0001085146-18-001660.txt : 20180710 0001085146-18-001660.hdr.sgml : 20180710 20180710161845 ACCESSION NUMBER: 0001085146-18-001660 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180710 DATE AS OF CHANGE: 20180710 EFFECTIVENESS DATE: 20180710 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: 18947145 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 1 primary_doc.xml 13F-HR LIVE false true false 0001053994 XXXXXXXX 06-30-2018 06-30-2018 false SANDERS MORRIS HARRIS LLC

600 TRAVIS, SUITE 5900 HOUSTON TX 77002

13F HOLDINGS REPORT 028-12760 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 713-226-4808 /s/ David Block Houston TX 07-10-2018 1 147 215966 1 0000756094 028-16804 MILLER GREEN FINANCIAL SERVICES INC /ADV INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 288 4729 SH SOLE 1 0 0 4729 ACUSHNET HOLDINGS CORP COM 005098108 1345 55000 SH SOLE 1 0 0 55000 AEMETIS INC COM NEW 00770K202 111 73757 SH SOLE 1 0 0 73757 AGNICO EAGLE MINES LTD COM 008474108 1810 39500 SH SOLE 1 0 0 39500 ALTA MESA RES INC CL A 02133L109 1424 209050 SH SOLE 1 0 0 209050 ALTRIA GROUP INC COM 02209S103 1916 33750 SH SOLE 1 0 0 33750 AMERICAN EXPRESS CO COM 025816109 17 170 SH OTR 1 0 0 170 AMERICAN EXPRESS CO COM 025816109 294 3000 SH SOLE 1 0 0 3000 ANTERO RES CORP COM 03674X106 2265 106136 SH SOLE 1 0 0 106136 ANTHEM INC COM 036752103 657 2760 SH SOLE 1 0 0 2760 APPLE INC COM 037833100 2523 13632 SH SOLE 1 0 0 13632 APPROACH RESOURCES INC COM 03834A103 66 27112 SH SOLE 1 0 0 27112 ASTRAZENECA PLC SPONSORED ADR 046353108 316 9000 SH SOLE 1 0 0 9000 AT&T INC COM 00206R102 1147 35773 SH SOLE 1 0 0 35773 AUTONATION INC COM 05329W102 243 5000 SH SOLE 1 0 0 5000 AVNET INC COM 053807103 410 9570 SH SOLE 1 0 0 9570 BANK AMER CORP COM 060505104 338 12003 SH SOLE 1 0 0 12003 BARRICK GOLD CORP COM 067901108 2829 215500 SH SOLE 1 0 0 215500 BLACKROCK CORE BD TR SHS BEN INT 09249E101 383 29955 SH SOLE 1 0 0 29955 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 6673 207415 SH SOLE 1 0 0 207415 BRISTOL MYERS SQUIBB CO COM 110122108 798 14427 SH SOLE 1 0 0 14427 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 211 6000 SH SOLE 1 0 0 6000 CAPITAL PRODUCT PARTNERS L P COM UNIT LP Y11082107 169 55200 SH SOLE 1 0 0 55200 CATERPILLAR INC DEL COM 149123101 298 2200 SH SOLE 1 0 0 2200 CBL & ASSOC PPTYS INC COM 124830100 56 10000 SH SOLE 1 0 0 10000 CENTERPOINT ENERGY INC COM 15189T107 6584 237600 SH SOLE 1 0 0 237600 CHEVRON CORP NEW COM 166764100 467 3695 SH SOLE 1 0 0 3695 COCA COLA CO COM 191216100 407 9266 SH SOLE 1 0 0 9266 CONCHO RES INC COM 20605P101 