0001085146-16-004553.txt : 20161024 0001085146-16-004553.hdr.sgml : 20161024 20161024163351 ACCESSION NUMBER: 0001085146-16-004553 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161024 DATE AS OF CHANGE: 20161024 EFFECTIVENESS DATE: 20161024 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDERS MORRIS HARRIS INC. CENTRAL INDEX KEY: 0001053994 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12760 FILM NUMBER: 161948331 BUSINESS ADDRESS: STREET 1: 3100 CHASE TOWER CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7132243100 MAIL ADDRESS: STREET 1: 600 TRAVIS, SUITE 5900 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: SMH CAPITAL INC. DATE OF NAME CHANGE: 20080311 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC/FA DATE OF NAME CHANGE: 20000208 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS MUNDY INC /FA DATE OF NAME CHANGE: 19980129 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001053994 XXXXXXXX 09-30-2016 09-30-2016 SANDERS MORRIS HARRIS INC.

600 TRAVIS, SUITE 5900 HOUSTON TX 77002

13F COMBINATION REPORT 028-12760 0001427263 028-13054 GFS Advisors, LLC 0001434689 028-13075 Leonetti & Associates, LLC Y SANDERS MORRIS HARRIS INC FORMERLY SUBMITTED A 13F-NT REPORT ASSOCIATED WITH THE 13F-HR REPORT OF PINNACLE SUMMER INVESTMENTS, INC. - FILE NUMBER 028-13429 David Block 713 226-4808 /s/ David Block Houston TX 10-21-2016 3 210 329743 false 1 0001053994 028-12760 SANDERS MORRIS HARRIS INC. 2 0001180391 028-10258 SMH CAPITAL ADVISORS INC 3 0000756094 028-16804 MILLER GREEN FINANCIAL SERVICES INC /ADV INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE AEMETIS INCCOM NEW00770K2029386048SHSOLE10086048AERCAP HOLDINGS NVSHSN00985106192950100SHSOLE10050100ALPS ETF TRALERIAN MLP00162Q86633526427SHSOLE10026427ALPS ETF TRALERIAN MLP00162Q866322500SHSOLE3002500ALTRIA GROUP INCCOM02209S103223435331SHSOLE10035331AMERICAN CAP LTDCOM02503y103132678SHOTR20078AMERICAN DG ENERGY INCCOM025398108725000SHSOLE10025000AMERICAN EXPRESS COCOM02581610912195SHOTR100195AMERICAN EXPRESS COCOM0258161091923000SHSOLE1003000APOLLO COML REAL EST FIN INCNOTE 5.500% 3/103762UAA355000PRNOTR1005000APOLLO COML REAL EST FIN INCNOTE 5.500% 3/103762UAA328562790PRNOTR2002790APOLLO GLOBAL MGMT LLCCL A SHS037612306136776SHOTR20076APOLLO INVT CORPCOM03761U106749129SHOTR200129APPLE INCCOM0378331009248160SHSOLE3008160APPLE INCCOM037833100500SHOTR2000APPLE INCCOM037833100144112740SHSOLE10012740APPROACH RESOURCES INCCOM03834A10313740668SHSOLE10040668ARGOS THERAPEUTICS INCCOM0402211031201241512SHSOLE100241512ASTRAZENECA PLCSPONSORED ADR0463531082969000SHSOLE1009000AT&T INCCOM00206R102157238700SHSOLE10038700AUTONATION INCCOM05329W1022445000SHSOLE1005000AVNET INCCOM0538071033939570SHSOLE1009570BANK AMER CORPCOM0605051046710428777SHSOLE100428777BARNES & NOBLE INCCOM06777410931627945SHSOLE10027945BLACKROCK CORE BD TRSHS BEN INT09249E10133723705SHSOLE10023705BLACKSTONE GROUP L PCOM UNIT LTD09253u10865926SHOTR20026BLACKSTONE GROUP L PCOM UNIT LTD09253U10899939100SHSOLE30039100BLACKSTONE GROUP L PCOM UNIT LTD09253U1082671104610SHSOLE100104610BRISTOL MYERS SQUIBB COCOM11012210858510850SHSOLE10010850BUCKEYE PARTNERS L PUNIT LTD PARTN1182301014306000SHSOLE1006000CANADIAN PAC RY LTDCOM13645T1004583000SHSOLE1003000CAPITAL PRODUCT PARTNERS L PCOM UNIT