0000919574-24-001095.txt : 20240214 0000919574-24-001095.hdr.sgml : 20240214 20240213173946 ACCESSION NUMBER: 0000919574-24-001095 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240214 DATE AS OF CHANGE: 20240213 EFFECTIVENESS DATE: 20240214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBERT FUND ADVISORS, INC. CENTRAL INDEX KEY: 0001616659 ORGANIZATION NAME: 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: 24630397 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 12-31-2023 12-31-2023 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 02-13-2024 0 70 145897334 INFORMATION TABLE 2 infotable.xml 1STDIBS COM INC COM 320551104 3946752 843323 SH SOLE 843323 0 0 ACCURAY INC COM 004397105 5233191 1849184 SH SOLE 1849184 0 0 ADOBE INC COM 00724F101 1044050 1750 SH SOLE 1750 0 0 ADVANCED MICRO DEVICES INC COM 007903107 1474100 10000 SH SOLE 10000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1046385 13500 SH SOLE 13500 0 0 ALIGN TECHNOLOGY INC COM 016255101 1287800 4700 SH SOLE 4700 0 0 ALPHABET INC CAP STK CL C 02079K107 1409300 10000 SH SOLE 10000 0 0 AMAZON COM INC COM 023135106 6495435 42750 SH SOLE 42750 0 0 AVANTOR INC COM 05352A100 768230 33650 SH SOLE 33650 0 0 AXONICS INC COM 05465P101 762318 12250 SH SOLE 12250 0 0 BIO-TECHNE CORP COM 09073M104 771600 10000 SH SOLE 10000 0 0 BLOCK INC CL A 852234103 1295613 16750 SH SOLE 16750 0 0 BOSTON SCIENTIFIC CORP COM 101137107 1878825 32500 SH SOLE 32500 0 0 BRAZE INC COM CL A 10576N102 531300 10000 SH SOLE 10000 0 0 CARRIAGE SVCS INC COM 143905107 5214510 208497 SH SOLE 208497 0 0 COLGATE PALMOLIVE CO COM 194162103 797100 10000 SH SOLE 10000 0 0 DEERE & CO COM 244199105 1299578 3250 SH SOLE 3250 0 0 DOMINOS PIZZA INC COM 25754A201 1288219 3125 SH SOLE 3125 0 0 ECOVYST INC COM 27923Q109 2902286 297061 SH SOLE 297061 0 0 ELEVANCE HEALTH INC COM 036752103 1296790 2750 SH SOLE 2750 0 0 EMERSON ELEC CO COM 291011104 1294489 13300 SH SOLE 13300 0 0 ENPHASE ENERGY INC COM 29355A107 756502 5725 SH SOLE 5725 0 0 ENZO BIOCHEM INC COM 294100102 7194519 5175913 SH SOLE 5175913 0 0 EXACT SCIENCES CORP COM 30063P105 506763 6850 SH SOLE 6850 0 0 FENNEC PHARMACEUTICALS INC COM 31447P100 5238270 466869 SH SOLE 466869 0 0 GFL ENVIRONMENTAL INC SUB VTG SHS 36168Q104 1328635 38500 SH SOLE 38500 0 0 GITLAB INC CLASS A COM 37637K108 755520 12000 SH SOLE 12000 0 0 HCA HEALTHCARE INC COM 40412C101 521059 1925 SH SOLE 1925 0 0 I3 VERTICALS INC COM CL A 46571Y107 1727599 81606 SH SOLE 81606 0 0 IDENTIV INC COM NEW 45170X205 6472990 785557 SH SOLE 785557 0 0 INFUSYSTEM HLDGS INC COM 45685K102 6514616 618085 SH SOLE 618085 0 0 INSPIRED ENTMT INC COM 45782N108 2564226 259537 SH SOLE 259537 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 1298836 3850 SH SOLE 3850 0 0 IQVIA HLDGS INC COM 46266C105 1301513 5625 SH SOLE 5625 0 0 JAWS MUSTANG ACQUISITION COR UNIT 99/99/9999 G50737116 433200 40000 SH SOLE 40000 0 0 JPMORGAN CHASE & CO COM 46625H100 1301265 7650 SH SOLE 7650 0 0 LAZYDAYS HLDGS INC COM 52110H100 404698 57404 SH SOLE 57404 0 0 LEDDARTECH HLDGS INC *W EXP 12/21/202 52328E113 1417 16665 SH SOLE 16665 0 0 LIBERTY MEDIA CORP DEL COM LBTY ONE S C 531229755 1294165 20500 SH SOLE 20500 0 0 LIQUIDIA CORPORATION COM NEW 53635D202 4080071 339158 SH SOLE 339158 0 0 MCKESSON CORP COM 58155Q103 1307919 2825 SH SOLE 2825 0 0 META PLATFORMS INC CL A 30303M102 3893560 11000 SH SOLE 11000 0 0 MICROSOFT CORP COM 594918104 5217555 13875 SH SOLE 13875 0 0 MONGODB INC CL A 60937P106 756373 1850 SH SOLE 1850 0 0 MOODYS CORP COM 615369105 527256 1350 SH SOLE 1350 0 0 NATERA INC COM 632307104 532440 8500 SH SOLE 8500 0 0 NVIDIA CORPORATION COM 67066G104 2864848 5785 SH SOLE 5785 0 0 PLAYAGS INC COM 72814N104 6034734 715864 SH SOLE 715864 0 0 PROCORE TECHNOLOGIES INC COM 74275K108 1038300 15000 SH SOLE 15000 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 491160 121274 SH SOLE 121274 0 0 REPLIGEN CORP COM 759916109 764150 4250 SH SOLE 4250 0 0 RMG ACQUISITION CORP III *W EXP 02/08/202 G76088122 650 10000 SH SOLE 10000 0 0 S&P GLOBAL INC COM 78409V104 1297331 2945 SH SOLE 2945 0 0 SCHLUMBERGER LTD COM STK 806857108 520400 10000 SH SOLE 10000 0 0 SHAKE SHACK INC CL A 819047101 507722 6850 SH SOLE 6850 0 0 SHARECARE INC COM CL A 81948W104 943367 873488 SH SOLE 873488 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 4462635 177936 SH SOLE 177936 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 516753 2750 SH SOLE 2750 0 0 STRATASYS LTD SHS M85548101 5355000 375000 SH SOLE 375000 0 0 STREAMLINE HEALTH SOLUTIONS COM 86323X106 2050290 4824212 SH SOLE 4824212 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1287600 8000 SH SOLE 8000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1287166 2425 SH SOLE 2425 0 0 TOPGOLF CALLAWAY BRANDS CORP COM 131193104 3154800 220000 SH SOLE 220000 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 4468373 640168 SH SOLE 640168 0 0 TURTLE BEACH CORP COM NEW 900450206 5638856 514964 SH SOLE 514964 0 0 UNION PAC CORP COM 907818108 773703 3150 SH SOLE 3150 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1316175 2500 SH SOLE 2500 0 0 VISA INC COM CL A 92826C839 1301750 5000 SH SOLE 5000 0 0 WALMART INC COM 931142103 1300613 8250 SH SOLE 8250 0 0 WORKDAY INC CL A 98138H101 552120 2000 SH SOLE 2000 0 0