0001085146-19-001199.txt : 20190419 0001085146-19-001199.hdr.sgml : 20190419 20190419072147 ACCESSION NUMBER: 0001085146-19-001199 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190419 DATE AS OF CHANGE: 20190419 EFFECTIVENESS DATE: 20190419 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: 19757058 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 03-31-2019 03-31-2019 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 04-18-2019 0 127 205546 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ACUSHNET HOLDINGS CORP COM 005098108 1273 55000 SH SOLE 0 0 55000 AGNICO EAGLE MINES LTD COM 008474108 748 17200 SH SOLE 0 0 17200 AIR PRODS & CHEMS INC COM 009158106 329 1722 SH SOLE 0 0 1722 ALTA MESA RES INC CL A 02133L109 388 1459800 SH SOLE 0 0 1459800 ALTRIA GROUP INC COM 02209S103 1789 31150 SH SOLE 0 0 31150 AMAZON COM INC COM 023135106 299 168 SH SOLE 0 0 168 AMERICAN EXPRESS CO COM 025816109 328 3000 SH SOLE 0 0 3000 ANTERO RES CORP COM 03674X106 582 66000 SH SOLE 0 0 66000 APPLE INC COM 037833100 2714 14287 SH SOLE 0 0 14287 APPROACH RESOURCES INC COM 03834A103 10 27112 SH SOLE 0 0 27112 ASTRAZENECA PLC SPONSORED ADR 046353108 364 9000 SH SOLE 0 0 9000 AT&T INC COM 00206R102 1051 33535 SH SOLE 0 0 33535 AVNET INC COM 053807103 415 9570 SH SOLE 0 0 9570 BANK AMER CORP COM 060505104 331 12003 SH SOLE 0 0 12003 BARRICK GOLD CORPORATION COM 067901108 2570 187500 SH SOLE 0 0 187500 BAUSCH HEALTH COS INC COM 071734107 259 10500 SH SOLE 0 0 10500 BLACKROCK CORE BD TR SHS BEN INT 09249E101 430 31955 SH SOLE 0 0 31955 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 9337 267025 SH SOLE 0 0 267025 BOEING CO COM 097023105 500 1310 SH SOLE 0 0 1310 BRISTOL MYERS SQUIBB CO COM 110122108 493 10327 SH SOLE 0 0 10327 CADENCE BANCORPORATION CL A 12739A100 186 10000 SH SOLE 0 0 10000 CAPITAL SOUTHWEST CORP COM 140501107 19193 912237 SH SOLE 0 0 912237 CATERPILLAR INC DEL COM 149123101 406 3000 SH SOLE 0 0 3000 CENTERPOINT ENERGY INC COM 15189T107 5397 175800 SH SOLE 0 0 175800 COCA COLA CO COM 191216100 406 8651 SH SOLE 0 0 8651 CONCHO RES INC COM 20605P101 739 6656 SH SOLE 0 0 6656 CRITEO S A SPONS ADS 226718104 2153 107500 SH SOLE 0 0 107500 CVS HEALTH CORP COM 126650100 3470 64338 SH SOLE 0 0 64338 DELTA AIR LINES INC DEL COM NEW 247361702 284 5500 SH SOLE 0 0 5500 DIGITAL ALLY INC COM NEW 25382P208 74 20000 SH SOLE 0 0 20000 DNP SELECT INCOME FD COM 23325P104 127 11000 SH SOLE 0 0 11000 DOVA PHARMACEUTICALS INC COM 25985T102 2507 281915 SH SOLE 0 0 281915 DOWDUPONT INC COM 26078J100 382 7166 SH SOLE 0 0 7166 EARTHSTONE ENERGY INC CL A 27032D304 1829 258353 SH SOLE 0 0 258353 ELANCO ANIMAL HEALTH INC COM 28414H103 1532 47788 SH SOLE 0 0 47788 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 651 42368 SH SOLE 0 0 42368 ENTERPRISE PRODS PARTNERS L COM 293792107 14864 510771 SH SOLE 0 0 510771 