Harbert Fund Advisors, LLC
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed November 14, 2024), Harbert Fund Advisors, LLC reported 73 stock positions worth $124.1 million. Its top holding was Penn Entertainment (PENN) at 9.2% of the portfolio, followed by Turtle Beach (TBCH, 6.5%) and Amazon.com (AMZN, 6.0%). Compared with Q2 2024, it opened 11 new positions, sold out of 25, added to 21 and reduced 22. The biggest buy was Alphabet Class C (GOOG, shares +117%) and the biggest sale Microsoft (MSFT, shares −34%).
- Most Recent 13F
- Q2 2026
- Location
- Birmingham, AL
- CIK
- 0001616659
- Portfolio Value
- $124.1M (Q3 2024)
- SEC Filing
- 0000919574-24-006531 ↗ filed Nov 14, 2024
Holdings Value
Holdings 73 stocks · $124.1M
| PENN Penn Entertainment Inc. | 9.24% | 608,272 | $11.5M | No change |
| TBCH Turtle Beach Corp. | 6.45% | 522,259 | $8.0M | No change |
| AMZN Amazon.com Inc. | 6.00% | 40,000 | $7.5M | Reduce -7.0% |
| ENZB Enzo Biochem Inc. | 4.67% | 5,175,913 | $5.8M | No change |
| GOOG Alphabet Inc. Class C | 4.38% | 32,500 | $5.4M | Add +116.7% |
| MSFT Microsoft Corp. | 4.07% | 11,750 | $5.1M | Reduce -33.8% |
| INFU Infusystem Holdings Inc. | 3.34% | 618,085 | $4.1M | No change |
| LQDA Liquidia Corp. | 2.73% | 339,158 | $3.4M | No change |
| ARAY Accuray Inc. | 2.68% | 1,849,184 | $3.3M | No change |
| TACT Transact Technologies Inc. | 2.51% | 640,168 | $3.1M | No change |
| FRNM Freenome Inc. filed as PERCEPTIVE CAP SOLUTIONS COR | 2.42% | 300,000 | $3.0M | No change |
| META Meta Platforms Inc. Class A | 2.31% | 5,000 | $2.9M | Reduce -4.8% |
| INVE Inve Technologies Inc. filed as IDENTIV INC | 2.23% | 785,557 | $2.8M | No change |
| ELV Elevance Health Inc. | 2.20% | 5,250 | $2.7M | Reduce -8.7% |
| V Visa Inc. Class A | 2.05% | 9,250 | $2.5M | Add +23.3% |
| AAPL Apple Inc. | 2.02% | 10,750 | $2.5M | New |
| IQV Iqvia Holdings Inc. | 2.00% | 10,500 | $2.5M | Add +44.8% |
| NVDA Nvidia Corp. | 1.96% | 20,000 | $2.4M | New |
| INSE Inspired Entertainment Inc. | 1.94% | 259,537 | $2.4M | No change |
| FENC Fennec Pharmaceuticals Inc. | 1.88% | 466,869 | $2.3M | No change |
| MA Mastercard Inc. Class A | 1.81% | 4,550 | $2.2M | Add +1.1% |
| UNH Unitedhealth Group Inc. | 1.65% | 3,500 | $2.0M | Add +133.3% |
| ECVT Ecovyst Inc. | 1.64% | 297,061 | $2.0M | No change |
| TSM Taiwan Semiconductor-SP ADR | 1.57% | 11,250 | $2.0M | Add +36.4% |
| IIIV I3 Verticals Inc. Class A | 1.40% | 81,606 | $1.7M | No change |
| AVGO Broadcom Inc. | 1.22% | 8,750 | $1.5M | New |
| ISRG Intuitive Surgical Inc. | 1.02% | 2,575 | $1.3M | Add +3.0% |
| BSX Boston Scientific Corp. | 1.01% | 15,000 | $1.3M | Add +129.9% |
| PCT Purecycle Technologies Inc. | 0.93% | 121,274 | $1.2M | No change |
| STREAMLINE HEALTH SOLUTIONS | 0.89% | 4,824,212 | $1.1M | No change |
| SPGI S&P Global Inc. | 0.83% | 2,000 | $1.0M | Reduce -14.9% |
| TMO Thermo Fisher Scientific Inc. | 0.82% | 1,650 | $1.0M | Reduce -9.6% |
