-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JoXeXusDgYlBXjD9wnjT9ujUGZcTrneUkouH4Vg6jsPuI4MbTM2m2p6eySu8F1+3 WLC7OJjX8kYH9/ZuvXMfqQ== 0001085146-10-000446.txt : 20100513 0001085146-10-000446.hdr.sgml : 20100513 20100512200511 ACCESSION NUMBER: 0001085146-10-000446 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100513 DATE AS OF CHANGE: 20100512 EFFECTIVENESS DATE: 20100513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDERS MORRIS HARRIS GROUP INC CENTRAL INDEX KEY: 0001071341 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 760583569 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13429 FILM NUMBER: 10825948 BUSINESS ADDRESS: STREET 1: 600 TRAVIS STREET 2: SUITE 5800 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7139934610 MAIL ADDRESS: STREET 1: 600 TRAVIS STREET 2: SUITE 5800 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: PINNACLE GLOBAL GROUP INC DATE OF NAME CHANGE: 19980930 13F-HR 1 smhg1q10.txt SANDERS MORRIS HARRIS GROUP INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Sanders Morris Harris Group Inc. Address: 600 Travis Street, Suite 5800 Houston, TX 77002 13F File Number: 028-13429 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: John T. Unger Title: Senior Vice President and General Counsel Phone: 713-993-4645 Signature, Place, and Date of Signing: /s/ John T. Unger Houston, TX May 10, 2010 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 028-12214 Edelman Financial Services, LLC 028-13075 Leonetti & Associates, LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 311 Form 13F Information Table Value Total: $386,876 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 01 028-12760 Sanders Morris Harris Inc. 02 028-10258 SMH Capital Advisors Inc. FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- A D C TELECOMMUNICATIONS FRNT 6/1 000886AB7 332 389000 PRN SOLE 01 389000 0 0 A D C TELECOMMUNICATIONS NOTE 3.500% 7/1 000886AE1 1062 1303000 PRN SOLE 02 1303000 0 0 A D C TELECOMMUNICATIONS NOTE 3.500% 7/1 000886AE1 64 78000 PRN SOLE 01 78000 0 0 ABBOTT LABS COM 002824100 387 7315 SH SOLE 01 7315 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 89 13700 SH SOLE 01 13700 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 524 12359 SH SOLE 01 12359 0 0 ACE LTD SHS H0023R105 405 7684 SH SOLE 01 7684 0 0 AEGON N V NY REGISTRY SH 007924103 96 14131 SH SOLE 01 14131 0 0 AFFYMETRIX INC NOTE 3.500% 1/1 00826TAG3 39898 45083000 PRN SOLE 02 45083000 0 0 AFFYMETRIX INC NOTE 3.500% 1/1 00826TAG3 832 938000 PRN SOLE 01 938000 0 0 AIRCASTLE LTD COM g0129k104 190 20072 SH SOLE 02 20072 0 0 AIXTRON AKTIENGESELLSCHAFT SPONSORED ADR 009606104 414 11472 SH SOLE 01 11472 0 0 AK STL HLDG CORP COM 001547108 766 33301 SH SOLE 01 33301 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 135 41463 SH SOLE 01 41463 0 0 ALLERGAN INC COM 018490102 331 5161 SH SOLE 01 5161 0 0 ALTRIA GROUP INC COM 02209S103 557 27270 