0000919574-23-000917.txt : 20230213 0000919574-23-000917.hdr.sgml : 20230213 20230210173318 ACCESSION NUMBER: 0000919574-23-000917 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230213 DATE AS OF CHANGE: 20230210 EFFECTIVENESS DATE: 20230213 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: 23613666 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 X0202 13F-HR LIVE false true false 0001616659 XXXXXXXX 12-31-2022 12-31-2022 false HARBERT FUND ADVISORS, INC.

2100 Third Avenue North Suite 600 Birmingham AL 35203

13F HOLDINGS REPORT 028-16265 000110577 801-55926 N John W. McCullough 205-987-5576 /s/ John W. McCullough Birmingham AL 02-10-2023 0 48 124823664 INFORMATION TABLE 2 infotable.xml 1STDIBS COM INC COM 320551104 4995281 983323 SH SOLE 983323 0 0 ACCURAY INC COM 004397105 3864795 1849184 SH SOLE 1849184 0 0 ACTIVISION BLIZZARD INC COM 00507V109 2296500 30000 SH SOLE 30000 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 2271750 325000 SH Call SOLE 325000 0 0 ALPHABET INC CAP STK CL C 02079K107 1330950 15000 SH SOLE 15000 0 0 AMAZON COM INC COM 023135106 2520000 30000 SH SOLE 30000 0 0 ASTRONICS CORP COM 046433108 926279 89930 SH SOLE 89930 0 0 BOSTON SCIENTIFIC CORP COM 101137107 1337203 28900 SH SOLE 28900 0 0 DATADOG INC CL A COM 23804L103 1341375 18250 SH SOLE 18250 0 0 DURECT CORP COM NEW 266605500 453028 130933 SH SOLE 130933 0 0 ELEVANCE HEALTH INC COM 036752103 1359371 2650 SH SOLE 2650 0 0 ENZO BIOCHEM INC COM 294100102 7401556 5175913 SH SOLE 5175913 0 0 FENNEC PHARMACEUTICALS INC COM 31447P100 3042710 316949 SH SOLE 316949 0 0 HCA HEALTHCARE INC COM 40412C101 1331778 5550 SH SOLE 5550 0 0 I3 VERTICALS INC COM CL A 46571Y107 1986290 81606 SH SOLE 81606 0 0 IDENTIV INC COM NEW 45170X205 5687433 785557 SH SOLE 785557 0 0 INFUSYSTEM HLDGS INC COM 45685K102 4841018 557721 SH SOLE 557721 0 0 INSPIRED ENTMT INC COM 45782N108 1959720 154674 SH SOLE 154674 0 0 IQVIA HLDGS INC COM 46266C105 1347152 6575 SH SOLE 6575 0 0 ISHARES INC MSCI GERMANY ETF 464286806 370950 15000 SH Put SOLE 15000 0 0 KALEYRA INC COM 483379103 15102 20000 SH SOLE 20000 0 0 LIBERTY MEDIA CORP DEL COM SER C FRMLA 531229854 1346545 22525 SH SOLE 22525 0 0 LIQUIDIA CORPORATION COM NEW 53635D202 2096736 329158 SH SOLE 329158 0 0 MICROSOFT CORP COM 594918104 1354983 5650 SH SOLE 5650 0 0 MOMENTIVE GLOBAL INC COM 60878Y108 10804416 1543488 SH SOLE 1543488 0 0 NEXTERA ENERGY INC COM 65339F101 1316700 15750 SH SOLE 15750 0 0 PALO ALTO NETWORKS INC COM 697435105 1325630 9500 SH SOLE 9500 0 0 PLAYAGS INC COM 72814N104 3578905 701746 SH SOLE 701746 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 447884 66255 SH SOLE 66255 0 0 QUALTRICS INTL INC COM CL A 747601201 3607278 347522 SH SOLE 347522 0 0 QUMU CORP COM 749063103 1515523 1695785 SH SOLE 1695785 0 0 S&P GLOBAL INC COM 78409V104 1339760 4000 SH SOLE 4000 0 0 SCULPTOR CAP MGMT COM CL A 811246107 805285 92989 SH SOLE 92989 0 0 SHARECARE INC COM CL A 81948W104 1397581 873488 SH SOLE 873488 0 0 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 6135000 150000 SH Put SOLE 150000 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 7622255 4824212 SH SOLE 4824212 0 0 T-MOBILE US INC COM 872590104 1330000 9500 SH SOLE 9500 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1376725 2500 SH SOLE 2500 0 0 TOPGOLF CALLAWAY BRANDS CORP COM 131193104 1678750 85000 SH SOLE 85000 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 4045862 640168 SH SOLE 640168 0 0 TURTLE BEACH CORP COM NEW 900450206 3226500 450000 SH SOLE 450000 0 0 UIPATH INC CL A 90364P105 682667 53711 SH SOLE 53711 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1325450 2500 SH SOLE 2500 0 0 VISA INC COM CL A 92826C839 1350440 6500 SH SOLE 6500 0 0 VSE CORP COM 918284100 6443468 137446 SH SOLE 137446 0 0 WASTE MGMT INC DEL COM 94106L109 1255040 8000 SH SOLE 8000 0 0 WORKDAY INC CL A 98138H101 1363740 8150 SH SOLE 8150 0 0 YETI HLDGS INC COM 98585X104 5370300 130000 SH SOLE 130000 0 0