0001085146-20-000051.txt : 20200109 0001085146-20-000051.hdr.sgml : 20200109 20200109142610 ACCESSION NUMBER: 0001085146-20-000051 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200109 DATE AS OF CHANGE: 20200109 EFFECTIVENESS DATE: 20200109 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: 20517911 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 false false 0001053994 XXXXXXXX 12-31-2019 12-31-2019 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 01-08-2020 0 283 440337 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 462 2490 SH SOLE 0 0 2490 ABBOTT LABS COM 002824100 2203 25381 SH SOLE 0 0 25381 ABBVIE INC COM 00287Y109 2394 26780 SH SOLE 0 0 26780 ACUSHNET HOLDINGS CORP COM 005098108 1273 55000 SH SOLE 0 0 55000 ADOBE INC COM 00724F101 2508 7500 SH SOLE 0 0 7500 AGILENT TECHNOLOGIES INC COM 00846U101 325 3777 SH SOLE 0 0 3777 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 ALLERGAN PLC SHS G0177J108 288 1500 SH SOLE 0 0 1500 ALLIANCE DATA SYSTEMS CORP COM 018581108 1923 17100 SH SOLE 0 0 17100 ALLSTATE CORP COM 020002101 349 3120 SH SOLE 0 0 3120 ALPHABET INC CAP STK CL A 02079K305 6935 5078 SH SOLE 0 0 5078 ALTRIA GROUP INC COM 02209S103 4104 78150 SH SOLE 0 0 78150 AMAZON COM INC COM 023135106 2026 1078 SH SOLE 0 0 1078 AMDOCS LTD SHS G02602103 1087 15000 SH SOLE 0 0 15000 AMERICAN EXPRESS CO COM 025816109 3508 28270 SH SOLE 0 0 28270 AMERIPRISE FINL INC COM 03076C106 969 5870 SH SOLE 0 0 5870 AMGEN INC COM 031162100 3722 15500 SH SOLE 0 0 15500 ANTERO RES CORP COM 03674X106 623 82000 SH SOLE 0 0 82000 ANTHEM INC COM 036752103 602 2000 SH SOLE 0 0 2000 APPLE INC COM 037833100 12295 46187 SH SOLE 0 0 46187 APPLIED MATLS INC COM 038222105 348 5600 SH SOLE 0 0 5600 APTOSE BIOSCIENCES INC COM NEW 03835T200 1273 230200 SH SOLE 0 0 230200 ASSURED GUARANTY LTD COM G0585R106 393 8000 SH SOLE 0 0 8000 ASTRAZENECA PLC SPONSORED ADR 046353108 475 11200 SH SOLE 0 0 11200 AT&T INC COM 00206R102 8227 219354 SH SOLE 0 0 219354 AUTOMATIC DATA PROCESSING IN COM 053015103 1395 8200 SH SOLE 0 0 8200 AVALARA INC COM 05338G106 827 10590 SH SOLE 0 0 10590 AVID BIOSERVICES INC COM 05368M106 296 40000 SH SOLE 0 0 40000 AVNET INC COM 053807103 415 9570 SH SOLE 0 0 9570 BAIDU INC SPON ADR REP A 056752108 691 5000 SH SOLE 0 0 5000 BANK AMER CORP COM 060505104 8094 229823 SH SOLE 0 0 229823 BARRICK GOLD CORPORATION COM 067901108 2584 188500 SH SOLE 0 0 188500 BAUSCH HEALTH COS INC COM 071734107 3388 115100 SH SOLE 0 0 115100 BAXTER INTL INC COM 071813109 416 4900 SH SOLE 0 0 4900 BERKSHIRE HATHAWAY INC DEL CL A 084670108 3080 9 SH SOLE 0 0 9 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 544 2400 SH SOLE 0 0 2400 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 425 31500 SH SOLE 0 0 31500 BLACKROCK CORE BD TR SHS BEN INT 09249E101 524 38955 SH SOLE 0 0 38955 BLACKROCK MUNICIPL INC QLTY COM 092479104 155 11000 SH SOLE 0 0 11000 