SH SOLE 01 27270 0 0 AMAZON COM INC COM 023135106 235 1738 SH SOLE 01 1738 0 0 AMERICAN CAP LTD COM 02503Y103 18 3633 SH SOLE 01 3633 0 0 AMERICAN CAP LTD COM 02503y103 395 77773 SH SOLE 02 77773 0 0 AMERICAN EXPRESS CO COM 025816109 294 7147 SH SOLE 01 7147 0 0 AMGEN INC COM 031162100 289 4860 SH SOLE 01 4860 0 0 AMGEN INC NOTE 0.125% 2/0 031162AN0 3 3000 PRN SOLE 01 3000 0 0 AMGEN INC NOTE 0.375% 2/0 031162AQ3 5 5000 PRN SOLE 01 5000 0 0 ANADARKO PETE CORP COM 032511107 303 4363 SH SOLE 01 4363 0 0 ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 268 7177 SH SOLE 01 7177 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 312 6206 SH SOLE 01 6206 0 0 APOLLO INVT CORP COM 03761U106 1552 121951 SH SOLE 02 121951 0 0 APPLE INC COM 037833100 2621 11352 SH SOLE 01 11352 0 0 ARBOR RLTY TR INC COM 038923108 86 26616 SH SOLE 02 26616 0 0 ARES CAP CORP COM 04010L103 2871 193742 SH SOLE 02 193742 0 0 ARM HLDGS PLC SPONSORED ADR 042068106 446 42239 SH SOLE 01 42239 0 0 ASTROTECH CORP COM 046484101 10098 3145942 SH SOLE 02 3145942 0 0 ASTROTECH CORP COM 046484101 448 135799 SH SOLE 01 135799 0 0 AT&T INC COM 00206R102 1040 39634 SH SOLE 01 39634 0 0 AVON PRODS INC COM 054303102 273 8218 SH SOLE 01 8218 0 0 BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 11 11 SH SOLE 01 11 0 0 BANK OF AMERICA CORPORATION COM 060505104 696 38972 SH SOLE 02 38972 0 0 BANK OF AMERICA CORPORATION COM 060505104 2139 120157 SH SOLE 01 120157 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 357 11550 SH SOLE 01 11550 0 0 BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 369 15300 SH SOLE 01 15300 0 0 BARRICK GOLD CORP COM 067901108 351 9382 SH SOLE 01 9382 0 0 BED BATH & BEYOND INC COM 075896100 131 2966 SH SOLE 01 2966 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 335 4126 SH SOLE 01 4126 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 247 3149 SH SOLE 01 3149 0 0 BIOMED REALTY TRUST INC COM 09063H107 190 11500 SH SOLE 02 11500 0 0 BLACKROCK ENERGY & RES TR COM 09250U101 491 19876 SH SOLE 01 19876 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253u108 614 43845 SH SOLE 02 43845 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 47 3244 SH SOLE 01 3244 0 0 BOEING CO COM 097023105 392 5404 SH SOLE 01 5404 0 0 BP PLC SPONSORED ADR 055622104 6 100 SH SOLE 02 100 0 0 BP PLC SPONSORED ADR 055622104 1224 21591 SH SOLE 01 21591 0 0 BPZ RESOURCES INC COM 055639108 149 21000 SH SOLE 01 21000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 352 13206 SH SOLE 01 13206 0 0 CAE INC COM 124765108 139 14383 SH SOLE 01 14383 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 1752 42632 SH SOLE 01 42632 0 0 CAMERON INTERNATIONAL CORP NOTE 2.500% 6/1 13342BAB1 10 8000 PRN SOLE 01 8000 0 0 CANO PETE INC COM 137801106 81 70000 SH SOLE 01 70000 0 0 CAPITAL GOLD CORP COM NEW 14018Y205 47 13762 SH SOLE 01 13762 0 0 CATERPILLAR INC DEL COM 149123101 1356 21720 SH SOLE 01 