0001085146-17-001004.txt : 20170420
0001085146-17-001004.hdr.sgml : 20170420
20170420101503
ACCESSION NUMBER: 0001085146-17-001004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170420
DATE AS OF CHANGE: 20170420
EFFECTIVENESS DATE: 20170420
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: 17771722
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
true
false
0001053994
XXXXXXXX
03-31-2017
03-31-2017
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
OSJ Supervisor
713 226-4808
/s/ David Block
Houston
TX
04-20-2017
2
187
316268
false
1
0001053994
028-12760
SANDERS MORRIS HARRIS INC.
2
0000756094
028-16804
MILLER GREEN FINANCIAL SERVICES INC /ADV
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
ABBOTT LABSCOM0028241002214970SHSOLE1004970ACUSHNET HOLDINGS CORPCOM00509810895055000SHSOLE10055000ADIENT PLCORD SHSG0084W101248534200SHSOLE10034200AEGEAN MARINE PETROLEUM NETWSHSY0017S1022265187953SHSOLE100187953AEMETIS INCCOM NEW00770K202142110192SHSOLE100110192AERCAP HOLDINGS NVSHSN0098510667214600SHSOLE10014600ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1024474150SHSOLE1004150ALLY FINL INCCOM02005N100185691312SHSOLE10091312ALTRIA GROUP INCCOM02209S103253935550SHSOLE10035550AMERICAN DG ENERGY INCCOM025398108825000SHSOLE10025000AMERICAN EXPRESS COCOM02581610913170SHOTR100170AMERICAN EXPRESS COCOM0258161092373000SHSOLE1003000APPLE INCCOM0378331006964850SHSOLE2004850APPLE INCCOM037833100182312690SHSOLE10012690APPROACH RESOURCES INCCOM03834A1036827112SHSOLE10027112ARCBEST CORPCOM03937C105153859135SHSOLE10059135ARGOS THERAPEUTICS INCCOM04022110366145212SHSOLE100145212ASCENA RETAIL GROUP INCCOM04351G1011208283488SHSOLE100283488ASTRAZENECA PLCSPONSORED ADR0463531082809000SHSOLE1009000AT&T INCCOM00206R102167240238SHSOLE10040238ATLAS AIR WORLDWIDE HLDGS INCOM NEW049164205261947238SHSOLE10047238AUTONATION INCCOM05329W1022115000SHSOLE1005000AVNET INCCOM0538071034389570SHSOLE1009570BANK AMER CORPCOM06050510449220850SHSOLE10020850BARNES & NOBLE INCCOM06777410925827945SHSOLE10027945BARRICK GOLD CORPCOM0679011082773146000SHSOLE100146000BLACKROCK CORE BD TRSHS BEN INT09249E10131623705SHSOLE10023705BLACKSTONE GROUP L PCOM UNIT LTD09253U1087795262400SHSOLE100262400BLACKSTONE GROUP L PCOM UNIT LTD09253U108126942700SHSOLE20042700BRISTOL MYERS SQUIBB COCOM1101221083606610SHSOLE1006610BUCKEYE PARTNERS L PUNIT LTD PARTN1182301014116000SHSOLE1006000BURLINGTON STORES INCCOM1220171064865000SHSOLE1005000CANADIAN PAC RY LTDCOM13645T1004413000SHSOLE1003000CAPITAL PRODUCT PARTNERS L PCOM UNIT LPY110821079526700SHSOLE10026700CHEVRON CORP NEWCOM1667641004073795SHSOLE1003795CHICAGO BRIDGE & IRON CO N VCOM167250109214769823SHSOLE10069823CINEMARK HOLDINGS INCCOM17243V1024179400SHSOLE1009400CNA