0000919574-22-006543.txt : 20221114 0000919574-22-006543.hdr.sgml : 20221114 20221110185636 ACCESSION NUMBER: 0000919574-22-006543 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221114 DATE AS OF CHANGE: 20221110 EFFECTIVENESS DATE: 20221114 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: 221379081 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 09-30-2022 09-30-2022 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 11-10-2022 0 49 188342 INFORMATION TABLE 2 infotable.xml 1STDIBS COM INC COM 320551104 6403 1017892 SH SOLE 1017892 0 0 ACCURAY INC COM 004397105 3846 1849184 SH SOLE 1849184 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 236 26500 SH SOLE 26500 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 891 100000 SH Call SOLE 100000 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 1000 25000 SH SOLE 25000 0 0 ALPHABET INC CAP STK CL C 02079K107 1562 16250 SH SOLE 16250 0 0 AMAZON COM INC COM 023135106 2712 24000 SH SOLE 24000 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 266 607000 PRN SOLE 607000 0 0 BOSTON SCIENTIFIC CORP COM 101137107 2711 70000 SH SOLE 70000 0 0 DURECT CORP COM 266605104 735 1271402 SH SOLE 1271402 0 0 ELEVANCE HEALTH INC COM 036752103 2816 6200 SH SOLE 6200 0 0 ENZO BIOCHEM INC COM 294100102 11542 5175913 SH SOLE 5175913 0 0 FENNEC PHARMACEUTICALS INC COM 31447P100 1537 189750 SH SOLE 189750 0 0 GLOBAL INDEMNITY GROUP LLC COM CL A 37959R103 11353 681373 SH SOLE 681373 0 0 HARSCO CORP COM 415864107 187 50000 SH SOLE 50000 0 0 I3 VERTICALS INC COM CL A 46571Y107 1635 81606 SH SOLE 81606 0 0 IDENTIV INC COM NEW 45170X205 10217 814750 SH SOLE 814750 0 0 INFUSYSTEM HLDGS INC COM 45685K102 2566 367127 SH SOLE 367127 0 0 IQVIA HLDGS INC COM 46266C105 1811 10000 SH SOLE 10000 0 0 ISHARES INC MSCI GERMANY ETF 464286806 296 15000 SH Put SOLE 15000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 4948 30000 SH Put SOLE 30000 0 0 JACK IN THE BOX INC COM 466367109 1852 25000 SH SOLE 25000 0 0 LIQUIDIA CORPORATION COM NEW 53635D202 1791 329158 SH SOLE 329158 0 0 MAXCYTE INC COM 57777K106 639 98304 SH SOLE 98304 0 0 MICROSOFT CORP COM 594918104 2620 11250 SH SOLE 11250 0 0 MOMENTIVE GLOBAL INC COM 60878Y108 8494 1461972 SH SOLE 1461972 0 0 MOMENTIVE GLOBAL INC COM 60878Y108 4939 850000 SH Call SOLE 850000 0 0 NCR CORP NEW COM 62886E108 2852 150000 SH SOLE 150000 0 0 PALO ALTO NETWORKS INC COM 697435105 1933 11800 SH SOLE 11800 0 0 PERIMETER SOLUTIONS SA COMMON STOCK L7579L106 300 37500 SH SOLE 37500 0 0 PLAYAGS INC COM 72814N104 789 148916 SH SOLE 148916 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 535 66255 SH SOLE 66255 0 0 QUALTRICS INTL INC COM CL A 747601201 3368 330885 SH SOLE 330885 0 0 QUMU CORP COM 749063103 1034 1695785 SH SOLE 1695785 0 0 SHARECARE INC COM CL A 81948W104 1660 873488 SH SOLE 873488 0 0 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 9196 225000 SH Put SOLE 225000 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 4839 4066637 SH SOLE 4066637 0 0 T-MOBILE US INC COM 872590104 2683 20000 SH SOLE 20000 0 0 TARGET HOSPITALITY CORP COM 87615L107 5679 450000 SH SOLE 450000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 2105 4150 SH SOLE 4150 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 2337 640168 SH SOLE 640168 0 0 TURTLE BEACH CORP COM NEW 900450206 3042 446100 SH SOLE 446100 0 0 UIPATH INC CL A 90364P105 677 53711 SH SOLE 53711 0 0 UPHEALTH INC COM 91532B101 27 50000 SH SOLE 50000 0 0 VSE CORP COM 918284100 4869 137532 SH SOLE 137532 0 0 WASTE MGMT INC DEL COM 94106L109 1882 11750 SH SOLE 11750 0 0 WORKDAY INC CL A 98138H101 1872 12300 SH SOLE 12300 0 0 YETI HLDGS INC COM 98585X104 4278 150000 SH SOLE 150000 0 0 YETI HLDGS INC COM 98585X104 42780 1500000 SH Call SOLE 1500000 0 0