21720 0 0 CENTURYTEL INC COM 156700106 248 7000 SH SOLE 01 7000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 263 11705 SH SOLE 01 11705 0 0 CHESAPEAKE ENERGY CORP NOTE 2.500% 5/1 165167BZ9 3 4000 SH SOLE 01 4000 0 0 CHESAPEAKE ENERGY CORP NOTE 2.750%11/1 165167BW6 5 6000 PRN SOLE 01 6000 0 0 CHEVRON CORP NEW COM 166764100 4450 59787 SH SOLE 01 59787 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 223 4639 SH SOLE 01 4639 0 0 CHINA NAT GAS INC COM NEW 168910206 275 29100 SH SOLE 01 29100 0 0 CISCO SYS INC COM 17275R102 821 31027 SH SOLE 01 31027 0 0 CIT GROUP INC COM NEW 125581801 371 9505 SH SOLE 01 9505 0 0 CIT GROUP INC COM NEW 125581801 18857 484020 SH SOLE 02 484020 0 0 CITIGROUP INC COM 172967101 411 96218 SH SOLE 01 96218 0 0 CITIGROUP INC COM 172967101 69 17100 SH SOLE 02 17100 0 0 CITIGROUP INC DEP SH 1/1000 172967598 2 70 SH SOLE 01 70 0 0 CKE RESTAURANTS INC COM 12561E105 1223 111400 SH SOLE 01 111400 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 947 13265 SH SOLE 01 13265 0 0 COCA COLA CO COM 191216100 306 5598 SH SOLE 01 5598 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 212 4141 SH SOLE 01 4141 0 0 COLGATE PALMOLIVE CO COM 194162103 259 3065 SH SOLE 01 3065 0 0 COMCAST CORP NEW CL A 20030N101 245 13361 SH SOLE 01 13361 0 0 COMCAST CORP NEW CL A SPL 20030N200 225 12827 SH SOLE 01 12827 0 0 CONOCOPHILLIPS COM 20825C104 557 10911 SH SOLE 01 10911 0 0 CREDICORP LTD COM G2519Y108 333 3848 SH SOLE 01 3848 0 0 CROSSTEX ENERGY INC COM 22765Y104 105 13000 SH SOLE 01 13000 0 0 CUMMINS INC COM 231021106 552 8855 SH SOLE 01 8855 0 0 CVS CAREMARK CORPORATION COM 126650100 579 15730 SH SOLE 01 15730 0 0 DANA HOLDING CORP COM 235825205 237 19028 SH SOLE 01 19028 0 0 DEERE & CO COM 244199105 892 14728 SH SOLE 01 14728 0 0 DELL INC COM 24702R101 970 64720 SH SOLE 01 64720 0 0 DEVON ENERGY CORP NEW COM 25179M103 350 5530 SH SOLE 01 5530 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 264 3977 SH SOLE 01 3977 0 0 DIRECTV COM CL A 25490A101 386 11539 SH SOLE 01 11539 0 0 DIREXION SHS ETF TR DLY ENRGY BULL3X 25459W888 4 100 SH SOLE 01 100 0 0 DIREXION SHS ETF TR DLY FIN BEAR NEW 25459W490 4 305 SH SOLE 01 305 0 0 DIREXION SHS ETF TR DLY LRG CAP BEAR 25459W854 483 34224 SH SOLE 01 34224 0 0 DIREXION SHS ETF TR DLY SMCAP BEAR3X 25459W839 64 8875 SH SOLE 01 8875 0 0 DISNEY WALT CO COM DISNEY 254687106 326 9242 SH SOLE 01 9242 0 0 DUNCAN ENERGY PARTNERS LP COM UNITS 265026104 1530 56820 SH SOLE 01 56820 0 0 EL PASO CORP COM 28336L109 154 14499 SH SOLE 01 14499 0 0 EMERSON ELEC CO COM 291011104 298 5977 SH SOLE 01 5977 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 718 14550 SH SOLE 01 14550 0 0 ENBRIDGE INC COM 29250N105 202 4261 SH SOLE 01 4261 0 0 ENDEAVOUR INTL CORP COM 29259G101 451 338970 SH SOLE 01 338970 0 0 ENERGY CONVERSION DEVICES IN COM 292659109 5 750 SH SOLE 01 750 0 0 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 56470 