1059 7656 SH SOLE 1 0 0 7656 CONTAINER STORE GROUP INC COM 210751103 301 35800 SH SOLE 1 0 0 35800 COVIA HLDGS CORP COM 22305A103 295 15860 SH SOLE 1 0 0 15860 CRITEO S A SPONS ADS 226718104 1544 47000 SH SOLE 1 0 0 47000 CVS HEALTH CORP COM 126650100 225 3500 SH SOLE 1 0 0 3500 DELTA AIR LINES INC DEL COM NEW 247361702 587 11850 SH SOLE 1 0 0 11850 DISNEY WALT CO COM DISNEY 254687106 229 2186 SH SOLE 1 0 0 2186 DNP SELECT INCOME FD COM 23325P104 119 11000 SH SOLE 1 0 0 11000 DOWDUPONT INC COM 26078J100 451 6841 SH SOLE 1 0 0 6841 EARTHSTONE ENERGY INC CL A 27032D304 4316 487651 SH SOLE 1 0 0 487651 ECLIPSE RES CORP COM 27890G100 7581 4738570 SH SOLE 1 0 0 4738570 EMERGE ENERGY SVCS LP COM REP PARTN 29102H108 632 88600 SH SOLE 1 0 0 88600 ENDO INTL PLC SHS G30401106 3903 414000 SH SOLE 1 0 0 414000 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 193 11200 SH SOLE 1 0 0 11200 ENERGY TRANSFER PARTNERS LP UNIT LTD PRT INT 29278N103 595 31240 SH SOLE 1 0 0 31240 ENTERPRISE PRODS PARTNERS L COM 293792107 17424 629703 SH SOLE 1 0 0 629703 EQUIFAX INC COM 294429105 263 2100 SH SOLE 1 0 0 2100 EXXON MOBIL CORP COM 30231G102 18 220 SH OTR 1 0 0 220 EXXON MOBIL CORP COM 30231G102 3002 36294 SH SOLE 1 0 0 36294 EYEPOINT PHARMACEUTICALS INC COM 30233G100 31 15000 SH SOLE 1 0 0 15000 EZCORP INC CL A NON VTG 302301106 2322 192735 SH SOLE 1 0 0 192735 FACEBOOK INC CL A 30303M102 252 1300 SH SOLE 1 0 0 1300 FLEX LTD ORD Y2573F102 3875 274600 SH SOLE 1 0 0 274600 FLOTEK INDS INC DEL COM 343389102 32 10000 SH SOLE 1 0 0 10000 FORD MTR CO DEL COM PAR $0.01 345370860 205 18500 SH SOLE 1 0 0 18500 GENERAL ELECTRIC CO COM 369604103 299 21976 SH SOLE 1 0 0 21976 GENERAL MLS INC COM 370334104 398 9000 SH SOLE 1 0 0 9000 GENERAL MTRS CO COM 37045V100 429 10890 SH SOLE 1 0 0 10890 GENESIS ENERGY L P UNIT LTD PARTN 371927104 1319 60200 SH SOLE 1 0 0 60200 GLOBAL PARTNERS LP COM UNITS 37946R109 613 35950 SH SOLE 1 0 0 35950 GOLDCORP INC NEW COM 380956409 5864 427700 SH SOLE 1 0 0 427700 GRAN TIERRA ENERGY INC COM 38500T101 532 153987 SH SOLE 1 0 0 153987 GRUPO TELEVISA SA SPON ADR REP ORD 40049J206 199 10500 SH SOLE 1 0 0 10500 HALCON RES CORP COM PAR NEW 40537Q605 2718 619051 SH SOLE 1 0 0 619051 HALLADOR ENERGY COMPANY COM 40609P105 180 25170 SH SOLE 1 0 0 25170 HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 932 79000 SH SOLE 1 0 0 79000 HOLLY ENERGY PARTNERS L P COM UT LTD PTN 435763107 413 14612 SH SOLE 1 0 0 14612 HOME DEPOT INC COM 437076102 1038 5319 SH SOLE 1 0 0 5319 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 213 3000 SH SOLE 1 0 0 