0001085146-18-000905.txt : 20180215
0001085146-18-000905.hdr.sgml : 20180215
20180215145733
ACCESSION NUMBER: 0001085146-18-000905
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180215
DATE AS OF CHANGE: 20180215
EFFECTIVENESS DATE: 20180215
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SANDERS MORRIS HARRIS LLC
CENTRAL INDEX KEY: 0001053994
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12760
FILM NUMBER: 18617392
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: SANDERS MORRIS HARRIS INC.
DATE OF NAME CHANGE: 20110404
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
13F-HR
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SANDERS MORRIS HARRIS LLC
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 LLC 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
01-10-2018
1
132
236687
1
0000756094
028-16804
MILLER GREEN FINANCIAL SERVICES INC /ADV
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
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COM
002824100
282
4926
SH
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4926
ACUSHNET HOLDINGS CORP
COM
005098108
1159
55000
SH
SOLE
1
0
0
55000
AEMETIS INC
COM NEW
00770K202
42
76757
SH
SOLE
1
0
0
76757
ALTRIA GROUP INC
COM
02209S103
2481
34750
SH
SOLE
1
0
0
34750
AMERICAN EXPRESS CO
COM
025816109
315
3170
SH
SOLE
1
0
0
3170
ANTERO RES CORP
COM
03674X106
3626
190836
SH
SOLE
1
0
0
190836
APPLE INC
COM
037833100
3060
18090
SH
SOLE
1
0
0
18090
APPROACH RESOURCES INC
COM
03834A103
80
27112
SH
SOLE
1
0
0
27112
ARGOS THERAPEUTICS INC
COM
040221103
24
161212
SH
SOLE
1
0
0
161212
ASTRAZENECA PLC
SPONSORED ADR
046353108
312
9000
SH
SOLE
1
0
0
9000
AT&T INC
COM
00206R102
1457
37463
SH
SOLE
1
0
0
37463
AUTODESK INC
COM
052769106
891
8500
SH
SOLE
1
0
0
8500
AUTONATION INC
COM
05329W102
257
5000
SH
SOLE
1
0
0
5000
AVNET INC
COM
053807103
379
9570
SH
SOLE
1
0
0
9570
BANK AMER CORP
COM
060505104
336
11380
SH
SOLE
1
0
0
11380
BARRICK GOLD CORP
COM
067901108
3054
211000
SH
SOLE
1
0
0
211000
BLACKROCK CORE BD TR
SHS BEN INT
09249E101
575
40955
SH
SOLE
1
0
0
40955
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
7115
222245
SH
SOLE
1
0
0
222245
BRISTOL MYERS SQUIBB CO
COM
110122108
901
14710
SH
SOLE
1
0
0
14710
BRITISH AMERN TOB PLC
SPONSORED ADR
110448107
230
3441
SH
SOLE
1
0
0
3441
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
297
6000
SH
SOLE
1
0
0
6000
BURLINGTON STORES INC
COM
122017106
308
2500
SH
SOLE
1
0
0
2500
CANADIAN PAC RY LTD
COM
13645T100
548
3000
SH
SOLE
1
0
0
3000
CAPITAL PRODUCT PARTNERS L P
COM UNIT LP
Y11082107
201
59895
SH
SOLE
1
0
0
59895
CATERPILLAR INC DEL
COM
149123101
331
2100
SH
SOLE
1
0
0
2100
CBL & ASSOC PPTYS INC
COM
124830100
102
18000
SH
SOLE
1
0
0
18000
CENTERPOINT ENERGY INC
COM
15189T107
7330
258450
SH
SOLE
1
0
0
258450
CHEVRON CORP NEW
COM
166764100
462
3695
SH
SOLE
1
0
0
3695
CINEMARK HOLDINGS INC
COM
17243V102
327
9400
SH
SOLE
1
0
0
9400
COCA COLA CO
COM
191216100
377
8216
SH
SOLE
1
0
0
8216
CONCHO RES INC
COM
20605P101
1150
7656
SH
SOLE
1
0
0
7656
CONTAINER STORE GROUP INC
COM
210751103
241
50800
SH
SOLE
1
0
0
50800
CRITEO S A
SPONS ADS
226718104
1432
55000
SH
SOLE
1
0
0
55000
CVS HEALTH CORP
COM
126650100
581
8015
SH
SOLE
1
0
0
8015
DISNEY WALT CO
COM DISNEY
254687106
227
2111
SH
SOLE
1
0
0
2111
DNP SELECT INCOME FD
COM
23325P104
119
11000
SH
SOLE
1
0
0
11000
DOWDUPONT INC
COM
26078J100
819
11493
SH
SOLE
1
0
0
11493
EARTHSTONE ENERGY INC
CL A
27032D304
7026
660993
SH
SOLE
1
0
0
660993
ECLIPSE RES CORP
COM
27890G100
12397
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SH
SOLE
1
0
0
5165487
EMERGE ENERGY SVCS LP
COM REP PARTN
29102H108
357
49600
SH
SOLE
1
0
0
49600
ENDO INTL PLC
SHS
G30401106
3729
481000
SH
SOLE
1
0
0
481000
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
677
39200
SH
SOLE
1
0