89105000 PRN SOLE 02 89105000 0 0 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 1228 1915000 PRN SOLE 01 1915000 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 1700 37295 SH SOLE 01 37295 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 406 23000 SH SOLE 01 23000 0 0 ENTERPRISE GP HLDGS L P UNIT LP INT 293716106 1232 28490 SH SOLE 01 28490 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 8109 239559 SH SOLE 01 239559 0 0 ENTERTAINMENT PPTYS TR COM SH BEN INT 29380T105 281 6835 SH SOLE 02 6835 0 0 EV ENERGY PARTNERS LP COM UNITS 26926V107 396 12815 SH SOLE 01 12815 0 0 EXPRESS SCRIPTS INC COM 302182100 468 4645 SH SOLE 01 4645 0 0 EXXON MOBIL CORP COM 30231G102 26225 394036 SH SOLE 01 394036 0 0 FEDERATED PREM INTR MUN INC COM 31423M105 168 12521 SH SOLE 01 12521 0 0 FEDEX CORP COM 31428X106 791 8654 SH SOLE 01 8654 0 0 FIRSTCITY FINL CORP COM 33761X107 121 21100 SH SOLE 01 21100 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 677 48890 SH SOLE 01 48890 0 0 FORTRESS INVESTMENT GROUP LL CL A 34958B106 98 24455 SH SOLE 02 24455 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 335 4230 SH SOLE 01 4230 0 0 FREEPORT-MCMORAN COPPER & GO PFD CONV 35671D782 7 64 SH SOLE 01 64 0 0 FRESENIUS MED CARE AG&CO KGA SPONSORED ADR 358029106 208 3776 SH SOLE 01 3776 0 0 GARMIN LTD ORD G37260109 214 5345 SH SOLE 01 5345 0 0 GENERAL ELECTRIC CO COM 369604103 971 52932 SH SOLE 01 52932 0 0 GENERAL ELECTRIC CO COM 369604103 271 14912 SH SOLE 02 14912 0 0 GENESIS ENERGY L P UNIT LTD PARTN 371927104 260 13500 SH SOLE 01 13500 0 0 GEORESOURCES INC COM 372476101 378 25000 SH SOLE 01 25000 0 0 GILEAD SCIENCES INC COM 375558103 270 5956 SH SOLE 01 5956 0 0 GILEAD SCIENCES INC NOTE 0.625% 5/0 375558AH6 1 1000 PRN SOLE 01 1000 0 0 GLADSTONE COML CORP COM 376536108 809 55954 SH SOLE 02 55954 0 0 GLADSTONE INVT CORP COM 376546107 368 61612 SH SOLE 02 61612 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 339 8922 SH SOLE 01 8922 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 153 12573 SH SOLE 01 12573 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 313 1808 SH SOLE 01 1808 0 0 GOOGLE INC CL A 38259P508 1313 2335 SH SOLE 01 2335 0 0 GRAN TIERRA ENERGY INC COM 38500T101 5539 948518 SH SOLE 01 948518 0 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 501 5382 SH SOLE 01 5382 0 0 HALLIBURTON CO COM 406216101 297 10131 SH SOLE 01 10131 0 0 HECKMANN CORP COM 422680108 152 26700 SH SOLE 01 26700 0 0 HEWLETT PACKARD CO COM 428236103 1175 21992 SH SOLE 01 21992 0 0 HOME DEPOT INC COM 437076102 1203 36725 SH SOLE 01 36725 0 0 HONEYWELL INTL INC COM 438516106 408 9149 SH SOLE 01 9149 0 0 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 35 1500 SH SOLE 01 1500 0 0 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 115 4790 SH SOLE 02 4790 0 0 HOSPITALITY PPTYS TR NOTE 3.800% 3/1 44106MAK8 14 14000 PRN SOLE 02 14000 0 0 INTEL CORP COM 458140100 18 800 