0001085146-20-002543.txt : 20201016 0001085146-20-002543.hdr.sgml : 20201016 20201015181220 ACCESSION NUMBER: 0001085146-20-002543 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201016 DATE AS OF CHANGE: 20201015 EFFECTIVENESS DATE: 20201016 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: 201242309 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 09-30-2020 09-30-2020 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 10-14-2020 0 274 367989 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 212 1319 SH SOLE 0 0 1319 ABBOTT LABS COM 002824100 873 8025 SH SOLE 0 0 8025 ABBVIE INC COM 00287Y109 1969 22498 SH SOLE 0 0 22498 ACTIVISION BLIZZARD INC COM 00507V109 755 9255 SH SOLE 0 0 9255 ADOBE SYSTEMS INCORPORATED COM 00724F101 1494 2900 SH SOLE 0 0 2900 ADVANCED MICRO DEVICES INC COM 007903107 967 11350 SH SOLE 0 0 11350 AIR PRODS & CHEMS INC COM 009158106 618 2075 SH SOLE 0 0 2075 ALEXION PHARMACEUTICALS INC COM 015351109 421 3400 SH SOLE 0 0 3400 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1058 3445 SH SOLE 0 0 3445 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 514 3500 SH SOLE 0 0 3500 ALPHABET INC CAP STK CL A 02079K305 3952 2539 SH SOLE 0 0 2539 ALPHABET INC CAP STK CL C 02079K107 1671 1068 SH SOLE 0 0 1068 ALTRIA GROUP INC COM 02209S103 3565 92018 SH SOLE 0 0 92018 AMAZON COM INC COM 023135106 3004 893 SH SOLE 0 0 893 AMDOCS LTD SHS G02602103 466 8000 SH SOLE 0 0 8000 AMERICA FIRST MULTIFAMILY IN BEN UNIT CTF 02364V107 109 27000 SH SOLE 0 0 27000 AMERICAN EXPRESS CO COM 025816109 344 3292 SH SOLE 0 0 3292 AMGEN INC COM 031162100 1028 4292 SH SOLE 0 0 4292 ANTERO RESOURCES CORP COM 03674X106 107 39000 SH SOLE 0 0 39000 ANTHEM INC COM 036752103 563 1900 SH SOLE 0 0 1900 APPLE INC COM 037833100 11126 94274 SH SOLE 0 0 94274 APTOSE BIOSCIENCES INC COM NEW 03835T200 4062 667004 SH SOLE 0 0 667004 ARGENX SE SPONSORED ADR 04016X101 509 1830 SH SOLE 0 0 1830 ASTRAZENECA PLC SPONSORED ADR 046353108 744 13600 SH SOLE 0 0 13600 AT&T INC COM 00206R102 7002 246254 SH SOLE 0 0 246254 ATLASSIAN CORP PLC CL A G06242104 528 2730 SH SOLE 0 0 2730 AUTOMATIC DATA PROCESSING IN COM 053015103 364 2450 SH SOLE 0 0 2450 AUTONATION INC COM 05329W102 265 5000 SH SOLE 0 0 5000 AVALARA INC COM 05338G106 3156 20291 SH SOLE 0 0 20291 AVNET INC COM 053807103 247 9570 SH SOLE 0 0 9570 BAIDU INC SPON ADR REP A 056752108 533 4200 SH SOLE 0 0 4200 BARRICK GOLD CORP COM 067901108 1124 40000 SH SOLE 0 0 40000 BAUSCH HEALTH COS INC COM 071734107 584 35013 SH SOLE 0 0 35013 BAXTER INTL INC COM 071813109 