LPY110821078826700SHSOLE10026700CATERPILLAR INC DELCOM149123101210SHOTR2000CATERPILLAR INC DELCOM1491231012022280SHSOLE1002280CATERPILLAR INC DELCOM149123101670SHSOLE30070CHEVRON CORP NEWCOM1667641002062000SHSOLE3002000CHEVRON CORP NEWCOM166764100985SHOTR10085CHEVRON CORP NEWCOM166764100180SHOTR2000CHEVRON CORP NEWCOM1667641003913795SHSOLE1003795CINCINNATI FINL CORPCOM1720621012413198SHSOLE1003198CINEMARK HOLDINGS INCCOM17243V1023852100600SHSOLE100100600CLIFFS NAT RES INCCOM18683K10157999000SHSOLE10099000CLIFFS NAT RES INCCOM18683K101234000SHSOLE3004000COCA COLA COCOM1912161004099661SHSOLE1009661COLONY CAP INCNOTE 5.000% 4/119624RAA499000PRNOTR1009000COLONY CAP INCNOTE 5.000% 4/119624RAA442874319PRNOTR2004319CONCHO RES INCCOM20605P10113689960SHSOLE1009960CONOCOPHILLIPSCOM20825C1041002300SHSOLE1002300CONOCOPHILLIPSCOM20825C1041303000SHSOLE3003000CONTAINER STORE GROUP INCCOM21075110324348500SHSOLE10048500CULLEN FROST BANKERS INCCOM229899109103814435SHSOLE10014435CUTWATER SELECT INCOME FDCOM23222910440019734SHSOLE10019734CVS HEALTH CORPCOM126650100101311383SHSOLE10011383DEUTSCHE BANK AGNAMEN AKTD1819089832725000SHSOLE10025000DNP SELECT INCOME FDCOM23325P10411311000SHSOLE10011000DOUBLELINE INCOME SOLUTIONSCOM25862210921111000SHSOLE10011000DOW CHEM COCOM26054310374414352SHSOLE10014352EARTHSTONE ENERGY INCCOM NEW27032D20510412100SHSOLE10012100EATON CORP PLCSHSG29183103267640707SHSOLE10040707ECLIPSE RES CORPCOM27890G100127563877095SHSOLE1003877095EDWARDS LIFESCIENCES CORPCOM28176E1082051700SHSOLE1001700ENERGY TRANSFER PRTNRS L PUNIT LTD PARTN29273R10973119767SHSOLE10019767ENLINK MIDSTREAM LLCCOM UNIT REP LTD29336T10019011334SHSOLE10011334ENTERPRISE PRODS PARTNERS LCOM293792107501794SHSOLE3001794ENTERPRISE PRODS PARTNERS LCOM29379210716118583340SHSOLE100583340ENVESTNET INCNOTE 1.750%12/129404KAA426762802PRNOTR2002802EQUIFAX INCCOM2944291052832100SHSOLE1002100EQUITY COMWLTHCOM SH BEN INT294628102102634SHOTR20034EXCO RESOURCES INCCOM269279402321300000SHSOLE100300000EXCO RESOURCES INCCOM26927940243975SHSOLE3003975EXXON MOBIL CORPCOM30231G10215170SHOTR100170EXXON MOBIL CORPCOM30231G102180SHOTR2000EXXON MOBIL CORPCOM30231G102186421360SHSOLE10021360EXXON MOBIL CORPCOM30231G10216268186388SHSOLE300186388EZCORP INCCL A NON VTG3023011061387125SHOTR200125EZCORP INCCL A NON VTG3023011062557231200SHSOLE100231200EZCORP INCNOTE 2.625% 6/1302301AB281078336PRNOTR2008336EZCORP INCNOTE 2.625% 6/1302301AB244000PRNOTR1004000FENIX PTS INCCOM31446L10019950250SHSOLE10050250FIFTH STREET FINANCE CORPCOM31678A103663114SHOTR200114FIRST TR EXCH TRD ALPHA FD IEUROPE ALPHA33737J11747416079SHSOLE30016079FIRST TR EXCHANGE TRADED FDDJ INTERNT IDX33733E3024395379SHSOLE3005379FIRST TR EXCHANGE TRADED FDDORSEY WRT 5 ETF33738R60536916129SHSOLE30016129FLUIDIGM CORP DELNOTE 2.750% 2/034385PAA62440000PRNOTR10040000FLUIDIGM CORP DELNOTE 2.750% 2/034385PAA6675711122PRNOTR20011122FOOT LOCKER INCCOM3448491042714000SHSOLE1004000FREEPORT-MCMORAN INCCL B35671D85766361025SHSOLE10061025GENERAL ELECTRIC COCOM36960410349716769SHSOLE10016769GENERAL ELECTRIC COCOM36960410324800SHSOLE300800GENERAL MTRS COCOM37045V1006103192090SHSOLE100192090GENESIS ENERGY L PUNIT LTD PARTN371927104193751000SHSOLE10051000GLOBAL PARTNERS LPCOM UNITS37946R10971844450SHSOLE10044450GOPRO INCCL A38268T10384750800SHSOLE10050800GRAN