SH SOLE 02 800 0 0 INTEL CORP COM 458140100 659 29646 SH SOLE 01 29646 0 0 INTEL CORP SDCV 2.950%12/1 458140AD2 9 9000 PRN SOLE 01 9000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 830 6422 SH SOLE 01 6422 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2 12 SH SOLE 02 12 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 856 8192 SH SOLE 01 8192 0 0 ISHARES TR EPRA/NAR DEV R/E 464288489 255 8892 SH SOLE 01 8892 0 0 ISHARES TR INDEX BARCLY USAGG B 464287226 646 6198 SH SOLE 01 6198 0 0 ISHARES TR INDEX BARCLYS 1-3 YR 464287457 467 5603 SH SOLE 01 5603 0 0 ISHARES TR INDEX BARCLYS TIPS BD 464287176 1167 11280 SH SOLE 01 11280 0 0 ISHARES TR INDEX DJ US TECH SEC 464287721 636 10875 SH SOLE 01 10875 0 0 ISHARES TR INDEX MSCI EAFE IDX 464287465 521 9382 SH SOLE 01 9382 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 477 11600 SH SOLE 01 11600 0 0 ISHARES TR INDEX RUSSELL 2000 464287655 325 4786 SH SOLE 01 4786 0 0 ISHARES TR INDEX RUSSELL MCP GR 464287481 209 4325 SH SOLE 01 4325 0 0 ISHARES TR INDEX RUSSELL MIDCAP 464287499 241 2710 SH SOLE 01 2710 0 0 ISHARES TR INDEX RUSSELL1000VAL 464287598 461 7570 SH SOLE 01 7570 0 0 ISHARES TR INDEX S&P MIDCAP 400 464287507 618 7881 SH SOLE 01 7881 0 0 ISHARES TR INDEX S&P NA NAT RES 464287374 499 14921 SH SOLE 01 14921 0 0 ISHARES TR INDEX S&P SMLCAP 600 464287804 373 6262 SH SOLE 01 6262 0 0 ISTAR FINL INC COM 45031U101 137 29761 SH SOLE 02 29761 0 0 J CREW GROUP INC COM 46612H402 217 4643 SH SOLE 01 4643 0 0 JA SOLAR HOLDINGS CO LTD NOTE 4.500% 5/1 466090AA5 40277 48454000 PRN SOLE 02 48454000 0 0 JA SOLAR HOLDINGS CO LTD NOTE 4.500% 5/1 466090AA5 512 621000 PRN SOLE 01 621000 0 0 JOHNSON & JOHNSON COM 478160104 1002 15561 SH SOLE 01 15561 0 0 JOY GLOBAL INC COM 481165108 3023 52058 SH SOLE 01 52058 0 0 JPMORGAN CHASE & CO COM 46625H100 667 14818 SH SOLE 01 14818 0 0 JPMORGAN CHASE & CO COM 46625h100 22 500 SH SOLE 02 500 0 0 KAYNE ANDERSON ENRGY TTL RT COM 48660P104 47 1900 SH SOLE 01 1900 0 0 KAYNE ANDERSON MLP INVSMNT C COM 486606106 538 20326 SH SOLE 01 20326 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1551 24130 SH SOLE 01 24130 0 0 KINROSS GOLD CORP COM NO PAR 496902404 173 10192 SH SOLE 01 10192 0 0 KOHLBERG CAPITAL CORP COM 500233101 241 42593 SH SOLE 02 42593 0 0 KRAFT FOODS INC CL A 50075N104 311 10164 SH SOLE 01 10164 0 0 LEVEL 3 COMMUNICATIONS INC COM 52729N100 35 21947 SH SOLE 01 21947 0 0 LEXICON PHARMACEUTICALS INC COM 528872104 59 40000 SH SOLE 01 40000 0 0 LINCOLN ELEC HLDGS INC COM 533900106 469 8720 SH SOLE 01 8720 0 0 LINN ENERGY LLC UNIT LTD LIAB 536020100 1757 69550 SH SOLE 01 69550 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.875% 7/1 538034AB5 530 615000 PRN SOLE 01 615000 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.875% 7/1 538034AB5 14771 16738000 PRN SOLE 02 16738000 0 0 LUBYS INC COM 549282101 426 108700 SH SOLE 01 108700 0 0 LULULEMON ATHLETICA INC COM 