391 4900 SH SOLE 0 0 4900 BEIGENE LTD SPONSORED ADR 07725L102 825 2700 SH SOLE 0 0 2700 BERKSHIRE HATHAWAY INC DEL CL A 084670108 2869 9 SH SOLE 0 0 9 BIOMARIN PHARMACEUTICAL INC COM 09061G101 320 4000 SH SOLE 0 0 4000 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 337 25500 SH SOLE 0 0 25500 BLACKROCK CORE BD TR SHS BEN INT 09249E101 610 38955 SH SOLE 0 0 38955 BLACKROCK INC COM 09247X101 507 900 SH SOLE 0 0 900 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 301 20000 SH SOLE 0 0 20000 BLACKROCK MUN INCOME QUALITY COM 092479104 157 11000 SH SOLE 0 0 11000 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 353 25730 SH SOLE 0 0 25730 BLACKSTONE GROUP INC COM CL A 09260D107 19451 371620 SH SOLE 0 0 371620 BLUEBIRD BIO INC COM 09609G100 337 5900 SH SOLE 0 0 5900 BOEING CO COM 097023105 830 5060 SH SOLE 0 0 5060 BOQII HLDG LTD SPONSORED ADS 09950L104 1289 179000 SH SOLE 0 0 179000 BRISTOL-MYERS SQUIBB CO COM 110122108 2508 41419 SH SOLE 0 0 41419 BROADCOM INC COM 11135F101 749 1964 SH SOLE 0 0 1964 CADENCE BANCORPORATION CL A 12739A100 86 10000 SH SOLE 0 0 10000 CAPITAL SOUTHWEST CORP COM 140501107 11817 841068 SH SOLE 0 0 841068 CATCHMARK TIMBER TR INC CL A 14912Y202 173 19400 SH SOLE 0 0 19400 CATERPILLAR INC DEL COM 149123101 205 1375 SH SOLE 0 0 1375 CELANESE CORP DEL COM 150870103 578 5000 SH SOLE 0 0 5000 CENTERPOINT ENERGY INC COM 15189T107 290 15000 SH SOLE 0 0 15000 CERNER CORP COM 156782104 337 4600 SH SOLE 0 0 4600 CHARTER COMMUNICATIONS INC N CL A 16119P108 802 1239 SH SOLE 0 0 1239 CHEVRON CORP NEW COM 166764100 733 10175 SH SOLE 0 0 10175 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 1614 50205 SH SOLE 0 0 50205 CIGNA CORP NEW COM 125523100 784 4493 SH SOLE 0 0 4493 CIIG MERGER CORP COM CL A 12559C103 251 25000 SH SOLE 0 0 25000 CIIG MERGER CORP *W EXP 12/31/202 12559C111 11 12500 SH SOLE 0 0 12500 CINTAS CORP COM 172908105 4572 13014 SH SOLE 0 0 13014 CISCO SYS INC COM 17275R102 304 7625 SH SOLE 0 0 7625 CLOROX CO DEL COM 189054109 480 2183 SH SOLE 0 0 2183 CLOUDFLARE INC CL A COM 18915M107 259 6300 SH SOLE 0 0 6300 COCA COLA CO COM 191216100 879 17816 SH SOLE 0 0 17816 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 439 6000 SH SOLE 0 0 6000 COLGATE PALMOLIVE CO COM 194162103 393 4920 SH SOLE 0 0 4920 COMCAST CORP NEW CL A 20030N101 474 10377 SH SOLE 0 0 10377 CONCHO RES INC COM 20605P101 294 6656 SH SOLE 0 0 6656 CRINETICS PHARMACEUTICALS IN COM 22663K107 311 18600 SH SOLE 0 0 18600 CRITEO S A SPONS ADS 226718104 909 74500 SH SOLE 0 0 74500 CROWN CASTLE INTL