FINL CORPCOM126117100143632519SHSOLE10032519COCA COLA COCOM1912161003959316SHSOLE1009316CONCHO RES INCCOM20605P1018546656SHSOLE1006656CONTAINER STORE GROUP INCCOM21075110320548500SHSOLE10048500CULLEN FROST BANKERS INCCOM229899109130014616SHSOLE10014616CVS HEALTH CORPCOM12665010011135SHOTR100135CVS HEALTH CORPCOM126650100104913360SHSOLE10013360DAVE & BUSTERS ENTMT INCCOM238337109424669500SHSOLE10069500DESTINATION MATERNITY CORPCOM25065D100751176332SHSOLE100176332DISNEY WALT COCOM DISNEY2546871063282896SHSOLE1002896DNP SELECT INCOME FDCOM23325P10411911000SHSOLE10011000DOW CHEM COCOM26054310372111352SHSOLE10011352EARTHSTONE ENERGY INCCOM NEW27032D20531925000SHSOLE10025000ECLIPSE RES CORPCOM27890G100131335170705SHSOLE1005170705ENERGY TRANSFER EQUITY L PCOM UT LTD PTN29273V100159080550SHSOLE10080550ENERGY TRANSFER PRTNRS L PUNIT LTD PARTN29273R10972919967SHSOLE10019967ENTERPRISE PRODS PARTNERS LCOM29379210721122765033SHSOLE100765033ENTERPRISE PRODS PARTNERS LCOM2937921071886794SHSOLE2006794EQUIFAX INCCOM2944291052872100SHSOLE1002100EXCO RESOURCES INCCOM269279402186300000SHSOLE100300000EXCO RESOURCES INCCOM26927940223975SHSOLE2003975EXXON MOBIL CORPCOM30231G102226427607SHSOLE10027607EXXON MOBIL CORPCOM30231G10214548177390SHSOLE200177390EXXON MOBIL CORPCOM30231G10214170SHOTR100170EZCORP INCCL A NON VTG3023011061803221200SHSOLE100221200FENIX PTS INCCOM31446L100214138350SHSOLE100138350FIAT CHRYSLER AUTOMOBILES NSHSN317381022287208639SHSOLE100208639FLEX LTDORDY2573F1022349139825SHSOLE100139825FORTUNE BRANDS HOME & SEC INCOM34964C1066225102300SHSOLE100102300GAMESTOP CORP NEWCL A36467W109183481344SHSOLE10081344GENERAL CABLE CORP DEL NEWCOM369300108171195300SHSOLE10095300GENERAL ELECTRIC COCOM36960410348616332SHSOLE10016332GENERAL MTRS COCOM37045V100166146990SHSOLE10046990GENESIS ENERGY L PUNIT LTD PARTN371927104158949000SHSOLE10049000GLOBAL PARTNERS LPCOM UNITS37946R10985743950SHSOLE10043950GOODYEAR TIRE & RUBR COCOM382550101265373681SHSOLE10073681GOPRO INCCL A38268T10366075800SHSOLE10075800GRAN TIERRA ENERGY INCCOM38500T1012425918695SHSOLE100918695GROUP 1 AUTOMOTIVE INCCOM398905109170122963SHSOLE10022963GRUPO TELEVISA SASPON ADR REP ORD40049J20637614500SHSOLE10014500HALCON RES CORPCOM PAR NEW40537Q60515920655SHSOLE10020655HALLADOR ENERGY COMPANYCOM40609P10519524318SHSOLE10024318HOLLY ENERGY PARTNERS L PCOM UT LTD PTN43576310752214612SHSOLE10014612HOME DEPOT INCCOM4370761027545135SHSOLE1005135HUNTSMAN CORPCOM4470111073021123117SHSOLE100123117ICAHN ENTERPRISES LPDEPOSITARY UNIT45110010196818900SHSOLE20018900ICAHN ENTERPRISES LPDEPOSITARY UNIT451100101291856936SHSOLE10056936INSIGHT SELECT INCOME FDCOM45781W10937819734SHSOLE10019734INTERNATIONAL BUSINESS MACHSCOM4592001013191830SHSOLE1001830INTREXON