EQT CORP COM 26884L109 1140 55000 SH SOLE 0 0 55000 EQUIFAX INC COM 294429105 249 2100 SH SOLE 0 0 2100 EXXON MOBIL CORP COM 30231G102 2435 30138 SH SOLE 0 0 30138 EZCORP INC CL A NON VTG 302301106 2190 235000 SH SOLE 0 0 235000 FACEBOOK INC CL A 30303M102 200 1200 SH SOLE 0 0 1200 FLEX LTD ORD Y2573F102 3936 393600 SH SOLE 0 0 393600 FOOT LOCKER INC COM 344849104 727 12000 SH SOLE 0 0 12000 FORD MTR CO DEL COM 345370860 214 24300 SH SOLE 0 0 24300 GAP INC COM 364760108 279 10650 SH SOLE 0 0 10650 GENERAL ELECTRIC CO COM 369604103 100 10041 SH SOLE 0 0 10041 GENERAL MTRS CO COM 37045V100 333 8977 SH SOLE 0 0 8977 GENESIS ENERGY L P UNIT LTD PARTN 371927104 1331 57100 SH SOLE 0 0 57100 GLOBAL PARTNERS LP COM UNITS 37946R109 707 35950 SH SOLE 0 0 35950 GOLDCORP INC NEW COM 380956409 5336 466375 SH SOLE 0 0 466375 GRAN TIERRA ENERGY INC COM 38500T101 329 144587 SH SOLE 0 0 144587 GULFPORT ENERGY CORP COM NEW 402635304 802 100000 SH SOLE 0 0 100000 HALCON RES CORP COM PAR NEW 40537Q605 1592 1178797 SH SOLE 0 0 1178797 HALLADOR ENERGY COMPANY COM 40609P105 138 26294 SH SOLE 0 0 26294 HASBRO INC COM 418056107 935 11000 SH SOLE 0 0 11000 HOLLY ENERGY PARTNERS L P COM UT LTD PTN 435763107 394 14612 SH SOLE 0 0 14612 HOME DEPOT INC COM 437076102 925 4819 SH SOLE 0 0 4819 INSIGHT SELECT INCOME FD COM 45781W109 379 19734 SH SOLE 0 0 19734 INTERNATIONAL BUSINESS MACHS COM 459200101 503 3565 SH SOLE 0 0 3565 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 5502 423600 SH SOLE 0 0 423600 INTREXON CORP COM 46122T102 1172 222809 SH SOLE 0 0 222809 INVESCO QQQ TR UNIT SER 1 46090E103 22839 127120 SH SOLE 0 0 127120 ISHARES TR CORE S&P MCP ETF 464287507 229 1208 SH SOLE 0 0 1208 ISHARES TR CORE S&P500 ETF 464287200 251 880 SH SOLE 0 0 880 ISHARES TR NASDAQ BIOTECH 464287556 235 2100 SH SOLE 0 0 2100 ISHARES TR SHORT TREAS BD 464288679 252 2282 SH SOLE 0 0 2282 JEFFERIES FINL GROUP INC COM 47233W109 1942 103350 SH SOLE 0 0 103350 JOHNSON & JOHNSON COM 478160104 932 6667 SH SOLE 0 0 6667 JOINT CORP COM 47973J102 10174 645940 SH SOLE 0 0 645940 JPMORGAN CHASE & CO COM 46625H100 1258 12430 SH SOLE 0 0 12430 KINDER MORGAN INC DEL COM 49456B101 864 43199 SH SOLE 0 0 43199 LANDMARK INFRASTRUCTURE LP COM UNIT LTD 51508J108 313 18460 SH SOLE 0 0 18460 LILLY ELI & CO COM 532457108 1004 7736 SH SOLE 0 0 7736 LINDE PLC COM G5494J103 475 2700 SH SOLE 0 0 2700 LIONS GATE ENTMNT CORP CL A VTG 535919401 5108 326626 SH SOLE 0 0 326626 LUMENTUM HLDGS INC COM 55024U109 1386 24500 SH SOLE 0 0 24500 MAIN STREET CAPITAL CORP COM 56035L104 14616 392911 SH SOLE 0 0 392911 MANNKIND CORP COM NEW 56400P706 20 10000 SH SOLE 0 0 10000 MARATHON OIL CORP COM 565849106 485 29000 SH SOLE 0 0 29000 MCDONALDS CORP COM 580135101 399 2100 SH SOLE 0 0 2100 MEDICAL PPTYS TRUST INC COM 58463J304 222 12000 SH SOLE 0 0 12000 MICROSOFT CORP COM 594918104 