CORP NEW COM 22822V101 265 1588 SH SOLE 0 0 1588 CSX CORP COM 126408103 593 7500 SH SOLE 0 0 7500 CUE BIOPHARMA INC COM 22978P106 2312 142430 SH SOLE 0 0 142430 CUMMINS INC COM 231021106 245 1161 SH SOLE 0 0 1161 CVS HEALTH CORP COM 126650100 3469 59347 SH SOLE 0 0 59347 CYTOKINETICS INC COM NEW 23282W605 413 24555 SH SOLE 0 0 24555 DATADOG INC CL A COM 23804L103 735 6290 SH SOLE 0 0 6290 DEXCOM INC COM 252131107 396 1000 SH SOLE 0 0 1000 DISNEY WALT CO COM DISNEY 254687106 2144 16702 SH SOLE 0 0 16702 DOCUSIGN INC COM 256163106 4137 17381 SH SOLE 0 0 17381 DROPBOX INC CL A 26210C104 324 15970 SH SOLE 0 0 15970 DUKE ENERGY CORP NEW COM NEW 26441C204 243 2750 SH SOLE 0 0 2750 DYNATRACE INC COM NEW 268150109 3437 78284 SH SOLE 0 0 78284 EARTHSTONE ENERGY INC CL A 27032D304 433 166900 SH SOLE 0 0 166900 EAST STONE ACQUISITION CORP *W EXP 12/31/202 G2911D116 1 10000 SH SOLE 0 0 10000 EAST STONE ACQUISITION CORP RIGHT 12/31/2026 G2911D132 2 10000 SH SOLE 0 0 10000 EAST STONE ACQUISITION CORP SHS G2911D108 98 10000 SH SOLE 0 0 10000 ECOLAB INC COM 278865100 1126 5597 SH SOLE 0 0 5597 EDWARDS LIFESCIENCES CORP COM 28176E108 384 4620 SH SOLE 0 0 4620 ELANCO ANIMAL HEALTH INC COM 28414H103 14838 531260 SH SOLE 0 0 531260 ELECTRONIC ARTS INC COM 285512109 709 5350 SH SOLE 0 0 5350 ENDO INTL PLC SHS G30401106 623 188723 SH SOLE 0 0 188723 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 852 152434 SH SOLE 0 0 152434 ENTERPRISE PRODS PARTNERS L COM 293792107 11717 741305 SH SOLE 0 0 741305 EQUIFAX INC COM 294429105 329 2100 SH SOLE 0 0 2100 EROS STX GLOBAL CORPORATION SHS NEW G3788M114 2455 1110633 SH SOLE 0 0 1110633 EXACT SCIENCES CORP COM 30063P105 519 4800 SH SOLE 0 0 4800 EXXON MOBIL CORP COM 30231G102 3028 88221 SH SOLE 0 0 88221 EZCORP INC CL A NON VTG 302301106 516 102500 SH SOLE 0 0 102500 FACEBOOK INC CL A 30303M102 1464 5384 SH SOLE 0 0 5384 FEDEX CORP COM 31428X106 875 3200 SH SOLE 0 0 3200 FLEX LTD ORD Y2573F102 150 13400 SH SOLE 0 0 13400 FLYING EAGLE ACQUISITION COR COM 34407Y103 203 16650 SH SOLE 0 0 16650 FORD MTR CO DEL COM 345370860 306 46000 SH SOLE 0 0 46000 GALILEO ACQUISITION CORP SHS G3770A102 434 43780 SH SOLE 0 0 43780 GALILEO ACQUISITION CORP *W EXP 10/31/202 G3770A110 27 46255 SH SOLE 0 0 46255 GENERAL DYNAMICS CORP COM 369550108 429 3000 SH SOLE 0 0 3000 GENERAL ELECTRIC CO COM 369604103 2773 443052 SH SOLE 0 0 443052 GENERAL MTRS CO COM 37045V100 2015 68090 SH SOLE 0 0 68090 GENESIS ENERGY L P UNIT LTD PARTN 371927104 161 35700 SH SOLE 0 0 35700 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 