| MCO Moody's Corp. | 0.82% | 2,150 | $1.0M | Reduce -14.0% |
| NEE Nextera Energy Inc. | 0.81% | 11,850 | $1.0M | Add +196.3% |
| NRG NRG Energy Inc. | 0.80% | 10,950 | $998K | New |
| OXY Occidental Petroleum Corp. | 0.62% | 15,000 | $773K | New |
| UNP Union Pacific Corp. | 0.61% | 3,075 | $758K | Add +36.7% |
| DE Deere & Co. | 0.59% | 1,750 | $730K | Add +27.3% |
| TSLA Tesla Inc. | 0.58% | 2,750 | $719K | Reduce -31.3% |
| TRMD Torm PLC-A | 0.55% | 20,000 | $684K | New |
| XOM Exxon Mobil Corp. | 0.47% | 5,000 | $586K | New |
| EMR Emerson Electric Co. | 0.44% | 5,000 | $547K | No change |
| WCN Waste Connections Inc. | 0.43% | 3,000 | $536K | No change |
| JPM JPMorgan Chase & Co. | 0.42% | 2,500 | $527K | Reduce -4.8% |
| THC Tenet Healthcare Corp. | 0.42% | 3,125 | $519K | Add +68.9% |
| ADBE Adobe Inc. | 0.42% | 1,000 | $518K | New |
| DDOG Datadog Inc. Class A | 0.42% | 4,500 | $518K | Add +5.9% |
| AVTR Avantor Inc. | 0.42% | 20,000 | $517K | Reduce -60.0% |
| ROP Roper Technologies Inc. | 0.41% | 925 | $515K | Reduce -7.5% |
| PANW Palo Alto Networks Inc. | 0.41% | 1,500 | $513K | No change |
| IBB iShares Biotechnology ETF | 0.41% | 3,500 | $510K | Add +89.2% |
| PCOR Procore Technologies Inc. | 0.41% | 8,250 | $509K | Reduce -17.5% |
| XBI SS SPDR S&P Biotech ETF | 0.41% | 5,150 | $509K | Reduce -6.4% |
| PGR Progressive Corp. | 0.41% | 2,000 | $508K | Reduce -20.0% |
| SPOT Spotify Technology SA | 0.41% | 1,375 | $507K | Add +37.5% |
| ETN Eaton Corp. PLC | 0.41% | 1,525 | $505K | Reduce -6.2% |
| PLD Prologis Inc. | 0.41% | 4,000 | $505K | Add +33.3% |
| WMT Walmart Inc. | 0.41% | 6,250 | $505K | Reduce -44.4% |
| EMBJ Embraer SA-Spon ADR | 0.41% | 14,250 | $504K | Reduce -23.0% |
| XYZ Block Inc. | 0.41% | 7,500 | $503K | Reduce -25.0% |
| WDAY Workday Inc. Class A | 0.40% | 2,055 | $502K | Reduce -17.8% |
| BRZE Braze Inc. Class A | 0.40% | 15,500 | $501K | Add +3.3% |
| TDG Transdigm Group Inc. | 0.40% | 350 | $499K | New |
| FCX Freeport-McMoran Inc. | 0.40% | 10,000 | $499K | Reduce -4.8% |
| GFL GFL Environmental Inc.-Sub VT | 0.40% | 12,500 | $499K | Reduce -7.4% |
| NFLX Netflix Inc. | 0.40% | 700 | $496K | Add +40.0% |
| ENPH Enphase Energy Inc. | 0.40% | 4,375 | $494K | New |
| SBAC SBA Communications Corp. | 0.39% | 2,000 | $481K | Add +90.5% |
| AMT American Tower Corp. | 0.37% | 2,000 | $465K | Add +14.3% |
| DLR Digital Realty Trust Inc. | 0.23% | 1,750 | $283K | Add +16.7% |
| AME Ametek Inc. | 0.21% | 1,500 | $258K | New |
| RACE Ferrari NV | 0.20% | 525 | $247K | Reduce -58.0% |
| REAL The Realreal Inc. filed as THE REALREAL INC | 0.18% | 70,000 | $220K | No change |
Options reported separately and not counted above: SPY puts ($10.0M), MSFT puts ($5.4M), CVS calls ($3.5M), IWM calls ($2.8M), META puts ($2.6M), QQQ puts ($2.4M), GOOG calls ($1.7M), HUM calls ($1.6M), GOOS calls ($1.3M), NVDA puts ($1.3M), MA puts ($1.2M), CPRI calls ($1.2M), and 21 more.