CORPCOM46122T102185793690SHSOLE10093690ISHARES TRMSCI EAFE ETF4642874652764433SHSOLE1004433ISHARES TRNASDQ BIOTEC ETF4642875563231100SHSOLE1001100ISHARES TRRUS MID CAP ETF4642874995092717SHSOLE1002717ISHARES TRRUS MID CAP ETF464287499265414175SHSOLE20014175ISHARES TRRUSSELL 2000 ETF464287655179213035SHSOLE20013035ISHARES TRRUSSELL 2000 ETF4642876553392469SHSOLE1002469JABIL CIRCUIT INCCOM466313103119141174SHSOLE10041174JOHNSON & JOHNSONCOM47816010413105SHOTR100105JOHNSON & JOHNSONCOM4781601049777845SHSOLE1007845JOINT CORPCOM47973J102109522607807SHSOLE1002607807JPMORGAN CHASE & COCOM46625H100113712946SHSOLE10012946KEYCORP NEWCOM4932671085281297000SHSOLE100297000KINDER MORGAN INC DELCOM49456B10199045558SHSOLE10045558KINDER MORGAN INC DELCOM49456B10116750SHSOLE200750KROGER COCOM5010441012087050SHSOLE1007050LANDMARK INFRASTRUCTURE LPCOM UNIT LTD51508J10845830680SHSOLE10030680LAS VEGAS SANDS CORPCOM51783410764611325SHSOLE10011325LILLY ELI & COCOM5324571087979484SHSOLE1009484MACYS INCCOM55616P1042317800SHSOLE1007800MAIN STREET CAPITAL CORPCOM56035L10430839805822SHSOLE100805822MARATHON OIL CORPCOM56584910619012000SHSOLE10012000MCDONALDS CORPCOM5801351012722100SHSOLE1002100MEDICAL PPTYS TRUST INCCOM58463J30415512000SHSOLE10012000MEMORIAL PRODTN PARTNERS LPCOM U REP LTD586048100970500SHSOLE10070500MERCK & CO INCCOM58933Y1052694225SHSOLE1004225MERITOR INCCOM59001K1003722217287SHSOLE100217287MICROSOFT CORPCOM59491810412180SHOTR100180MICROSOFT CORPCOM5949181042123220SHSOLE1003220MID CON ENERGY PARTNERS LPCOM UNIT REPST59560V1093514720SHSOLE10014720NATURAL RESOURCE PARTNERS LCOM UNIT LTD PAR63900P608238665992SHSOLE10065992NAVIOS MARITIME PARTNERS L PUNIT LPIY62267102585282650SHSOLE100282650NAVISTAR INTL CORP NEWCOM63934E108199981181SHSOLE10081181NIKE INCCL B6541061032734900SHSOLE1004900OMEGA HEALTHCARE INVS INCCOM6819361002387200SHSOLE1007200ONCOSEC MED INCCOM NEW68234L2073225000SHSOLE10025000ONEOK PARTNERS LPUNIT LTD PARTN68268N10372413400SHSOLE10013400PARKER DRILLING COCOM701081101989564993SHSOLE100564993PBF ENERGY INCCL A69318G106200190268SHSOLE10090268PEDEVCO CORPCOM NEW70532Y20421225500SHSOLE100225500PERRIGO CO PLCSHSG97822103325349000SHSOLE10049000PFENEX INCCOM7170711042408414520SHSOLE100414520PFIZER INCCOM71708110336210591SHSOLE10010591PHILIP MORRIS INTL INCCOM7181721096675905SHSOLE1005905PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310574423545SHSOLE10023545POWERSHARES QQQ TRUSTUNIT SER 173935A104195614784SHSOLE10014784POWERSHARES QQQ TRUSTUNIT SER 173935A104553441795SHSOLE20041795PRAXAIR INCCOM74005P1043803200SHSOLE1003200PROCTER AND GAMBLE COCOM742718109995SHOTR10095PROCTER AND GAMBLE COCOM7427181095075649SHSOLE1005649PROSHARES TRULTRA FNCLS