550021109 238 5863 SH SOLE 01 5863 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 324 7050 SH SOLE 01 7050 0 0 MAIN STREET CAPITAL CORP COM 56035L104 1946 126296 SH SOLE 01 126296 0 0 MARINER ENERGY INC COM 56845T305 172 12153 SH SOLE 01 12153 0 0 MARKWEST ENERGY PARTNERS L P UNIT LTD PARTN 570759100 392 12690 SH SOLE 01 12690 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 316 15776 SH SOLE 01 15776 0 0 MCDONALDS CORP COM 580135101 280 4163 SH SOLE 01 4163 0 0 MCG CAPITAL CORP COM 58047P107 68 13143 SH SOLE 02 13143 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 167 15970 SH SOLE 02 15970 0 0 MEDTRONIC INC COM 585055106 196 4414 SH SOLE 01 4414 0 0 MEDTRONIC INC NOTE 1.625% 4/1 585055AM8 14 13000 PRN SOLE 01 13000 0 0 MERCK & CO INC NEW COM 58933y105 123 3280 SH SOLE 02 3280 0 0 MERCK & CO INC NEW COM 58933Y105 675 18029 SH SOLE 01 18029 0 0 MERCK & CO INC NEW PFD CONV 6% 58933Y204 7 26 SH SOLE 01 26 0 0 MICROSOFT CORP COM 594918104 1069 36025 SH SOLE 01 36025 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 184 35708 SH SOLE 01 35708 0 0 MONSANTO CO NEW COM 61166W101 200 2812 SH SOLE 01 2812 0 0 NATIONAL FUEL GAS CO N J COM 636180101 356 7008 SH SOLE 01 7008 0 0 NATIONAL RETAIL PROPERTIES I COM 637417106 502 22003 SH SOLE 02 22003 0 0 NATURAL RESOURCE PARTNERS L COM UNIT L P 63900P103 906 35900 SH SOLE 01 35900 0 0 NEXEN INC COM 65334H102 298 12665 SH SOLE 01 12665 0 0 NII HLDGS INC CL B NEW 62913F201 42 1039 SH SOLE 01 1039 0 0 NII HLDGS INC NOTE 3.125% 6/1 62913FAJ1 13911 14760000 PRN SOLE 02 14760000 0 0 NII HLDGS INC NOTE 3.125% 6/1 62913FAJ1 218 231000 PRN SOLE 01 231000 0 0 NIKE INC CL B 654106103 240 3249 SH SOLE 01 3249 0 0 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 269 12849 SH SOLE 01 12849 0 0 NOKIA CORP SPONSORED ADR 654902204 291 18806 SH SOLE 01 18806 0 0 NORFOLK SOUTHERN CORP COM 655844108 319 5824 SH SOLE 01 5824 0 0 NOVARTIS A G SPONSORED ADR 66987V109 757 14067 SH SOLE 01 14067 0 0 NOVO-NORDISK A S ADR 670100205 418 5361 SH SOLE 01 5361 0 0 NUVEEN MUN VALUE FD INC COM 670928100 116 11824 SH SOLE 01 11824 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 385 4703 SH SOLE 01 4703 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 836 14105 SH SOLE 01 14105 0 0 OPNEXT INC COM 68375V105 96 40500 SH SOLE 01 40500 0 0 ORACLE CORP COM 68389X105 562 21890 SH SOLE 01 21890 0 0 OSHKOSH CORP COM 688239201 200 4992 SH SOLE 01 4992 0 0 PACIFIC ASIA PETROLEUM INC COM 693864100 1011 267225 SH SOLE 01 267225 0 0 PATRIOT COAL CORP COM 70336T104 710 35953 SH SOLE 01 35953 0 0 PENGROWTH ENERGY TR TR UNIT NEW 706902509 117 10400 SH SOLE 01 10400 0 0 PENN VA GP HLDGS L P COM UNIT R LIM 70788P105 236 12901 SH SOLE 01 12901 0 0 PEPSICO INC COM 713448108 519 7794 SH SOLE 01 7794 0 0 PETROHAWK ENERGY CORP COM 716495106 551 28159 SH SOLE 01 28159 0 0 PFIZER INC COM 717081103 585 34151 SH SOLE 01 34151 0 0 PFIZER INC COM 717081103 1084 