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 417 29230 SH SOLE 0 0 29230 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 317 22600 SH SOLE 0 0 22600 BLACKSTONE GROUP INC COM CL A 09260D107 1758 31500 SH SOLE 0 0 31500 BOEING CO COM 097023105 2175 6336 SH SOLE 0 0 6336 BP PLC SPONSORED ADR 055622104 603 15242 SH SOLE 0 0 15242 BRISTOL MYERS SQUIBB CO COM 110122108 1787 30764 SH SOLE 0 0 30764 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 694 12000 SH SOLE 0 0 12000 CACI INTL INC CL A 127190304 252 1000 SH SOLE 0 0 1000 CADENCE BANCORPORATION CL A 12739A100 186 10000 SH SOLE 0 0 10000 CANADIAN PAC RY LTD COM 13645T100 258 1000 SH SOLE 0 0 1000 CAPITAL SOUTHWEST CORP COM 140501107 19231 914017 SH SOLE 0 0 914017 CAREDX INC COM 14167L103 895 42300 SH SOLE 0 0 42300 CATERPILLAR INC DEL COM 149123101 406 3000 SH SOLE 0 0 3000 CELANESE CORP DEL COM 150870103 607 5000 SH SOLE 0 0 5000 CENTERPOINT ENERGY INC COM 15189T107 5397 175800 SH SOLE 0 0 175800 CENTURYLINK INC COM 156700106 230 18253 SH SOLE 0 0 18253 CHARTER COMMUNICATIONS INC N CL A 16119P108 1605 3275 SH SOLE 0 0 3275 CHEVRON CORP NEW COM 166764100 1523 12523 SH SOLE 0 0 12523 CINTAS CORP COM 172908105 4929 18228 SH SOLE 0 0 18228 CISCO SYS INC COM 17275R102 1289 26400 SH SOLE 0 0 26400 CITIGROUP INC COM NEW 172967424 655 8254 SH SOLE 0 0 8254 CLOROX CO DEL COM 189054109 1070 7000 SH SOLE 0 0 7000 COCA COLA CO COM 191216100 406 8651 SH SOLE 0 0 8651 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 495 8000 SH SOLE 0 0 8000 COLGATE PALMOLIVE CO COM 194162103 965 14165 SH SOLE 0 0 14165 COMCAST CORP NEW CL A 20030N101 3043 67068 SH SOLE 0 0 67068 CONCHO RES INC COM 20605P101 739 6656 SH SOLE 0 0 6656 CONOCOPHILLIPS COM 20825C104 708 10792 SH SOLE 0 0 10792 CORNING INC COM 219350105 483 16100 SH SOLE 0 0 16100 CRITEO S A SPONS ADS 226718104 2153 107500 SH SOLE 0 0 107500 CROWDSTRIKE HLDGS INC CL A 22788C105 1737 35140 SH SOLE 0 0 35140 CSX CORP COM 126408103 2196 30000 SH SOLE 0 0 30000 CUE BIOPHARMA INC COM 22978P106 1138 69750 SH SOLE 0 0 69750 CVS HEALTH CORP COM 126650100 4966 84513 SH SOLE 0 0 84513 DATADOG INC CL A COM 23804L103 1292 35200 SH SOLE 0 0 35200 DELL TECHNOLOGIES INC CL C 24703L202 659 12246 SH SOLE 0 0 12246 DELTA AIR LINES INC DEL COM NEW 247361702 284 5500 SH SOLE 0 0 5500 DEXCOM INC COM 252131107 1097 5000 SH SOLE 0 0 5000 DIGITAL ALLY INC COM NEW 25382P208 74 20000 SH SOLE 0 0 20000 DIGITAL RLTY TR INC COM 253868103 301 2544 SH SOLE 0 0 2544 DISCOVER FINL SVCS COM 254709108 576 6750 SH SOLE 0 0 6750 DISNEY WALT CO COM DISNEY 254687106 1128 8013 SH SOLE 0 0 8013 DNP SELECT INCOME FD COM 23325P104 359 29319 SH SOLE 0 0 29319 DOCUSIGN INC COM 256163106 2284 30090 SH SOLE 0 0 30090 DROPBOX INC CL A 26210C104 1494 82600 SH SOLE 0 0 82600 EARTHSTONE ENERGY INC CL A 27032D304 1829 258353 SH SOLE 0 0 258353 ECOLAB INC COM 278865100 1694 8903 SH SOLE 0 0 8903 EDWARDS LIFESCIENCES CORP COM 