161 SH SOLE 184161 0 0 NCR CORP NEW COM 62886E108 23333 750000 SH Call SOLE 750000 0 0 PALO ALTO NETWORKS INC COM 697435105 469 950 SH SOLE 950 0 0 PAYA HOLDINGS INC COM CL A 70434P103 329 50000 SH SOLE 50000 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 492 66255 SH SOLE 66255 0 0 QUALTRICS INTL INC COM CL A 747601201 4139 330885 SH SOLE 330885 0 0 QUMU CORP COM 749063103 1365 1695785 SH SOLE 1695785 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 1573 50000 SH Put SOLE 50000 0 0 SERVICENOW INC COM 81762P102 309 650 SH SOLE 650 0 0 SHARECARE INC COM CL A 81948W104 1380 873488 SH SOLE 873488 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7545 20000 SH Put SOLE 20000 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 5165 4066637 SH SOLE 4066637 0 0 T-MOBILE US INC COM 872590104 1765 13120 SH SOLE 13120 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1032 1900 SH SOLE 1900 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 2548 640168 SH SOLE 640168 0 0 TURTLE BEACH CORP COM NEW 900450206 7338 600000 SH SOLE 600000 0 0 TURTLE BEACH CORP COM NEW 900450206 5504 450000 SH Put SOLE 450000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1056 2055 SH SOLE 2055 0 0 UPHEALTH INC COM 91532B101 137 231000 SH SOLE 231000 0 0 VSE CORP COM 918284100 5168 137532 SH SOLE 137532 0 0 WASTE MGMT INC DEL COM 94106L109 1109 7250 SH SOLE 7250 0 0 WELLTOWER INC COM 95040Q104 561 6815 SH SOLE 6815 0 0 YETI HLDGS INC COM 98585X104 3245 75000 SH SOLE 75000 0 0