1347 36000 SH SOLE 0 0 36000 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 408 6750 SH SOLE 0 0 6750 GLOBAL PARTNERS LP COM UNITS 37946R109 484 36950 SH SOLE 0 0 36950 GOLDMAN SACHS GROUP INC COM 38141G104 1250 5960 SH SOLE 0 0 5960 GRAN TIERRA ENERGY INC COM 38500T101 28 124667 SH SOLE 0 0 124667 GREENROSE ACQUISITION CORP COM 395392103 147 15000 SH SOLE 0 0 15000 GREENROSE ACQUISITION CORP *W EXP 08/11/202 395392111 5 15000 SH SOLE 0 0 15000 HALLADOR ENERGY COMPANY COM 40609P105 17 26330 SH SOLE 0 0 26330 HCA HEALTHCARE INC COM 40412C101 481 3631 SH SOLE 0 0 3631 HEWLETT PACKARD ENTERPRISE C COM 42824C109 278 28498 SH SOLE 0 0 28498 HOME DEPOT INC COM 437076102 1681 6051 SH SOLE 0 0 6051 HP INC COM 40434L105 332 16998 SH SOLE 0 0 16998 INCYTE CORP COM 45337C102 487 5000 SH SOLE 0 0 5000 INSIGHT SELECT INCOME FD COM 45781W109 400 19734 SH SOLE 0 0 19734 INTEL CORP COM 458140100 811 15095 SH SOLE 0 0 15095 INTERNATIONAL BUSINESS MACHS COM 459200101 1619 13300 SH SOLE 0 0 13300 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 2892 259775 SH SOLE 0 0 259775 INTERPRIVATE ACQUISITION COR COM 46064A103 100 10000 SH SOLE 0 0 10000 INTUIT COM 461202103 1512 4321 SH SOLE 0 0 4321 INVESCO QQQ TR UNIT SER 1 46090E103 42053 151352 SH SOLE 0 0 151352 INVESCO TR INVT GRADE NEW YO COM 46131T101 356 29000 SH SOLE 0 0 29000 IOVANCE BIOTHERAPEUTICS INC COM 462260100 518 16200 SH SOLE 0 0 16200 ISHARES TR CORE S&P500 ETF 464287200 1760 5045 SH SOLE 0 0 5045 ISHARES TR SHORT TREAS BD 464288679 1209 10925 SH SOLE 0 0 10925 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 562 3700 SH SOLE 0 0 3700 JEFFERIES FINL GROUP INC COM 47233W109 998 55466 SH SOLE 0 0 55466 JOHNSON & JOHNSON COM 478160104 1287 8670 SH SOLE 0 0 8670 JPMORGAN CHASE & CO COM 46625H100 4025 41511 SH SOLE 0 0 41511 JUNIPER INDL HLDGS INC *W EXP 11/13/202 48205G114 51 37500 SH SOLE 0 0 37500 KANSAS CITY SOUTHERN COM NEW 485170302 967 5324 SH SOLE 0 0 5324 KAYNE ANDERSON ENERGY INFRST COM 486606106 185 46200 SH SOLE 0 0 46200 KINDER MORGAN INC DEL COM 49456B101 872 70121 SH SOLE 0 0 70121 KINSALE CAP GROUP INC COM 49714P108 631 3000 SH SOLE 0 0 3000 KLA CORP COM NEW 482480100 384 1750 SH SOLE 0 0 1750 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 394 8162 SH SOLE 0 0 8162 KROGER CO COM 501044101 519 15000 SH SOLE 0 0 15000 KURA ONCOLOGY INC COM 50127T109 510 14900 SH SOLE 0 0 14900 LADDER CAP CORP CL A 505743104 242 34100 SH SOLE 0 0 34100 LAM RESEARCH CORP COM 512807108 1591 4242 SH SOLE 0 0 4242 LANDMARK INFRASTRCTUR