0
39200
ENERGY TRANSFER PARTNERS LP
UNIT LTD PRT INT
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560
31240
SH
SOLE
1
0
0
31240
ENTERPRISE PRODS PARTNERS L
COM
293792107
19651
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SH
SOLE
1
0
0
741268
EQUIFAX INC
COM
294429105
248
2100
SH
SOLE
1
0
0
2100
EXXON MOBIL CORP
COM
30231G102
15706
187788
SH
SOLE
1
0
0
187788
EZCORP INC
CL A NON VTG
302301106
2503
205115
SH
SOLE
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205115
FACEBOOK INC
CL A
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222
1260
SH
SOLE
1
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ORD
Y2573F102
2947
163805
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COM PAR $0.01
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12500
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SOLE
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12500
GENERAL ELECTRIC CO
COM
369604103
226
12958
SH
SOLE
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0
0
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GENERAL MLS INC
COM
370334104
225
3800
SH
SOLE
1
0
0
3800
GENERAL MTRS CO
COM
37045V100
322
7840
SH
SOLE
1
0
0
7840
GENESIS ENERGY L P
UNIT LTD PARTN
371927104
1267
56700
SH
SOLE
1
0
0
56700
GLOBAL PARTNERS LP
COM UNITS
37946R109
601
35950
SH
SOLE
1
0
0
35950
GRAN TIERRA ENERGY INC
COM
38500T101
726
268987
SH
SOLE
1
0
0
268987
GRUPO TELEVISA SA
SPON ADR REP ORD
40049J206
195
10500
SH
SOLE
1
0
0
10500
HALCON RES CORP
COM PAR NEW
40537Q605
80
10626
SH
SOLE
1
0
0
10626
HALLADOR ENERGY COMPANY
COM
40609P105
148
24318
SH
SOLE
1
0
0
24318
HEALTHEQUITY INC
COM
42226A107
2122
45500
SH
SOLE
1
0
0
45500
HI-CRUSH PARTNERS LP
COM UNIT LTD
428337109
578
54000
SH
SOLE
1
0
0
54000
HOLLY ENERGY PARTNERS L P
COM UT LTD PTN
435763107
475
14612
SH
SOLE
1
0
0
14612
HOME DEPOT INC
COM
437076102
911
4809
SH
SOLE
1
0
0
4809
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
4162
78510
SH
SOLE
1
0
0
78510
INSIGHT SELECT INCOME FD
COM
45781W109
393
19734
SH
SOLE
1
0
0
19734
INTERNATIONAL BUSINESS MACHS
COM
459200101
230
1500
SH
SOLE
1
0
0
1500
INTL PAPER CO
COM
460146103
214
3700
SH
SOLE
1
0
0
3700
INTREXON CORP
COM
46122T102
983
85300
SH
SOLE
1
0
0
85300
ISHARES TR
NASDAQ BIOTECH
464287556
352
3300
SH
SOLE
1
0
0
3300
ISHARES TR
RUS 1000 VAL ETF
464287598
200
1605
SH
SOLE
1
0
0
1605
JOHNSON & JOHNSON
COM
478160104
1087
7780
SH
SOLE
1
0
0
7780
JOINT CORP
COM
47973J102
12454
2511034
SH
SOLE
1
0
0
2511034
JPMORGAN CHASE & CO
COM
46625H100
1385
12946
SH
SOLE
1
0
0
12946
KEYCORP NEW
COM
493267108
11285
559500
SH
SOLE
1
0
0
559500
KINDER MORGAN INC DEL
COM
49456B101
972
53768
SH
SOLE
1
0
0
53768
LANDMARK INFRASTRUCTURE LP
COM UNIT LTD
51508J108
555
30680
SH
SOLE
1
0
0
30680
LAS VEGAS SANDS CORP
COM
517834107
545
7850
SH
SOLE
1
0
0
7850
LEUCADIA NATL CORP
COM
527288104
4129
155900
SH
SOLE
1
0
0
155900
LILLY ELI & CO
COM
532457108
719
8514
SH
SOLE
1
0
0
8514
MACYS INC
COM
55616P104
216
8600
SH
SOLE
1
0
0
8600
MAIN STREET CAPITAL CORP
COM
56035L104
22374
563170
SH
SOLE
1
0
0
563170
MARATHON OIL CORP
COM
565849106
542
32000
SH
SOLE
1
0
0
32000
MCDONALDS CORP
COM
580135101
361
2100
SH
SOLE
1
0
0
2100
MEDICAL PPTYS TRUST INC
COM
58463J304
166
12000
SH
SOLE
1
0
0
12000
MICROSOFT CORP
COM
594918104
310
3618
SH
SOLE
1
0
0
3618
MID CON ENERGY PARTNERS LP
COM UNIT REPST
59560V109
17
14720
SH
SOLE
1
0
0
14720
NATURAL RESOURCE PARTNERS L
COM UNIT LTD PAR
63900P608
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49254
SH
SOLE
1
0
0
49254
NAVIOS MARITIME PARTNERS L P
UNIT LPI
Y62267102
647
274150
SH
SOLE
1
0
0
274150
NEW AGE BEVERAGES CORP
COM
64157V108
65
30000
SH
SOLE
1
0
0
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NUVEEN SR INCOME FD
COM
67067Y104
70
10800
SH
SOLE
1
0
0
10800
ONEOK INC NEW
COM
682680103