424 3596 SH SOLE 0 0 3596 MID CON ENERGY PARTNERS LP COM UNIT REPST 59560V109 12 14720 SH SOLE 0 0 14720 MONDELEZ INTL INC CL A 609207105 225 4507 SH SOLE 0 0 4507 MONTAGE RES CORP COM 61179L100 5641 375068 SH SOLE 0 0 375068 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 104 113650 SH SOLE 0 0 113650 NEW MTN FIN CORP COM 647551100 761 56075 SH SOLE 0 0 56075 NEW YORK CMNTY BANCORP INC COM 649445103 180 15500 SH SOLE 0 0 15500 NIKE INC CL B 654106103 1114 13230 SH SOLE 0 0 13230 NIO INC SPON ADS 62914V106 122 24000 SH SOLE 0 0 24000 NORFOLK SOUTHERN CORP COM 655844108 210 1125 SH SOLE 0 0 1125 OMEGA HEALTHCARE INVS INC COM 681936100 232 6064 SH SOLE 0 0 6064 ONEOK INC NEW COM 682680103 992 14199 SH SOLE 0 0 14199 PFENEX INC COM 717071104 2555 413374 SH SOLE 0 0 413374 PFIZER INC COM 717081103 359 8443 SH SOLE 0 0 8443 PHILIP MORRIS INTL INC COM 718172109 296 3350 SH SOLE 0 0 3350 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 300 12245 SH SOLE 0 0 12245 PROCTER AND GAMBLE CO COM 742718109 578 5563 SH SOLE 0 0 5563 PROSHARES TR ULTRA FNCLS NEW 74347X633 360 9000 SH SOLE 0 0 9000 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 464 89990 SH SOLE 0 0 89990 QUANTA SVCS INC COM 74762E102 1715 45458 SH SOLE 0 0 45458 ROSS STORES INC COM 778296103 1015 10900 SH SOLE 0 0 10900 SANDRIDGE MISSISSIPPIAN TR I SH BEN INT 80007V106 17 16850 SH SOLE 0 0 16850 SEABOARD CORP COM 811543107 1071 250 SH SOLE 0 0 250 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 282 2473 SH SOLE 0 0 2473 SIGMATRON INTL INC COM 82661L101 102 34900 SH SOLE 0 0 34900 SIRIUS XM HLDGS INC COM 82968B103 147 26000 SH SOLE 0 0 26000 SPARK ENERGY INC CL A COM 846511103 2874 322557 SH SOLE 0 0 322557 SPDR S&P 500 ETF TR TR UNIT 78462F103 488 1726 SH SOLE 0 0 1726 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 461 15000 SH SOLE 0 0 15000 STELLUS CAP INVT CORP COM 858568108 264 18641 SH SOLE 0 0 18641 TARGA RES CORP COM 87612G101 343 8257 SH SOLE 0 0 8257 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 169 11300 SH SOLE 0 0 11300 TELIGENT INC NEW COM 87960W104 2435 2098773 SH SOLE 0 0 2098773 TESLA INC COM 88160R101 200 716 SH SOLE 0 0 716 THERAPEUTICSMD INC COM 88338N107 1807 371010 SH SOLE 0 0 371010 TYLER TECHNOLOGIES INC COM 902252105 204 1000 SH SOLE 0 0 1000 UNITEDHEALTH GROUP INC COM 91324P102 247 1000 SH SOLE 0 0 1000 VANGUARD INDEX FDS GROWTH ETF 922908736 318 2029 SH SOLE 0 0 2029 VANGUARD WORLD FDS INF TECH ETF 92204A702 212 1055 SH SOLE 0 0 1055 VERIZON COMMUNICATIONS INC COM 92343V104 452 7655 SH SOLE 0 0 7655 VISA INC COM CL A 92826C839 337 2157 SH SOLE 0 0 2157 VOYA PRIME RATE TR SH BEN INT 92913A100 59 12400 SH SOLE 0 0 12400 WALMART INC COM 931142103 332 3400 SH SOLE 0 0 3400 WASTE MGMT INC DEL COM 94106L109 1761 16952 SH SOLE 0 0 16952 YUMA ENERGY INC NEW COM 98872F105 43 365000 SH SOLE 0 0 365000