NEW74347X6336346520SHSOLE1006520RAYMOND JAMES FINANCIAL INCCOM7547301093054000SHSOLE1004000RCI HOSPITALITY HLDGS INCCOM74934Q108155990000SHSOLE10090000READING INTERNATIONAL INCCL A7554081013297212128SHSOLE100212128RENEWABLE ENERGY GROUP INCCOM NEW75972A3011752167662SHSOLE100167662REYNOLDS AMERICAN INCCOM7617131063505556SHSOLE1005556RINGCENTRAL INCCL A76680R2064876172327SHSOLE100172327ROADRUNNER TRNSN SVCS HLDG ICOM76973Q10520229417SHSOLE10029417ROSS STORES INCCOM7782961036139300SHSOLE1009300RYERSON HLDG CORPCOM7837541042021160435SHSOLE100160435SANCHEZ ENERGY CORPCOM79970Y1053110326000SHSOLE100326000SANDRIDGE MISSISSIPPIAN TR ISH BEN INT80007V1063927050SHSOLE10027050SCHLUMBERGER LTDCOM8068571082863662SHSOLE1003662SILVER RUN ACQUISITIONUNIT 99/99/999982812A2024145397500SHSOLE100397500SKYWEST INCCOM8308791024044118070SHSOLE100118070SONIC AUTOMOTIVE INCCL A83545G102149174360SHSOLE10074360SOUTHERN COCOM8425871072014050SHSOLE1004050SPDR S&P 500 ETF TRTR UNIT78462F1035252226SHSOLE1002226SPDR S&P 500 ETF TRTR UNIT78462F1036962950SHSOLE2002950SPDR SERIES TRUSTS&P OILGAS EXP78464A73041211000SHSOLE10011000STEEL DYNAMICS INCCOM85811910034810000SHSOLE10010000STELLUS CAP INVT CORPCOM85856810819713537SHSOLE10013537TARGA RES CORPCOM87612G10177212881SHSOLE10012881TELIGENT INC NEWCOM87960W104130331668833SHSOLE1001668833THERAPEUTICSMD INCCOM88338N1073482483600SHSOLE100483600TITAN MACHY INCCOM88830R10166143079SHSOLE10043079TOWER INTL INCCOM891826109188369486SHSOLE10069486TPI COMPOSITES INCCOM87266J10477941000SHSOLE10041000TRINSEO S ASHSL9340P101390258152SHSOLE10058152TRIUMPH GROUP INC NEWCOM896818101156160610SHSOLE10060610TUTOR PERINI CORPCOM901109108275686670SHSOLE10086670TWILIO INCCL A90138F102216575000SHSOLE10075000UNISYS CORPCOM NEW9092143062229159762SHSOLE100159762UNITEDHEALTH GROUP INCCOM91324P1022621600SHSOLE1001600VANGUARD INDEX FDSGROWTH ETF9229087362071704SHSOLE1001704VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7142272262SHSOLE1002262VEEVA SYS INCCL A COM922475108417981500SHSOLE10081500VERIZON COMMUNICATIONS INCCOM92343V1043396950SHSOLE1006950VERIZON COMMUNICATIONS INCCOM92343V10411220SHOTR100220VISA INCCOM CL A92826C8392312600SHSOLE1002600VOYA PRIME RATE TRSH BEN INT92913A1006712400SHSOLE10012400WAGEWORKS INCCOM93042710972310000SHSOLE10010000WAL-MART STORES INCCOM93114210315215SHOTR100215WAL-MART STORES INCCOM9311421032163000SHSOLE1003000WASTE MGMT INC DELCOM94106L109123616952SHSOLE10016952WEBMD HEALTH CORPCOM94770V1022114000SHSOLE1004000WELLS FARGO & CO NEWCOM94974610112220SHOTR100220WELLS FARGO & CO NEWCOM9497461012073714SHSOLE1003714YUMA ENERGY INC NEWCOM98872F1051207515955SHSOLE100515955ZOETIS INCCL A98978V1037122133450SHSOLE100133450ZYNGA INCCL A98986T1085720000SHSOLE10020000