3000 INSIGHT SELECT INCOME FD COM 45781W109 373 19734 SH SOLE 1 0 0 19734 INTERNATIONAL BUSINESS MACHS COM 459200101 547 3915 SH SOLE 1 0 0 3915 INTL PAPER CO COM 460146103 227 4350 SH SOLE 1 0 0 4350 INTREXON CORP COM 46122T102 1801 129200 SH SOLE 1 0 0 129200 INVESCO QQQ TR UNIT SER 1 46090E103 15541 90543 SH SOLE 1 0 0 90543 ISHARES TR CORE S&P MCP ETF 464287507 367 1886 SH SOLE 1 0 0 1886 ISHARES TR CORE S&P500 ETF 464287200 303 1110 SH SOLE 1 0 0 1110 ISHARES TR NASDAQ BIOTECH 464287556 362 3300 SH SOLE 1 0 0 3300 JEFFERIES FINL GROUP INC COM 47233W109 3669 161350 SH SOLE 1 0 0 161350 JOHNSON & JOHNSON COM 478160104 10 85 SH OTR 1 0 0 85 JOHNSON & JOHNSON COM 478160104 1082 8920 SH SOLE 1 0 0 8920 JOINT CORP COM 47973J102 12292 1502627 SH SOLE 1 0 0 1502627 JPMORGAN CHASE & CO COM 46625H100 1404 13486 SH SOLE 1 0 0 13486 KINDER MORGAN INC DEL COM 49456B101 951 53768 SH SOLE 1 0 0 53768 KMG CHEMICALS INC COM 482564101 205 2775 SH SOLE 1 0 0 2775 LANDMARK INFRASTRUCTURE LP COM UNIT LTD 51508J108 445 32080 SH SOLE 1 0 0 32080 LILLY ELI & CO COM 532457108 726 8514 SH SOLE 1 0 0 8514 MAIN STREET CAPITAL CORP COM 56035L104 15887 417403 SH SOLE 1 0 0 417403 MANNKIND CORP COM NEW 56400P706 19 10000 SH SOLE 1 0 0 10000 MARATHON OIL CORP COM 565849106 459 22000 SH SOLE 1 0 0 22000 MCDONALDS CORP COM 580135101 329 2100 SH SOLE 1 0 0 2100 MEDICAL PPTYS TRUST INC COM 58463J304 168 12000 SH SOLE 1 0 0 12000 MICROSOFT CORP COM 594918104 338 3436 SH SOLE 1 0 0 3436 MID CON ENERGY PARTNERS LP COM UNIT REPST 59560V109 33 19720 SH SOLE 1 0 0 19720 NATURAL RESOURCE PARTNERS L COM UNIT LTD PAR 63900P608 1144 36429 SH SOLE 1 0 0 36429 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 513 271650 SH SOLE 1 0 0 271650 NEW AGE BEVERAGES CORP COM 64157V108 75 40000 SH SOLE 1 0 0 40000 NIKE INC CL B 654106103 964 12100 SH SOLE 1 0 0 12100 NVIDIA CORP COM 67066G104 202 856 SH SOLE 1 0 0 856 ONEOK INC NEW COM 682680103 991 14199 SH SOLE 1 0 0 14199 PARKER DRILLING CO COM 701081101 11 30100 SH SOLE 1 0 0 30100 PAYCOM SOFTWARE INC COM 70432V102 395 4000 SH SOLE 1 0 0 4000 PEDEVCO CORP COM PAR 70532Y303 34 15050 SH SOLE 1 0 0 15050 PETMED EXPRESS INC COM 716382106 220 5000 SH SOLE 1 0 0 5000 PFENEX INC COM 717071104 4750 877935 SH SOLE 1 0 0 877935 PFIZER INC COM 717081103 395 10878 SH SOLE 1 0 0 10878 PG&E CORP COM 69331C108 12350 290200 SH SOLE 1 0 0 290200 PHILIP MORRIS INTL INC COM 718172109 375 4650 SH SOLE 1 0 0 4650 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 349 14745 SH SOLE 1 0 0 14745 PRAXAIR INC COM 74005P104 427 2700 SH SOLE 1 0 0 2700 PROCTER