28176E108 303 1340 SH SOLE 0 0 1340 EIGER BIOPHARMACEUTICALS INC COM 28249U105 691 47500 SH SOLE 0 0 47500 ELANCO ANIMAL HEALTH INC COM 28414H103 1564 48788 SH SOLE 0 0 48788 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 4088 300040 SH SOLE 0 0 300040 ENTERPRISE PRODS PARTNERS L COM 293792107 16078 553443 SH SOLE 0 0 553443 EQT CORP COM 26884L109 1140 55000 SH SOLE 0 0 55000 EQUIFAX INC COM 294429105 391 3100 SH SOLE 0 0 3100 EXXON MOBIL CORP COM 30231G102 2418 30092 SH SOLE 0 0 30092 EZCORP INC CL A NON VTG 302301106 2190 235000 SH SOLE 0 0 235000 FACEBOOK INC CL A 30303M102 305 1700 SH SOLE 0 0 1700 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 486 10812 SH SOLE 0 0 10812 FIDELITY NATL INFORMATION SV COM 31620M106 625 4470 SH SOLE 0 0 4470 FIRST REP BK SAN FRANCISCO C COM 33616C100 354 3000 SH SOLE 0 0 3000 FLEX LTD ORD Y2573F102 3992 399100 SH SOLE 0 0 399100 FLUIDIGM CORP DEL NOTE 2.750% 2/0 34385PAA6 17 18000 PRN SOLE 0 0 18000 FOOT LOCKER INC COM 344849104 727 12000 SH SOLE 0 0 12000 FORD MTR CO DEL COM 345370860 269 30300 SH SOLE 0 0 30300 GAP INC COM 364760108 279 10650 SH SOLE 0 0 10650 GENERAL ELECTRIC CO COM 369604103 1610 136989 SH SOLE 0 0 136989 GENERAL MTRS CO COM 37045V100 408 10977 SH SOLE 0 0 10977 GENESIS ENERGY L P UNIT LTD PARTN 371927104 1394 60100 SH SOLE 0 0 60100 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 235 5000 SH SOLE 0 0 5000 GLOBAL PARTNERS LP COM UNITS 37946R109 727 36950 SH SOLE 0 0 36950 GOLDMAN SACHS GROUP INC COM 38141G104 351 1500 SH SOLE 0 0 1500 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 HALLADOR ENERGY COMPANY COM 40609P105 138 26294 SH SOLE 0 0 26294 HANCOCK JOHN FINL OPPTYS FD SH BEN INT NEW 409735206 456 12386 SH SOLE 0 0 12386 HASBRO INC COM 418056107 935 11000 SH SOLE 0 0 11000 HELMERICH & PAYNE INC COM 423452101 414 9125 SH SOLE 0 0 9125 HEWLETT PACKARD ENTERPRISE C COM 42824C109 289 17884 SH SOLE 0 0 17884 HEXCEL CORP NEW COM 428291108 1808 24000 SH SOLE 0 0 24000 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 HP INC COM 40434L105 413 19884 SH SOLE 0 0 19884 ILLINOIS TOOL WKS INC COM 452308109 372 2060 SH SOLE 0 0 2060 INSIGHT SELECT INCOME FD COM 45781W109 379 19734 SH SOLE 0 0 19734 INTEL CORP COM 458140100 2440 40107 SH SOLE 0 0 40107 INTERNATIONAL BUSINESS MACHS COM 459200101 679 4865 SH SOLE 0 0 4865 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 5528 425600 SH SOLE 0 0 425600 INTREXON CORP COM 46122T102 1172 222809 SH SOLE 0 0 222809 INTUIT COM 461202103 7346 27600 SH SOLE 0 0 27600 INVESCO QQQ TR UNIT SER 1 46090E103 22866 127245 SH SOLE 0 0 127245 ISHARES TR CORE S&P MCP ETF 464287507 239 1263 SH SOLE 0 0 1263 ISHARES TR CORE S&P500 ETF 464287200 308 1055 SH SOLE 0 0 1055 ISHARES TR NASDAQ BIOTECH 464287556 235 2100 SH SOLE 0 0 2100 ISHARES TR PFD AND INCM SEC 464288687 484 12875 SH SOLE 0 0 12875 ISHARES TR SHORT TREAS BD 464288679 252 2282 SH SOLE 0 0 2282 JANUS