Other holdings (2): bonds, preferreds, convertibles and warrants · $666 (not counted above)
Total filed on the 13F, all lines: $124.1M.
Portfolio Sells Q2 2024 → Q3 2024
| MSFT Microsoft Corp. | Reduce -33.8% | 4.07% | −2.30 |
| AMD Advanced Micro Devices | Sold out | 0.00% | −1.96 |
| SHCR Sharecare Inc. | Sold out | 0.00% | −0.95 |
| AMZN Amazon.com Inc. | Reduce -7.0% | 6.00% | −0.67 |
| VST Vistra Corp. | Sold out | 0.00% | −0.59 |
| CEG Constellation Energy | Sold out | 0.00% | −0.44 |
| VEEV Veeva Systems Inc. Class A | Sold out | 0.00% | −0.44 |
| CVX Chevron Corp. | Sold out | 0.00% | −0.44 |
| AVTR Avantor Inc. | Reduce -60.0% | 0.42% | −0.43 |
| EW Edwards Lifesciences Corp. | Sold out | 0.00% | −0.43 |
| PRM Perimeter Solutions SA | Sold out | 0.00% | −0.42 |
| DELL Dell Technologies -C | Sold out | 0.00% | −0.42 |
| CP Canadian Pacific Kansas City | Sold out | 0.00% | −0.41 |
| SYK Stryker Corp. | Sold out | 0.00% | −0.41 |
| XYL Xylem Inc. | Sold out | 0.00% | −0.41 |
| VRT Vertiv Holdings Co. Class A | Sold out | 0.00% | −0.41 |
| DHR Danaher Corp. | Sold out | 0.00% | −0.41 |
| QGEN Qiagen NV | Sold out | 0.00% | −0.40 |
| TECK Teck Resources Ltd.-CLS B | Sold out | 0.00% | −0.40 |
| CL Colgate-Palmolive Co. | Sold out | 0.00% | −0.39 |
| CRM Salesforce Inc. | Sold out | 0.00% | −0.36 |
| ELV Elevance Health Inc. | Reduce -8.7% | 2.20% | −0.30 |
| RACE Ferrari NV | Reduce -58.0% | 0.20% | −0.21 |
| DKNG Draftkings Inc. Class A | Sold out | 0.00% | −0.21 |
| WMT Walmart Inc. | Reduce -44.4% | 0.41% | −0.21 |
| MCK McKesson Corp. | Sold out | 0.00% | −0.20 |
| HCA HCA Healthcare Inc. | Sold out | 0.00% | −0.19 |
| SLB SLB Ltd. | Sold out | 0.00% | −0.19 |
| ATRC Atricure Inc. | Sold out | 0.00% | −0.18 |
| VMEO Vimeo Inc. | Sold out | 0.00% | −0.15 |
| AHR American Healthcare REIT Inc. | Sold out | 0.00% | −0.15 |
| PCOR Procore Technologies Inc. | Reduce -17.5% | 0.41% | −0.12 |
| XYZ Block Inc. | Reduce -25.0% | 0.41% | −0.11 |
| TSLA Tesla Inc. | Reduce -31.3% | 0.58% | −0.06 |
| WDAY Workday Inc. Class A | Reduce -17.8% | 0.40% | −0.04 |
| ROP Roper Technologies Inc. | Reduce -7.5% | 0.41% | −0.04 |
| MCO Moody's Corp. | Reduce -14.0% | 0.82% | −0.02 |
| GFL GFL Environmental Inc.-Sub VT | Reduce -7.4% | 0.40% | −0.02 |
| SPGI S&P Global Inc. | Reduce -14.9% | 0.83% | −0.01 |
| PGR Progressive Corp. | Reduce -20.0% | 0.41% | −0.01 |
| FCX Freeport-McMoran Inc. | Reduce -4.8% | 0.40% | −0.01 |
| ETN Eaton Corp. PLC | Reduce -6.2% | 0.41% | −0.00 |
| JPM JPMorgan Chase & Co. | Reduce -4.8% | 0.42% | −0.00 |