TIERRA ENERGY INCCOM38500T1012827939245SHSOLE100939245GRUPO TELEVISA SASPON ADR REP ORD40049J20641116000SHSOLE10016000HOLLY ENERGY PARTNERS L PCOM UT LTD PTN43576310749614612SHSOLE10014612HOME DEPOT INCCOM4370761026354935SHSOLE1004935ICAHN ENTERPRISES LPDEPOSITARY UNIT451100101275554487SHSOLE10054487ICAHN ENTERPRISES LPDEPOSITARY UNIT45110010192518300SHSOLE30018300IGNITE RESTAURANT GROUP INCCOM451730105149225000SHSOLE100225000INTERNATIONAL BUSINESS MACHSCOM459200101180SHOTR2000INTERNATIONAL BUSINESS MACHSCOM4592001013702330SHSOLE1002330INTREXON CORPCOM46122T102263293940SHSOLE10093940ISHARES TR7-10 Y TR BD ETF4642874403983559SHSOLE3003559ISHARES TRCORE US AGGBD ET4642872263883439SHSOLE3003439ISHARES TRCORE US AGGBD ET4642872264394SHOTR2004ISHARES TRMRG RL ES CP ETF46428853995691SHOTR20091ISHARES TRMSCI EAFE ETF4642874652634433SHSOLE1004433ISHARES TRNASDQ BIOTEC ETF4642875565211800SHSOLE1001800ISHARES TRRUS MID-CAP ETF46428749961350SHSOLE100350ISHARES TRRUS MID-CAP ETF464287499239713747SHSOLE30013747ISHARES TRRUSSELL 2000 ETF46428765536294SHSOLE100294ISHARES TRRUSSELL 2000 ETF464287655179114413SHSOLE30014413JOHNSON & JOHNSONCOM47816010412105SHOTR100105JOHNSON & JOHNSONCOM4781601048797436SHSOLE1007436JOINT CORPCOM47973J10251632169181SHSOLE1002169181JPMORGAN CHASE & COCOM46625H100841250SHSOLE3001250JPMORGAN CHASE & COCOM46625H10078411773SHSOLE10011773KATE SPADE & COCOM485865109109664000SHSOLE10064000KINDER MORGAN INC DELCOM49456B1011265450SHSOLE3005450KINDER MORGAN INC DELCOM49456B1012699116711SHSOLE100116711KKR & CO L P DELCOM UNITS48248m10274552SHOTR20052KRAFT HEINZ COCOM5007541063393783SHSOLE1003783LANDMARK INFRASTRUCTURE LPCOM UNIT LTD51508J10853930680SHSOLE10030680LAS VEGAS SANDS CORPCOM51783410788115300SHSOLE10015300LILLY ELI & COCOM5324571087689567SHSOLE1009567MAIN STREET CAPITAL CORPCOM56035L104598981744766SHSOLE1001744766MARATHON OIL CORPCOM56584910619012000SHSOLE10012000MCDONALDS CORPCOM5801351012422100SHSOLE1002100MEDICAL PPTYS TRUST INCCOM58463J30417812000SHSOLE10012000MEMORIAL PRODTN PARTNERS LPCOM U REP LTD58604810077004325557SHSOLE1004325557MICRON TECHNOLOGY INCCOM5951121032881162000SHSOLE100162000MID CON ENERGY PARTNERS LPCOM UNIT REPST59560V1096422080SHSOLE10022080MONDELEZ INTL INCCL A6092071052906607SHSOLE1006607NATURAL RESOURCE PARTNERS LCOM UNIT LTD PAR63900P608192268889SHSOLE10068889NAVIOS MARITIME PARTNERS L PUNIT LPIY62267102190136650SHSOLE100136650NIKE INCCL B6541061032114000SHSOLE1004000NORTH ATLANTIC DRILLING LTDCOMG6613P1297926056SHSOLE10026056NUVEEN AMT FREE QLTY MUN INCCOM67065710521615SHOTR20015NUVEEN ENHANCED AMT FREE MUNCOM67071L10619112SHOTR20012NUVEEN ENHANCED AMT FREE MUNCOM67071L106191198SHSOLE1001198OAKTREE CAP GROUP LLCUNIT CL A67400120169116300SHSOLE30016300OAKTREE CAP GROUP LLCUNIT CL A67400120188521SHOTR20021OAKTREE CAP GROUP LLCUNIT CL A674001201119528200SHSOLE10028200OASIS PETE INC NEWCOM67421510822920000SHSOLE10020000ONEOK PARTNERS LPUNIT LTD PARTN68268N10353513400SHSOLE10013400PDL BIOPHARMA INCNOTE 4.000% 2/069329YAF16264000PRNOTR10064000PDL BIOPHARMA INCNOTE 4.000% 2/069329YAF11487315452PRNOTR20015452PEDEVCO CORPCOM NEW70532Y20444245500SHSOLE100245500PERNIX THERAPEUTICS HLDGS INCOM71426V108610000SHSOLE10010000PERRIGO CO PLCSHSG97822103350938000SHSOLE10038000PFENEX INCCOM7170711043335372628SHSOLE100372628PFIZER