HENDERSON GROUP PLC ORD SHS G4474Y214 405 16515 SH SOLE 0 0 16515 JEFFERIES FINL GROUP INC COM 47233W109 1942 103350 SH SOLE 0 0 103350 JOHNSON & JOHNSON COM 478160104 2246 15667 SH SOLE 0 0 15667 JOHNSON CTLS INTL PLC SHS G51502105 211 5093 SH SOLE 0 0 5093 JOINT CORP COM 47973J102 10174 645940 SH SOLE 0 0 645940 JPMORGAN CHASE & CO COM 46625H100 14289 104789 SH SOLE 0 0 104789 KANSAS CITY SOUTHERN COM NEW 485170302 1321 8500 SH SOLE 0 0 8500 KAYNE ANDERSN MLP MIDS INVT COM 486606106 217 15013 SH SOLE 0 0 15013 KINDER MORGAN INC DEL COM 49456B101 1610 78734 SH SOLE 0 0 78734 KINSALE CAP GROUP INC COM 49714P108 414 4000 SH SOLE 0 0 4000 KKR & CO INC CL A 48251W104 297 10100 SH SOLE 0 0 10100 KLA CORPORATION COM NEW 482480100 1461 8000 SH SOLE 0 0 8000 KRAFT HEINZ CO COM 500754106 1060 33467 SH SOLE 0 0 33467 KROGER CO COM 501044101 979 34500 SH SOLE 0 0 34500 LAM RESEARCH CORP COM 512807108 5697 19125 SH SOLE 0 0 19125 LANDMARK INFRASTRUCTURE LP COM UNIT LTD 51508J108 344 20260 SH SOLE 0 0 20260 LIBERTY BROADBAND CORP COM SER C 530307305 205 1623 SH SOLE 0 0 1623 LILLY ELI & CO COM 532457108 1665 12736 SH SOLE 0 0 12736 LINDE PLC SHS G5494J103 475 2700 SH SOLE 0 0 2700 LIONS GATE ENTMNT CORP CL A VTG 535919401 5139 328626 SH SOLE 0 0 328626 LISTED FD TR ROUNDHILL BITK 53656F706 2308 140450 SH SOLE 0 0 140450 LITTELFUSE INC COM 537008104 580 3000 SH SOLE 0 0 3000 LOWES COS INC COM 548661107 1686 14000 SH SOLE 0 0 14000 LUMENTUM HLDGS INC COM 55024U109 1386 24500 SH SOLE 0 0 24500 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 203 3232 SH SOLE 0 0 3232 MAGNA INTL INC COM 559222401 888 16000 SH SOLE 0 0 16000 MAIN STREET CAPITAL CORP COM 56035L104 14803 397934 SH SOLE 0 0 397934 MANNKIND CORP COM NEW 56400P706 20 10000 SH SOLE 0 0 10000 MARATHON OIL CORP COM 565849106 485 29000 SH SOLE 0 0 29000 MARATHON PETE CORP COM 56585A102 1299 20984 SH SOLE 0 0 20984 MARKEL CORP COM 570535104 347 300 SH SOLE 0 0 300 MARRIOTT INTL INC NEW CL A 571903202 485 3200 SH SOLE 0 0 3200 MCDONALDS CORP COM 580135101 723 3716 SH SOLE 0 0 3716 MCKESSON CORP COM 58155Q103 435 3140 SH SOLE 0 0 3140 MEDICAL PPTYS TRUST INC COM 58463J304 222 12000 SH SOLE 0 0 12000 MEDTRONIC PLC SHS G5960L103 1030 8995 SH SOLE 0 0 8995 MERCK & CO INC COM 58933Y105 680 7531 SH SOLE 0 0 7531 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 7 15000 SH SOLE 0 0 15000 MERIDA MERGER CORP I COM 58953M106 292 30000 SH SOLE 0 0 30000 METLIFE INC COM 59156R108 213 4250 SH SOLE 0 0 4250 MICROSOFT CORP COM 594918104 2485 16428 SH SOLE 0 0 16428 MID CON ENERGY PARTNERS LP COM UNIT REPST 59560V109 12 14720 SH SOLE 0 0 14720 MONDELEZ INTL INC CL A 609207105 2386 44281 SH SOLE 0 0 44281 MONTAGE RES CORP COM 61179L100 5650 375668 SH SOLE 0 0 375668 MOTOROLA SOLUTIONS INC COM NEW 620076307 1563 9684 SH SOLE 0 0 9684 MURPHY USA INC COM 626755102 403 3500 SH SOLE 0 0 3500 NEW MTN FIN CORP COM 647551100 788 58075 SH SOLE 