PARTR COM UNIT LTD 51508J108 144 15960 SH SOLE 0 0 15960 LILLY ELI & CO COM 532457108 1518 10208 SH SOLE 0 0 10208 LINDE PLC SHS G5494J103 643 2700 SH SOLE 0 0 2700 LISTED FD TR TRUESHS TECH AI 53656F821 2529 59250 SH SOLE 0 0 59250 LISTED FD TR TRUESHS ESG ACTV 53656F813 1509 46330 SH SOLE 0 0 46330 LITTELFUSE INC COM 537008104 376 2000 SH SOLE 0 0 2000 LOCKHEED MARTIN CORP COM 539830109 538 1389 SH SOLE 0 0 1389 LOWES COS INC COM 548661107 962 5506 SH SOLE 0 0 5506 LULULEMON ATHLETICA INC COM 550021109 1119 3150 SH SOLE 0 0 3150 LUMEN TECHNOLOGIES INC COM 156700106 265 26220 SH SOLE 0 0 26220 LYFT INC CL A COM 55087P104 234 8500 SH SOLE 0 0 8500 MACROGENICS INC COM 556099109 540 20915 SH SOLE 0 0 20915 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 203 5550 SH SOLE 0 0 5550 MAGNA INTL INC COM 559222401 206 4500 SH SOLE 0 0 4500 MAIN STR CAP CORP COM 56035L104 6723 227342 SH SOLE 0 0 227342 MANNKIND CORP COM NEW 56400P706 19 10000 SH SOLE 0 0 10000 MARATHON OIL CORP COM 565849106 225 55000 SH SOLE 0 0 55000 MARATHON PETE CORP COM 56585A102 4416 150500 SH SOLE 0 0 150500 MASTERCARD INCORPORATED CL A 57636Q104 1289 3757 SH SOLE 0 0 3757 MCDONALDS CORP COM 580135101 461 2100 SH SOLE 0 0 2100 MCKESSON CORP COM 58155Q103 508 3370 SH SOLE 0 0 3370 MEDICAL PPTYS TRUST INC COM 58463J304 350 19800 SH SOLE 0 0 19800 MEDTRONIC PLC SHS G5960L103 558 5244 SH SOLE 0 0 5244 MEIRAGTX HLDGS PLC COM G59665102 132 10000 SH SOLE 0 0 10000 MERCK & CO. INC COM 58933Y105 1691 21020 SH SOLE 0 0 21020 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 8 15000 SH SOLE 0 0 15000 MERIDA MERGER CORP I COM 58953M106 147 15000 SH SOLE 0 0 15000 MERUS N V COM N5749R100 333 24870 SH SOLE 0 0 24870 MICROSOFT CORP COM 594918104 2862 13082 SH SOLE 0 0 13082 MINERVA NEUROSCIENCES INC COM 603380106 41 12000 SH SOLE 0 0 12000 MOLINA HEALTHCARE INC COM 60855R100 485 2370 SH SOLE 0 0 2370 MONDELEZ INTL INC CL A 609207105 1528 26126 SH SOLE 0 0 26126 MONTAGE RES CORP COM 61179L100 218 49498 SH SOLE 0 0 49498 MOTOROLA SOLUTIONS INC COM NEW 620076307 785 4735 SH SOLE 0 0 4735 MURPHY USA INC COM 626755102 260 2000 SH SOLE 0 0 2000 MYOKARDIA INC COM 62857M105 555 2500 SH SOLE 0 0 2500 NETEASE INC SPONSORED ADS 64110W102 536 5925 SH SOLE 0 0 5925 NEW MTN FIN CORP COM 647551100 209 21875 SH SOLE 0 0 21875 NEW PROVIDENCE ACQUISITION COM CL A 64822P106 247 24450 SH SOLE 0 0 24450 NEW PROVIDENCE ACQUISITION *W EXP 09/11/202 64822P114 13 12225 SH SOLE 0 0 12225 NEW YORK CMNTY BANCORP INC COM 649445103 128 15500 SH SOLE 0 0 15500 NEXTERA ENERGY