759
14199
SH
SOLE
1
0
0
14199
PARKER DRILLING CO
COM
701081101
30
30100
SH
SOLE
1
0
0
30100
PEDEVCO CORP
COM PAR
70532Y303
4
15050
SH
SOLE
1
0
0
15050
PERRIGO CO PLC
SHS
G97822103
479
5500
SH
SOLE
1
0
0
5500
PFENEX INC
COM
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3600
1353604
SH
SOLE
1
0
0
1353604
PFIZER INC
COM
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283
7808
SH
SOLE
1
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0
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PHILIP MORRIS INTL INC
COM
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460
4350
SH
SOLE
1
0
0
4350
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
291
14145
SH
SOLE
1
0
0
14145
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
14964
96076
SH
SOLE
1
0
0
96076
PRAXAIR INC
COM
74005P104
495
3200
SH
SOLE
1
0
0
3200
PROCTER AND GAMBLE CO
COM
742718109
526
5723
SH
SOLE
1
0
0
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PROSHARES TR
ULTRA FNCLS NEW
74347X633
640
5000
SH
SOLE
1
0
0
5000
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
213
39790
SH
SOLE
1
0
0
39790
READING INTERNATIONAL INC
CL A
755408101
1682
100737
SH
SOLE
1
0
0
100737
RITE AID CORP
COM
767754104
49
25000
SH
SOLE
1
0
0
25000
ROSS STORES INC
COM
778296103
875
10900
SH
SOLE
1
0
0
10900
SANCHEZ ENERGY CORP
COM
79970Y105
2209
416000
SH
SOLE
1
0
0
416000
SANDRIDGE MISSISSIPPIAN TR I
SH BEN INT
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23
27050
SH
SOLE
1
0
0
27050
SCHLUMBERGER LTD
COM
806857108
308
4572
SH
SOLE
1
0
0
4572
SHOE CARNIVAL INC
COM
824889109
358
13400
SH
SOLE
1
0
0
13400
SIGMATRON INTL INC
COM
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304
30000
SH
SOLE
1
0
0
30000
SILVER RUN ACQUISITION
UNIT 99/99/9999
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740
70750
SH
SOLE
1
0
0
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SPARK ENERGY INC
CL A COM
846511103
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455302
SH
SOLE
1
0
0
455302
SPDR S&P 500 ETF TR
TR UNIT
78462F103
461
1726
SH
SOLE
1
0
0
1726
SPDR SERIES TRUST
S&P OILGAS EXP
78464A730
558
15000
SH
SOLE
1
0
0
15000
STARBUCKS CORP
COM
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1309
22800
SH
SOLE
1
0
0
22800
STELLUS CAP INVT CORP
COM
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189
14417
SH
SOLE
1
0
0
14417
TARGA RES CORP
COM
87612G101
624
12881
SH
SOLE
1
0
0
12881
TELIGENT INC NEW
COM
87960W104
2944
811061
SH
SOLE
1
0
0
811061
TEXAS INSTRS INC
COM
882508104
221
2120
SH
SOLE
1
0
0
2120
THERAPEUTICSMD INC
COM
88338N107
3150
521500
SH
SOLE
1
0
0
521500
UNITED CONTL HLDGS INC
COM
910047109
809
12000
SH
SOLE
1
0
0
12000
UNITEDHEALTH GROUP INC
COM
91324P102
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1900
SH
SOLE
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0
0
1900
VANGUARD INDEX FDS
GROWTH ETF
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1704
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SOLE
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VANGUARD INDEX FDS
TOTAL STK MKT
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221
1612
SH
SOLE
1
0
0
1612
VERIZON COMMUNICATIONS INC
COM
92343V104
366
6895
SH
SOLE
1
0
0
6895
VISA INC
COM CL A
92826C839
251
2200
SH
SOLE
1
0
0
2200
VOYA PRIME RATE TR
SH BEN INT
92913A100
63
12400
SH
SOLE
1
0
0
12400
WAL-MART STORES INC
COM
931142103
229
2320
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SOLE
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0
0
2320
WASTE MGMT INC DEL
COM
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16952
SH
SOLE
1
0
0
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WEATHERFORD INTL PLC
ORD SHS
G48833100
67
16000
SH
SOLE
1
0
0
16000
YUMA ENERGY INC NEW
COM
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