| XBI SS SPDR S&P Biotech ETF | Reduce -6.4% | 0.41% | +0.00 |
| TMO Thermo Fisher Scientific Inc. | Reduce -9.6% | 0.82% | +0.01 |
| EMBJ Embraer SA-Spon ADR | Reduce -23.0% | 0.41% | +0.02 |
| META Meta Platforms Inc. Class A | Reduce -4.8% | 2.31% | +0.18 |
Portfolio Buys Q2 2024 → Q3 2024
| GOOG Alphabet Inc. Class C | Add +116.7% | 4.38% | +2.17 |
| AAPL Apple Inc. | New | 2.02% | +2.02 |
| NVDA Nvidia Corp. | New | 1.96% | +1.96 |
| AVGO Broadcom Inc. | New | 1.22% | +1.22 |
| UNH Unitedhealth Group Inc. | Add +133.3% | 1.65% | +1.03 |
| NRG NRG Energy Inc. | New | 0.80% | +0.80 |
| IQV Iqvia Holdings Inc. | Add +44.8% | 2.00% | +0.77 |
| OXY Occidental Petroleum Corp. | New | 0.62% | +0.62 |
| BSX Boston Scientific Corp. | Add +129.9% | 1.01% | +0.61 |
| NEE Nextera Energy Inc. | Add +196.3% | 0.81% | +0.58 |
| TRMD Torm PLC-A | New | 0.55% | +0.55 |
| XOM Exxon Mobil Corp. | New | 0.47% | +0.47 |
| V Visa Inc. Class A | Add +23.3% | 2.05% | +0.47 |
| TSM Taiwan Semiconductor-SP ADR | Add +36.4% | 1.57% | +0.42 |
| ADBE Adobe Inc. | New | 0.42% | +0.42 |
| TDG Transdigm Group Inc. | New | 0.40% | +0.40 |
| ENPH Enphase Energy Inc. | New | 0.40% | +0.40 |
| SBAC SBA Communications Corp. | Add +90.5% | 0.39% | +0.22 |
| THC Tenet Healthcare Corp. | Add +68.9% | 0.42% | +0.22 |
| MA Mastercard Inc. Class A | Add +1.1% | 1.81% | +0.21 |
| AME Ametek Inc. | New | 0.21% | +0.21 |
| IBB iShares Biotechnology ETF | Add +89.2% | 0.41% | +0.21 |
| UNP Union Pacific Corp. | Add +36.7% | 0.61% | +0.20 |
| DE Deere & Co. | Add +27.3% | 0.59% | +0.18 |
| SPOT Spotify Technology SA | Add +37.5% | 0.41% | +0.16 |
| PLD Prologis Inc. | Add +33.3% | 0.41% | +0.14 |
| NFLX Netflix Inc. | Add +40.0% | 0.40% | +0.13 |
| ISRG Intuitive Surgical Inc. | Add +3.0% | 1.02% | +0.13 |
| AMT American Tower Corp. | Add +14.3% | 0.37% | +0.10 |
| DLR Digital Realty Trust Inc. | Add +16.7% | 0.23% | +0.04 |
| DDOG Datadog Inc. Class A | Add +5.9% | 0.42% | −0.03 |
| BRZE Braze Inc. Class A | Add +3.3% | 0.40% | −0.06 |
Options Activity Q2 2024 → Q3 2024
| SPY SS SPDR S&P 500 ETF Trust-US | put | Add +40.0% | 17,500 | $10.0M |
| MSFT Microsoft Corp. | put | New | 12,500 | $5.4M |
| CVS CVS Health Corp. | call | New | 55,000 | $3.5M |
| IWM iShares Russell 2000 ETF | call | New | 12,500 | $2.8M |
| META Meta Platforms Inc. Class A | put | New | 4,500 | $2.6M |
| QQQ Invesco QQQ Trust Series 1 | put | Reduce -66.7% | 5,000 | $2.4M |
| GOOG Alphabet Inc. Class C | call | New | 10,000 | $1.7M |
