HARBERT FUND ADVISORS, INC.

Q2 2014 13F Holdings Report, Stock Holdings

Signature - Title
John W. McCullough - Executive Vice President and General Counsel
Location
Birmingham, AL
Holdings as of
June 30, 2014
Value $
$73.5M
Num holdings
28
Date filed
8/14/2014, 04:50 PM
Description
All US holdings of this investor are reported in this report. The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. The market value column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in accounts.
Next filing
Q3 2014 - Nov 14, 2014
Options Holdings
Showing stock holdings, see here for options holdings
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
John W. McCullough Senior Vice President and General Counsel Birmingham, Alabama 8/14/2014

This is the first 13F-HR for Harbert Fund Advisors, Inc. ("HFA"), an SEC registered investment adviser. In prior reporting periods, Harbert Management Corporation ("HMC"), filed a Form 13F-HR to report the securities under the management of it and/or HFA, which is an indirect wholly owned subsidiary of HMC. HMC has determined that it is appropriate for HFA to file this report instead of HMC, and thus this report will be filed by HFA going forward. HFA will not be including this note on any future filings.

Other Included Managers (2):

Num Name Location File Number
1 HARBERT VALUE FUND GP, LLC 028-14261
2 HARBERT VALUE MASTER FUND, LTD. 028-14262