0 0 58075 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 NOBLE ENERGY INC COM 655044105 351 14540 SH SOLE 0 0 14540 NORFOLK SOUTHERN CORP COM 655844108 210 1125 SH SOLE 0 0 1125 NORTHERN TR CORP COM 665859104 2690 25000 SH SOLE 0 0 25000 NORTONLIFELOCK INC COM 668771108 234 8993 SH SOLE 0 0 8993 NUCOR CORP COM 670346105 551 10000 SH SOLE 0 0 10000 NUVEEN AMT FREE QLTY MUN INC COM 670657105 498 34964 SH SOLE 0 0 34964 NUVEEN MASSACHUSETS QLT MUN COM 67061E104 284 20000 SH SOLE 0 0 20000 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 247 18670 SH SOLE 0 0 18670 NUVEEN NEW YORK QLT MUN INC COM 67066X107 161 11600 SH SOLE 0 0 11600 NUVEEN QUALITY MUNCP INCOME COM 67066V101 228 16030 SH SOLE 0 0 16030 NUVEEN TEXAS QLTY MUN INCME COM 670983105 430 30150 SH SOLE 0 0 30150 NVIDIA CORP COM 67066G104 1123 4904 SH SOLE 0 0 4904 OCCIDENTAL PETE CORP COM 674599105 262 6152 SH SOLE 0 0 6152 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 ORACLE CORP COM 68389X105 447 8287 SH SOLE 0 0 8287 PAYCHEX INC COM 704326107 255 3000 SH SOLE 0 0 3000 PAYPAL HLDGS INC COM 70450Y103 332 3000 SH SOLE 0 0 3000 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 29 25000 PRN SOLE 0 0 25000 PEPSICO INC COM 713448108 2042 15040 SH SOLE 0 0 15040 PFENEX INC COM 717071104 2555 413374 SH SOLE 0 0 413374 PFIZER INC COM 717081103 1014 25048 SH SOLE 0 0 25048 PHILIP MORRIS INTL INC COM 718172109 3650 42722 SH SOLE 0 0 42722 PHILLIPS 66 COM 718546104 932 8445 SH SOLE 0 0 8445 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 319 13245 SH SOLE 0 0 13245 PNC FINL SVCS GROUP INC COM 693475105 1849 11538 SH SOLE 0 0 11538 POST HLDGS INC COM 737446104 267 2455 SH SOLE 0 0 2455 PRA GROUP INC COM 69354N106 704 19000 SH SOLE 0 0 19000 PROCTER & GAMBLE CO COM 742718109 4542 37684 SH SOLE 0 0 37684 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 QUALCOMM INC COM 747525103 325 3700 SH SOLE 0 0 3700 QUANTA SVCS INC COM 74762E102 1715 45458 SH SOLE 0 0 45458 QURATE RETAIL INC COM SER A 74915M100 81 10000 SH SOLE 0 0 10000 REDHILL BIOPHARMA LTD SPONSORED ADS 757468103 289 47660 SH SOLE 0 0 47660 REGENXBIO INC COM 75901B107 300 7700 SH SOLE 0 0 7700 REPUBLIC SVCS INC COM 760759100 229 2550 SH SOLE 0 0 2550 RESMED INC COM 761152107 2810 18000 SH SOLE 0 0 18000 ROSS STORES INC COM 778296103 1015 10900 SH SOLE 0 0 10900 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 262 4370 SH SOLE 0 0 4370 SALESFORCE COM INC COM 79466L302 257 1550 SH SOLE 0 0 1550 SAP SE SPON ADR 803054204 410 3000 SH SOLE 0 0 3000 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 SERVICENOW INC COM 81762P102 1573 5400 SH SOLE 0 0 5400 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 SONY CORP SPONSORED ADR 835699307 334 4840 SH SOLE 0 0 4840 SPARK ENERGY INC CL A COM 846511103 2892 324557 SH SOLE 0 0 324557 SPDR S&P 500 ETF TR TR UNIT 78462F103 1450 4686 SH SOLE 0 0 4686 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 