INCCOM71708110336510791SHSOLE10010791PFIZER INCCOM71708110320600SHSOLE300600PHILIP MORRIS INTL INCCOM7181721095745905SHSOLE1005905PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310578424985SHSOLE10024985POTASH CORP SASK INCCOM73755L10724515000SHSOLE10015000POWERSHARES QQQ TRUSTUNIT SER 173935A104384232354SHSOLE30032354POWERSHARES QQQ TRUSTUNIT SER 173935A1041191000SHSOLE1001000PRAXAIR INCCOM74005P1043873200SHSOLE1003200PROCTER AND GAMBLE COCOM74271810911125SHOTR100125PROCTER AND GAMBLE COCOM7427181097378211SHSOLE1008211PROSPECT CAPITAL CORPORATIONCOM74348T1021099136SHOTR200136PROSPECT CAPITAL CORPORATIONCOM74348T10281000SHSOLE1001000PROSPECT CAPITAL CORPORATIONNOTE 5.375%10/174348TAK822000PRNOTR1002000PROSPECT CAPITAL CORPORATIONNOTE 5.375%10/174348TAK854105304PRNOTR2005304READING INTERNATIONAL INCCL A755408101131798621SHSOLE10098621REYNOLDS AMERICAN INCCOM7617131062836016SHSOLE1006016ROSS STORES INCCOM7782961034186500SHSOLE1006500SANCHEZ ENERGY CORPCOM79970Y1052663301300SHSOLE100301300SANDRIDGE MISSISSIPPIAN TR ISH BEN INT80007V1063223050SHSOLE10023050SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4074926136SHSOLE3006136SELECT SECTOR SPDR TRSBI CONS STPLS81369Y30859511208SHSOLE30011208SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2096208598SHSOLE3008598SELECT SECTOR SPDR TRTECHNOLOGY81369Y8034088536SHSOLE3008536SOLAR CAP LTDCOM83413U100117157SHOTR20057SPDR S&P 500 ETF TRTR UNIT78462F1034052SHOTR2002SPDR S&P 500 ETF TRTR UNIT78462F1034562107SHSOLE1002107SPDR S&P 500 ETF TRTR UNIT78462F103272312593SHSOLE30012593SPDR SERIES TRUSTS&P OILGAS EXP78464a730100SHOTR2000SPDR SERIES TRUSTS&P OILGAS EXP78464A73042311000SHSOLE10011000TARGA RES CORPCOM87612G10169314121SHSOLE10014121TELIGENT INC NEWCOM87960W104137581810279SHSOLE1001810279THERAPEUTICSMD INCCOM88338N1073446506100SHSOLE100506100TOTAL S ASPONSORED ADR89151E1093176654SHSOLE3006654TRANSUNIONCOM89400J1076238180800SHSOLE100180800TYLER TECHNOLOGIES INCCOM9022521054282500SHSOLE1002500UNITEDHEALTH GROUP INCCOM91324P1022241600SHSOLE1001600VANGUARD BD INDEX FD INCINTERMED TERM9219378193864394SHSOLE3004394VANGUARD BD INDEX FD INCSHORT TRM BOND9219378273424251SHSOLE3004251VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378352022SHOTR2002VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378351692009SHSOLE1002009VANGUARD INDEX FDSREIT ETF92290855385985SHSOLE100985VANGUARD INDEX FDSREIT ETF9229085533554087SHSOLE3004087VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285841111SHOTR20011VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7142092262SHSOLE1002262VERIZON COMMUNICATIONS INCCOM92343V1042655080SHSOLE1005080VERIZON COMMUNICATIONS INCCOM92343V1048155SHOTR100155VERIZON COMMUNICATIONS INCCOM92343V104170SHOTR2000VOYA PRIME RATE TRSH BEN INT92913A1006512400SHSOLE10012400WAL-MART STORES INCCOM93114210318250SHOTR100250WAL-MART STORES INCCOM931142103180SHOTR2000WAL-MART STORES INCCOM9311421031812504SHSOLE1002504WASTE MGMT INC DELCOM94106L109108116952SHSOLE10016952WELLS FARGO & CO NEWCOM94974610112260SHOTR100260WELLS FARGO & CO NEWCOM94974610180SHOTR2000WELLS FARGO & CO NEWCOM9497461012084714SHSOLE1004714YUMA ENERGY INCCOM98872E108269410776557SHSOLE10010776557ZOETIS INCCL A98978V1036077116850SHSOLE100116850ZYNGA INCCL A98986T1085820000SHSOLE10020000