INC COM 65339F101 296 1067 SH SOLE 0 0 1067 NIKE INC CL B 654106103 519 4030 SH SOLE 0 0 4030 NORFOLK SOUTHN CORP COM 655844108 465 2175 SH SOLE 0 0 2175 NUCOR CORP COM 670346105 291 6000 SH SOLE 0 0 6000 NUVEEN AMT FREE QLTY MUN INC COM 670657105 403 28000 SH SOLE 0 0 28000 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 132 10170 SH SOLE 0 0 10170 NUVEEN QUALITY MUNCP INCOME COM 67066V101 472 32372 SH SOLE 0 0 32372 NVIDIA CORPORATION COM 67066G104 2829 5020 SH SOLE 0 0 5020 ONEOK INC NEW COM 682680103 343 13199 SH SOLE 0 0 13199 ORACLE CORP COM 68389X105 1126 18460 SH SOLE 0 0 18460 PAYPAL HLDGS INC COM 70450Y103 1095 5307 SH SOLE 0 0 5307 PEPSICO INC COM 713448108 500 3500 SH SOLE 0 0 3500 PFIZER INC COM 717081103 1822 49522 SH SOLE 0 0 49522 PHILIP MORRIS INTL INC COM 718172109 3997 52563 SH SOLE 0 0 52563 PIMCO ETF TR ACTIVE BD ETF 72201R775 202 1800 SH SOLE 0 0 1800 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 559 5480 SH SOLE 0 0 5480 PNC FINL SVCS GROUP INC COM 693475105 412 3676 SH SOLE 0 0 3676 PRA GROUP INC COM 69354N106 533 13421 SH SOLE 0 0 13421 PRECIGEN INC COM 74017N105 493 140809 SH SOLE 0 0 140809 PROCTER AND GAMBLE CO COM 742718109 1299 9170 SH SOLE 0 0 9170 PROPETRO HLDG CORP COM 74347M108 122 30000 SH SOLE 0 0 30000 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 661 148490 SH SOLE 0 0 148490 RAYTHEON TECHNOLOGIES CORP COM 75513E101 617 10488 SH SOLE 0 0 10488 REATA PHARMACEUTICALS INC CL A 75615P103 1504 13595 SH SOLE 0 0 13595 RESMED INC COM 761152107 812 4600 SH SOLE 0 0 4600 RESTAURANT BRANDS INTL INC COM 76131D103 693 11824 SH SOLE 0 0 11824 RIVERNORTH MANAGED DUR MUN I COM 76882H105 174 10300 SH SOLE 0 0 10300 ROCKET PHARMACEUTICALS INC COM 77313F106 772 27709 SH SOLE 0 0 27709 SALESFORCE COM INC COM 79466L302 1638 6142 SH SOLE 0 0 6142 SEABOARD CORP COM 811543107 709 250 SH SOLE 0 0 250 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 310 2108 SH SOLE 0 0 2108 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 267 4500 SH SOLE 0 0 4500 SERVICE CORP INTL COM 817565104 337 8000 SH SOLE 0 0 8000 SERVICENOW INC COM 81762P102 3602 6926 SH SOLE 0 0 6926 SIGMATRON INTL INC COM 82661L101 172 55100 SH SOLE 0 0 55100 SNOWFLAKE INC CL A 833445109 2579 10358 SH SOLE 0 0 10358 SPARK ENERGY INC CL A COM 846511103 1831 219992 SH SOLE 0 0 219992 SPDR S&P 500 ETF TR TR UNIT 78462F103 338 1010 SH SOLE 0 0 1010 SPRINGWORKS THERAPEUTICS INC COM 85205L107 655 11200 SH SOLE 0 0 11200 SQUARE INC CL A 852234103 947 5000 SH SOLE 0 0 5000 STARBUCKS CORP COM 855244109 505 