461 15000 SH SOLE 0 0 15000 SPRINT CORPORATION COM 85207U105 255 48915 SH SOLE 0 0 48915 STARBUCKS CORP COM 855244109 917 10303 SH SOLE 0 0 10303 STATE STR CORP COM 857477103 2467 30568 SH SOLE 0 0 30568 STEEL DYNAMICS INC COM 858119100 642 19000 SH SOLE 0 0 19000 STELLUS CAP INVT CORP COM 858568108 264 18641 SH SOLE 0 0 18641 STRYKER CORP COM 863667101 631 3000 SH SOLE 0 0 3000 TARGA RES CORP COM 87612G101 397 9557 SH SOLE 0 0 9557 TE CONNECTIVITY LTD REG SHS H84989104 515 5333 SH SOLE 0 0 5333 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 169 11300 SH SOLE 0 0 11300 TELEDYNE TECHNOLOGIES INC COM 879360105 214 600 SH SOLE 0 0 600 TELIGENT INC NEW COM 87960W104 2435 2098773 SH SOLE 0 0 2098773 TESLA INC COM 88160R101 200 716 SH SOLE 0 0 716 TEXAS INSTRS INC COM 882508104 4686 36200 SH SOLE 0 0 36200 TFF PHARMACEUTICALS INC COM 87241J104 101 18900 SH SOLE 0 0 18900 THE CHARLES SCHWAB CORPORATI COM 808513105 1056 21900 SH SOLE 0 0 21900 THERAPEUTICSMD INC COM 88338N107 1807 371010 SH SOLE 0 0 371010 THERMO FISHER SCIENTIFIC INC COM 883556102 2611 8000 SH SOLE 0 0 8000 TRUIST FINL CORP COM 89832Q109 1489 26269 SH SOLE 0 0 26269 TWITTER INC COM 90184L102 1841 57000 SH SOLE 0 0 57000 TYLER TECHNOLOGIES INC COM 902252105 204 1000 SH SOLE 0 0 1000 UNILEVER N V N Y SHS NEW 904784709 615 10713 SH SOLE 0 0 10713 UNILEVER PLC SPON ADR NEW 904767704 395 6936 SH SOLE 0 0 6936 UNION PACIFIC CORP COM 907818108 729 4000 SH SOLE 0 0 4000 UNIQURE NV SHS N90064101 3190 45400 SH SOLE 0 0 45400 UNITED RENTALS INC COM 911363109 337 2000 SH SOLE 0 0 2000 UNITED TECHNOLOGIES CORP COM 913017109 996 6600 SH SOLE 0 0 6600 UNITEDHEALTH GROUP INC COM 91324P102 803 2900 SH SOLE 0 0 2900 US BANCORP DEL COM NEW 902973304 1040 17560 SH SOLE 0 0 17560 VANGUARD INDEX FDS GROWTH ETF 922908736 326 2086 SH SOLE 0 0 2086 VANGUARD WORLD FDS INF TECH ETF 92204A702 212 1055 SH SOLE 0 0 1055 VERISIGN INC COM 92343E102 1926 9811 SH SOLE 0 0 9811 VERIZON COMMUNICATIONS INC COM 92343V104 5270 86580 SH SOLE 0 0 86580 VIPER ENERGY PARTNERS LP COM UNT RP INT 92763M105 327 12678 SH SOLE 0 0 12678 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 WAITR HLDGS INC COM 930752100 240 700000 SH SOLE 0 0 700000 WALGREENS BOOTS ALLIANCE INC COM 931427108 1205 20370 SH SOLE 0 0 20370 WALMART INC COM 931142103 332 3400 SH SOLE 0 0 3400 WASTE MGMT INC DEL COM 94106L109 2503 23452 SH SOLE 0 0 23452 WEC ENERGY GROUP INC COM 92939U106 428 4722 SH SOLE 0 0 4722 WELLS FARGO CO NEW COM 949746101 3352 62559 SH SOLE 0 0 62559 WESTERN DIGITAL CORP COM 958102105 813 12392 SH SOLE 0 0 12392 WHIRLPOOL CORP COM 963320106 297 2000 SH SOLE 0 0 2000 WYNDHAM DESTINATIONS INC COM 98310W108 355 6800 SH SOLE 0 0 6800 WYNDHAM HOTELS & RESORTS INC COM 98311A105 430 6900 SH SOLE 0 0 6900 ZEBRA TECHNOLOGIES CORP CL A 989207105 2332 9000 SH SOLE 0 0 9000 ZIOPHARM ONCOLOGY INC COM 98973P101 930 201200 SH SOLE 0 0 201200