63208 SH SOLE 02 63208 0 0 PHILIP MORRIS INTL INC COM 718172109 789 15140 SH SOLE 01 15140 0 0 PHOTRONICS INC COM 719405102 684 134200 SH SOLE 01 134200 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1658 29855 SH SOLE 01 29855 0 0 PMC COML TR SH BEN INT 693434102 475 64859 SH SOLE 02 64859 0 0 PNC FINL SVCS GROUP INC COM 693475105 311 5221 SH SOLE 01 5221 0 0 POTASH CORP SASK INC COM 73755L107 750 6214 SH SOLE 01 6214 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 768 33434 SH SOLE 01 33434 0 0 POWERSHARES ETF TRUST NASD INTNT ETF 73935X146 347 12635 SH SOLE 01 12635 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1060 22078 SH SOLE 01 22078 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 294 12210 SH SOLE 01 12210 0 0 PRICELINE COM INC COM NEW 741503403 928 3679 SH SOLE 01 3679 0 0 PROCERA NETWORKS INC COM 74269U104 358 847285 SH SOLE 01 847285 0 0 PROCTER & GAMBLE CO COM 742718109 13 200 SH SOLE 02 200 0 0 PROCTER & GAMBLE CO COM 742718109 2282 35831 SH SOLE 01 35831 0 0 PROSHARES TR PSHS SHRT S&P500 74347R503 2395 48368 SH SOLE 02 48368 0 0 PROSHARES TR PSHS ULTRA FINL 74347R743 87 12673 SH SOLE 01 12673 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 258 5237 SH SOLE 01 5237 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 290 23900 SH SOLE 02 23900 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 77 6000 SH SOLE 01 6000 0 0 PROSPERITY BANCSHARES INC COM 743606105 385 9482 SH SOLE 01 9482 0 0 PRUDENTIAL FINL INC COM 744320102 392 6623 SH SOLE 01 6623 0 0 QUALCOMM INC COM 747525103 384 9184 SH SOLE 01 9184 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 217 3940 SH SOLE 01 3940 0 0 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 290 6859 SH SOLE 01 6859 0 0 SANDERS MORRIS HARRIS GROUP COM 80000Q104 3678 592850 SH SOLE 01 592850 0 0 SANOFI AVENTIS SPONSORED ADR 80105N105 388 10390 SH SOLE 01 10390 0 0 SAP AG SPON ADR 803054204 230 4888 SH SOLE 01 4888 0 0 SCHEIN HENRY INC COM 806407102 244 4225 SH SOLE 01 4225 0 0 SEASPAN CORP SHS Y75638109 158 15710 SH SOLE 02 15710 0 0 SIEMENS A G SPONSORED ADR 826197501 226 2311 SH SOLE 01 2311 0 0 SILICON GRAPHICS INTL CORP COM 82706L108 205 19150 SH SOLE 01 19150 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 132 27500 SH SOLE 01 27500 0 0 SK TELECOM LTD SPONSORED ADR 78440P108 249 14291 SH SOLE 01 14291 0 0 SONUS NETWORKS INC COM 835916107 104 40000 SH SOLE 01 40000 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 594 5474 SH SOLE 01 5474 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1096 10089 SH SOLE 01 10089 0 0 SPDR S&P 500 ETF TR UNIT SER 1 S&P 78462F103 1794 15388 SH SOLE 01 15388 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 484 8732 SH SOLE 01 8732 0 0 ST JOE CO COM 790148100 271 8175 SH SOLE 01 8175 0 0 STERLING BANCSHARES INC COM 858907108 72 13483 SH SOLE 01 13483 0 0 STRYKER CORP COM 863667101 306 5401 SH SOLE 01 5401 0 