HARBERT FUND ADVISORS, INC.

Q2 2014 13F Holdings Report, Options Holdings

Signature - Title
John W. McCullough - Executive Vice President and General Counsel
Location
Birmingham, AL
Options holdings as of
June 30, 2014
Notional value $
$12.8M
Number of holdings
2
Date filed
8/14/2014, 04:50 PM
Description
All US holdings of this investor are reported in this report.
Next filing
Q3 2014 - Nov 14, 2014
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
* 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