| HUM Humana Inc. | call | New | 5,000 | $1.6M |
| GOOS Canada Goose Holdings Inc. | call | New | 102,600 | $1.3M |
| NVDA Nvidia Corp. | put | New | 10,500 | $1.3M |
| MA Mastercard Inc. Class A | put | New | 2,500 | $1.2M |
| CPRI Capri Holdings Ltd. | call | New | 28,900 | $1.2M |
| AAPL Apple Inc. | put | New | 5,000 | $1.2M |
| TLT iShares 20+ Year Treasury BD | call | New | 10,000 | $981K |
| AMZN Amazon.com Inc. | put | New | 5,000 | $932K |
| BSX Boston Scientific Corp. | put | New | 10,000 | $838K |
| V Visa Inc. Class A | put | New | 2,500 | $687K |
| XYZ Block Inc. | call | Add +100.0% | 10,000 | $671K |
| UNH Unitedhealth Group Inc. | put | New | 1,000 | $585K |
| SMH Vaneck Semiconductor ETF | put | Sold out | 2,000 | $521Kbefore exit |
| PANW Palo Alto Networks Inc. | put | New | 1,500 | $513K |
| MCO Moody's Corp. | put | New | 1,000 | $475K |
| GDX Vaneck Gold Miners ETF | put | New | 10,000 | $398K |
| WDAY Workday Inc. Class A | call | Sold out | 1,700 | $380Kbefore exit |
| NKE Nike Inc. Class B | call | Sold out | 5,000 | $377Kbefore exit |
| OKTA Okta Inc. | call | New | 5,000 | $372K |
| ETN Eaton Corp. PLC | put | New | 1,000 | $331K |
| PCOR Procore Technologies Inc. | call | Add +233.3% | 5,000 | $309K |
| ROKU Roku Inc. | call | Sold out | 5,000 | $300Kbefore exit |
| NFLX Netflix Inc. | put | New | 400 | $284K |
| SPGI S&P Global Inc. | put | New | 500 | $258K |
| TMO Thermo Fisher Scientific Inc. | put | New | 400 | $247K |
| XBI SS SPDR S&P Biotech ETF | call | New | 2,500 | $247K |
| IQV Iqvia Holdings Inc. | put | New | 1,000 | $237K |
| TSLA Tesla Inc. | put | Sold out | 1,000 | $198Kbefore exit |
| SPOT Spotify Technology SA | put | New | 500 | $184K |
| THC Tenet Healthcare Corp. | put | New | 1,000 | $166K |
| BRZE Braze Inc. Class A | call | Add +25.0% | 2,500 | $81K |
| AVTR Avantor Inc. | call | Sold out | 1,000 | $21Kbefore exit |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
All Filings
| Quarter | Positions | 13F Reported Value | Top Holdings |
|---|---|---|---|
| Q2 2026 | 0 | $0 | |
| Q1 2026 | 2 | $3.0M | INVE, TACT |
| Q4 2025 | 2 | $3.5M | INVE, TACT |
| Q3 2025 | 12 | $15.3M | LQDA, FRNM, INVE, TACT, FENC |
| Q2 2025 | 20 | $33.3M | CHYM, LQDA, FRNM, INVE, INFU |
| Q1 2025 | 53 | $86.2M | AMZN, LQDA, MSFT, ARAY, META |
| Q4 2024 | 57 | $115.0M | PENN, AMZN, MSFT, INFU, NVDA |
| Q3 2024 | 73 | $124.1M | PENN, TBCH, AMZN, ENZB, GOOG |
| Q2 2024 | 87 | $124.4M | PENN, AMZN, MSFT, TBCH, ENZB |
| Q1 2024 | 78 | $145.3M | TBCH, AMZN, MSFT, ENZB, INVE |