13F-HR filed by SANDERS MORRIS HARRIS LLC
SANDERS MORRIS HARRIS LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-24, with 158 holding rows worth $329,743,000.
- Accession
- 0001085146-16-004553
- Filer
- CIK 1053994
- Filed
- 2016-10-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 210 entries on the cover page, a total value of $329,743,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $329,743,000 with VALUE read as thousands by filing date, 13F file number 028-12760. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerGFS Advisors, LLC028-13054
- reports for this filerLeonetti & Associates, LLC028-13075
- included managerSANDERS MORRIS HARRIS INC.028-12760
- included managerSMH CAPITAL ADVISORS INC028-10258
- included managerMILLER GREEN FINANCIAL SERVICES INC /ADV028-16804
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| MAIN STR CAP CORP | 56035L104 | COM | 1,744,766 | $59,898,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 207,918 | $18,165,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 585,134 | $16,168,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 79,452 | $14,935,000 | thousands by filing date | principal |
| TELIGENT INC NEW | 87960W104 | COM | 1,810,279 | $13,758,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 3,877,095 | $12,756,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 12,336 | $8,111,000 | thousands by filing date | principal |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 4,325,557 | $7,700,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 51,122 | $6,781,000 | thousands by filing date | principal |
| Bank of America Corp | 060505104 | COM | 428,777 | $6,710,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 180,800 | $6,238,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 192,090 | $6,103,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 116,850 | $6,077,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 7,304 | $5,412,000 | thousands by filing date | principal |
| JOINT CORP | 47973J102 | COM | 2,169,181 | $5,163,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 143,736 | $4,329,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 13,319 | $4,296,000 | thousands by filing date | principal |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 33,354 | $3,961,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 231,325 | $3,944,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 100,600 | $3,852,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 72,787 | $3,680,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 14,702 | $3,584,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 38,000 | $3,509,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 506,100 | $3,446,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 372,628 | $3,335,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 162,000 | $2,881,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 7,790 | $2,861,000 | thousands by filing date | principal |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 939,245 | $2,827,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 122,161 | $2,825,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 44,521 | $2,771,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 10,776,557 | $2,694,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 40,707 | $2,676,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 2,802 | $2,676,000 | thousands by filing date | principal |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 301,300 | $2,663,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 93,940 | $2,632,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 14,097 | $2,458,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 20,900 | $2,415,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 35,331 | $2,234,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 51,000 | $1,937,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 50,100 | $1,929,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 68,889 | $1,922,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 14,707 | $1,827,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 38,700 | $1,572,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 9,960 | $1,368,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 76 | $1,367,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 78 | $1,326,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| READING INTL INC | 755408101 | CL A | 98,621 | $1,317,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 241,512 | $1,201,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 57 | $1,171,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,136 | $1,107,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 64,000 | $1,096,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 16,952 | $1,081,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 14,435 | $1,038,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 34 | $1,026,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| CVS Health Corporation | 126650100 | COM | 11,383 | $1,013,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 91 | $956,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| Johnson & Johnson | 478160104 | COM | 7,541 | $891,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 15,300 | $881,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 13,023 | $868,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 50,800 | $847,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 3,443 | $827,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 24,985 | $784,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 9,567 | $768,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 129 | $749,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| Procter & Gamble Co | 742718109 | COM | 8,336 | $748,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 52 | $745,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| Dow Chemical Company | 260543103 | COM | 14,352 | $744,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 19,767 | $731,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 44,450 | $718,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 14,121 | $693,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 61,025 | $663,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 114 | $663,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| Home Depot, Inc | 437076102 | COM | 4,935 | $635,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 5,880 | $624,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 8,598 | $620,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 103,000 | $602,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 11,208 | $595,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 10,850 | $585,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 5,905 | $574,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 30,680 | $539,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 13,400 | $535,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 17,569 | $521,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,800 | $521,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 14,612 | $496,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 6,136 | $492,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 16,079 | $474,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 3,000 | $458,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 5,072 | $440,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 5,379 | $439,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 11,000 | $433,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 6,000 | $430,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 2,500 | $428,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 6,500 | $418,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 11 | $411,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 16,000 | $411,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 9,661 | $409,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 8,536 | $408,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 19,734 | $400,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 3,559 | $398,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 9,570 | $393,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,330 | $388,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 3,200 | $387,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 4,394 | $386,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 11,391 | $385,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 2,011 | $371,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 16,129 | $369,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 28,927 | $367,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 4,251 | $342,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 3,783 | $339,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 23,705 | $337,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 25,000 | $327,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 303,975 | $325,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 6,654 | $317,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 27,945 | $316,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 9,000 | $296,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 6,607 | $290,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 5,235 | $290,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 2,100 | $283,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 6,016 | $283,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 4,000 | $271,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,433 | $263,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 15,000 | $245,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 5,000 | $244,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 48,500 | $243,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,100 | $242,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 3,198 | $241,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 5,300 | $230,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,350 | $229,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 20,000 | $229,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 4,974 | $228,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,600 | $224,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,754 | $217,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 15 | $216,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| NIKE,Inc. Class B | 654106103 | COM | 4,000 | $211,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 11,000 | $211,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 1,210 | $210,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 2,262 | $209,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,700 | $205,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,195 | $204,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 50,250 | $199,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 12,000 | $190,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,334 | $190,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 136,650 | $190,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 12,000 | $178,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 225,000 | $149,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 40,668 | $137,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 11,000 | $113,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 12,100 | $104,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 86,048 | $93,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 26,700 | $88,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 26,056 | $79,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 12,400 | $65,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 22,080 | $64,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 20,000 | $58,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 245,500 | $44,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 23,050 | $32,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 25,000 | $7,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 10,000 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004553 | this filing | 2016-10-24 | acceptance time not in the bulk data set |