5647 SH SOLE 0 0 5647 STELLUS CAP INVT CORP COM 858568108 194 22259 SH SOLE 0 0 22259 STRYKER CORPORATION COM 863667101 499 2266 SH SOLE 0 0 2266 SWITCHBACK ENERGY ACQUISTN C *W EXP 07/25/202 87105M110 901 219742 SH SOLE 0 0 219742 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 903 5360 SH SOLE 0 0 5360 TARGA RES CORP COM 87612G101 181 12897 SH SOLE 0 0 12897 TARGET CORP COM 87612E106 483 2922 SH SOLE 0 0 2922 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 149 14150 SH SOLE 0 0 14150 TELA BIO INC COM 872381108 2698 163121 SH SOLE 0 0 163121 TESLA INC COM 88160R101 215 500 SH SOLE 0 0 500 TEXAS INSTRS INC COM 882508104 929 6040 SH SOLE 0 0 6040 TFF PHARMACEUTICALS INC COM 87241J104 340 21326 SH SOLE 0 0 21326 THERAPEUTICSMD INC COM 88338N107 6789 4296637 SH SOLE 0 0 4296637 THERMO FISHER SCIENTIFIC INC COM 883556102 795 1700 SH SOLE 0 0 1700 THUNDER BRDG ACQUISTION II L CL A SHS G8857S116 125 12500 SH SOLE 0 0 12500 TWILIO INC CL A 90138F102 865 2600 SH SOLE 0 0 2600 TWITTER INC COM 90184L102 929 19700 SH SOLE 0 0 19700 TYLER TECHNOLOGIES INC COM 902252105 349 1000 SH SOLE 0 0 1000 UNION ACQUISITION CORP II *W EXP 04/01/202 G9402Q126 7 12500 SH SOLE 0 0 12500 UNION ACQUISITION CORP II SHS G9402Q100 124 12500 SH SOLE 0 0 12500 UNION PAC CORP COM 907818108 426 2100 SH SOLE 0 0 2100 UNIQURE NV SHS N90064101 5406 148267 SH SOLE 0 0 148267 UNITEDHEALTH GROUP INC COM 91324P102 461 1400 SH SOLE 0 0 1400 UNIVERSAL HLTH SVCS INC CL B 913903100 316 2890 SH SOLE 0 0 2890 US BANCORP DEL COM NEW 902973304 290 7560 SH SOLE 0 0 7560 VANECK VECTORS ETF TR VIDEO GAMING 92189F114 4172 66096 SH SOLE 0 0 66096 VANGUARD INDEX FDS GROWTH ETF 922908736 474 2082 SH SOLE 0 0 2082 VANGUARD WORLD FDS INF TECH ETF 92204A702 360 1155 SH SOLE 0 0 1155 VERISIGN INC COM 92343E102 2875 13246 SH SOLE 0 0 13246 VERIZON COMMUNICATIONS INC COM 92343V104 1438 24233 SH SOLE 0 0 24233 VISA INC COM CL A 92826C839 5132 25237 SH SOLE 0 0 25237 WAITR HLDGS INC COM 930752100 64 20000 SH SOLE 0 0 20000 WALGREENS BOOTS ALLIANCE INC COM 931427108 893 24748 SH SOLE 0 0 24748 WALMART INC COM 931142103 560 4000 SH SOLE 0 0 4000 WASTE MGMT INC DEL COM 94106L109 853 7542 SH SOLE 0 0 7542 WORKDAY INC CL A 98138H101 761 3250 SH SOLE 0 0 3250 XENON PHARMACEUTICALS INC COM 98420N105 288 24500 SH SOLE 0 0 24500 XILINX INC COM 983919101 645 5475 SH SOLE 0 0 5475 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 769 2677 SH SOLE 0 0 2677 ZOGENIX INC COM NEW 98978L204 232 12420 SH SOLE 0 0 12420 ZUORA INC COM CL A 98983V106 217 21000 SH SOLE 0 0 21000