0000919574-23-003090.txt : 20230512 0000919574-23-003090.hdr.sgml : 20230512 20230512162655 ACCESSION NUMBER: 0000919574-23-003090 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230512 DATE AS OF CHANGE: 20230512 EFFECTIVENESS DATE: 20230512 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: 23916221 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 03-31-2023 03-31-2023 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 05-12-2023 0 49 151282459 INFORMATION TABLE 2 infotable.xml 1STDIBS COM INC COM 320551104 3347992 843323 SH SOLE 843323 0 0 ACCURAY INC COM 004397105 5492076 1849184 SH SOLE 1849184 0 0 ALPHABET INC CAP STK CL C 02079K107 2392000 23000 SH SOLE 23000 0 0 AMAZON COM INC COM 023135106 2788830 27000 SH SOLE 27000 0 0 BOSTON SCIENTIFIC CORP COM 101137107 2501500 50000 SH SOLE 50000 0 0 CARRIAGE SVCS INC COM 143905107 2691406 88185 SH SOLE 88185 0 0 DATADOG INC CL A COM 23804L103 2797410 38500 SH SOLE 38500 0 0 DURECT CORP COM NEW 266605500 593126 130933 SH SOLE 130933 0 0 ECOVYST INC COM 27923Q109 3282524 297061 SH SOLE 297061 0 0 ELEVANCE HEALTH INC COM 036752103 4736043 10300 SH Call SOLE 10300 0 0 ELEVANCE HEALTH INC COM 036752103 1839240 4000 SH SOLE 4000 0 0 ENZO BIOCHEM INC COM 294100102 12577469 5175913 SH SOLE 5175913 0 0 FENNEC PHARMACEUTICALS INC COM 31447P100 3884350 466869 SH SOLE 466869 0 0 I3 VERTICALS INC COM CL A 46571Y107 2001795 81606 SH SOLE 81606 0 0 IDENTIV INC COM NEW 45170X205 4823320 785557 SH SOLE 785557 0 0 INFUSYSTEM HLDGS INC COM 45685K102 4790159 618085 SH SOLE 618085 0 0 INSPIRED ENTMT INC COM 45782N108 3319478 259537 SH SOLE 259537 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 2490833 9750 SH SOLE 9750 0 0 IQVIA HLDGS INC COM 46266C105 2635293 13250 SH SOLE 13250 0 0 ISHARES INC MSCI GERMANY ETF 464286806 426900 15000 SH Put SOLE 15000 0 0 LAZYDAYS HLDGS INC COM 52110H100 583500 50000 SH SOLE 50000 0 0 LIBERTY MEDIA CORP DEL COM SER C FRMLA 531229854 1870750 25000 SH SOLE 25000 0 0 LIQUIDIA CORPORATION COM NEW 53635D202 2343582 339158 SH SOLE 339158 0 0 META PLATFORMS INC CL A 30303M102 2437310 11500 SH SOLE 11500 0 0 MICROSOFT CORP COM 594918104 2522625 8750 SH SOLE 8750 0 0 NEXTERA ENERGY INC COM 65339F101 385400 5000 SH Call SOLE 5000 0 0 NEXTERA ENERGY INC COM 65339F101 2524370 32750 SH SOLE 32750 0 0 PALO ALTO NETWORKS INC COM 697435105 2057322 10300 SH SOLE 10300 0 0 PERIMETER SOLUTIONS SA COMMON STOCK L7579L106 577720 71500 SH SOLE 71500 0 0 PLAYAGS INC COM 72814N104 8758750 1225000 SH SOLE 1225000 0 0 PROCORE TECHNOLOGIES INC COM 74275K108 2599145 41500 SH SOLE 41500 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 848918 121274 SH SOLE 121274 0 0 S&P GLOBAL INC COM 78409V104 2068620 6000 SH SOLE 6000 0 0 SCULPTOR CAP MGMT COM CL A 811246107 1321790 153518 SH SOLE 153518 0 0 SHARECARE INC COM CL A 81948W104 1240353 873488 SH SOLE 873488 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 8683582 4824212 SH SOLE 4824212 0 0 T-MOBILE US INC COM 872590104 2462280 17000 SH SOLE 17000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 2593665 4500 SH SOLE 4500 0 0 TOPGOLF CALLAWAY BRANDS CORP COM 131193104 3999700 185000 SH SOLE 185000 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 3962640 640168 SH SOLE 640168 0 0 TURTLE BEACH CORP COM NEW 900450206 4787346 477779 SH SOLE 477779 0 0 TWILIO INC CL A 90138F102 2491962 37400 SH SOLE 37400 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1890360 4000 SH SOLE 4000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4725900 10000 SH Call SOLE 10000 0 0 VISA INC COM CL A 92826C839 2198235 9750 SH SOLE 9750 0 0 VSE CORP COM 918284100 6171325 137446 SH SOLE 137446 0 0 WASTE MGMT INC DEL COM 94106L109 815850 5000 SH Call SOLE 5000 0 0 WASTE MGMT INC DEL COM 94106L109 2365965 14500 SH SOLE 14500 0 0 WORKDAY INC CL A 98138H101 2581750 12500 SH SOLE 12500 0 0