AND GAMBLE CO COM 742718109 12 155 SH OTR 1 0 0 155 PROCTER AND GAMBLE CO COM 742718109 513 6578 SH SOLE 1 0 0 6578 PROSHARES TR ULTRA FNCLS NEW 74347X633 606 15000 SH SOLE 1 0 0 15000 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 208 39790 SH SOLE 1 0 0 39790 QUANTA SVCS INC COM 74762E102 568 17008 SH SOLE 1 0 0 17008 READING INTERNATIONAL INC CL A 755408101 269 16900 SH SOLE 1 0 0 16900 RECRO PHARMA INC COM 75629F109 1391 277085 SH SOLE 1 0 0 277085 ROSS STORES INC COM 778296103 924 10900 SH SOLE 1 0 0 10900 SANCHEZ ENERGY CORP COM 79970Y105 1880 416000 SH SOLE 1 0 0 416000 SANDRIDGE MISSISSIPPIAN TR I SH BEN INT 80007V106 49 27050 SH SOLE 1 0 0 27050 SCHLUMBERGER LTD COM 806857108 279 4165 SH SOLE 1 0 0 4165 SCHLUMBERGER LTD COM 806857108 12 180 SH OTR 1 0 0 180 SIGMATRON INTL INC COM 82661L101 211 30000 SH SOLE 1 0 0 30000 SKECHERS U S A INC CL A 830566105 234 7800 SH SOLE 1 0 0 7800 SPARK ENERGY INC CL A COM 846511103 3941 404078 SH SOLE 1 0 0 404078 SPDR S&P 500 ETF TR TR UNIT 78462F103 605 2230 SH SOLE 1 0 0 2230 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 646 15000 SH SOLE 1 0 0 15000 SPIRIT AIRLS INC COM 848577102 1527 42000 SH SOLE 1 0 0 42000 STARBUCKS CORP COM 855244109 1063 21750 SH SOLE 1 0 0 21750 STELLUS CAP INVT CORP COM 858568108 221 17301 SH SOLE 1 0 0 17301 TARGA RES CORP COM 87612G101 637 12881 SH SOLE 1 0 0 12881 TELIGENT INC NEW COM 87960W104 5152 1489057 SH SOLE 1 0 0 1489057 TEXAS INSTRS INC COM 882508104 256 2320 SH SOLE 1 0 0 2320 THERAPEUTICSMD INC COM 88338N107 2727 437010 SH SOLE 1 0 0 437010 TYLER TECHNOLOGIES INC COM 902252105 222 1000 SH SOLE 1 0 0 1000 U S CONCRETE INC COM NEW 90333L201 473 9016 SH SOLE 1 0 0 9016 UNITEDHEALTH GROUP INC COM 91324P102 467 1900 SH SOLE 1 0 0 1900 UNUM GROUP COM 91529Y106 406 11000 SH SOLE 1 0 0 11000 VANGUARD INDEX FDS GROWTH ETF 922908736 315 2107 SH SOLE 1 0 0 2107 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 244 979 SH SOLE 1 0 0 979 VERIZON COMMUNICATIONS INC COM 92343V104 15 295 SH OTR 1 0 0 295 VERIZON COMMUNICATIONS INC COM 92343V104 414 8230 SH SOLE 1 0 0 8230 VISA INC COM CL A 92826C839 285 2157 SH SOLE 1 0 0 2157 VOYA PRIME RATE TR SH BEN INT 92913A100 62 12400 SH SOLE 1 0 0 12400 WALGREENS BOOTS ALLIANCE INC COM 931427108 576 9600 SH SOLE 1 0 0 9600 WALMART INC COM 931142103 10 120 SH OTR 1 0 0 120 WALMART INC COM 931142103 291 3400 SH SOLE 1 0 0 3400 WASTE MGMT INC DEL COM 94106L109 1379 16952 SH SOLE 1 0 0 16952 XEROX CORP COM NEW 984121608 4177 174045 SH SOLE 1 0 0 174045 YUMA ENERGY INC NEW COM 98872F105 3320 6198590 SH SOLE 1 0 0 6198590