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 301 4500 SH SOLE 01 4500 0 0 SUNTRUST BKS INC COM 867914103 239 9001 SH SOLE 01 9001 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 138 13273 SH SOLE 01 13273 0 0 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 291 11450 SH SOLE 01 11450 0 0 TARGET CORP COM 87612E106 516 9494 SH SOLE 01 9494 0 0 TELECOM ITALIA S P A NEW SPON ADR ORD 87927Y102 35 2432 SH SOLE 01 2432 0 0 TELECOM ITALIA S P A NEW SPON ADR SVGS 87927Y201 193 17294 SH SOLE 01 17294 0 0 TEMPUR PEDIC INTL INC COM 88023U101 208 6872 SH SOLE 01 6872 0 0 TEVA PHARMACEUTICAL FIN CO B NOTE 1.750% 2/0 88165FAA0 5 4000 PRN SOLE 01 4000 0 0 TEVA PHARMACEUTICAL FIN II L DBCV 0.250% 2/0 88164RAB3 4 2000 PRN SOLE 01 2000 0 0 TEVA PHARMACEUTICAL FIN II L DBCV 0.500% 2/0 88164RAA5 10 6000 PRN SOLE 01 6000 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 672 10532 SH SOLE 01 10532 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 277 5476 SH SOLE 01 5476 0 0 TICC CAPITAL CORP COM 87244T109 1700 258016 SH SOLE 02 258016 0 0 TOTAL S A SPONSORED ADR 89151E109 230 4033 SH SOLE 01 4033 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 12 13000 PRN SOLE 01 13000 0 0 TRANSOCEAN LTD REG SHS H8817H100 254 3103 SH SOLE 01 3103 0 0 TRUSTMARK CORP COM 898402102 942 38549 SH SOLE 01 38549 0 0 UNION PAC CORP COM 907818108 211 2907 SH SOLE 01 2907 0 0 UNITED STATES NATL GAS FUND UNIT 912318102 157 22430 SH SOLE 01 22430 0 0 UNITED STATES STL CORP NEW COM 912909108 3352 52558 SH SOLE 01 52558 0 0 UNITED TECHNOLOGIES CORP COM 913017109 311 4218 SH SOLE 01 4218 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1471 18583 SH SOLE 01 18583 0 0 VANGUARD INDEX FDS REIT ETF 922908553 893 18112 SH SOLE 01 18112 0 0 VANGUARD INDEX FDS REIT ETF 922908553 5 101 SH SOLE 02 101 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 376 5978 SH SOLE 01 5978 0 0 VANGUARD INDEX FDS STK MRK ETF 922908769 427 7194 SH SOLE 01 7194 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 429 9787 SH SOLE 01 9787 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 6 142 SH SOLE 02 142 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 526 12752 SH SOLE 01 12752 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1299 26734 SH SOLE 01 26734 0 0 VISA INC COM CL A 92826C839 970 10752 SH SOLE 01 10752 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 518 23601 SH SOLE 01 23601 0 0 WAL MART STORES INC COM 931142103 520 9360 SH SOLE 01 9360 0 0 WALGREEN CO COM 931422109 410 11143 SH SOLE 01 11143 0 0 WALTER ENERGY INC COM 93317Q105 560 6262 SH SOLE 01 6262 0 0 WASTE SERVICES INC DEL COM NEW 941075202 696 68356 SH SOLE 01 68356 0 0 WELLS FARGO & CO NEW COM 949746101 15 495 SH SOLE 02 495 0 0 WELLS FARGO & CO NEW COM 949746101 352 11284 SH SOLE 01 11284 0 0 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 4 4 SH SOLE 01 4 0 0 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 968 24200 SH SOLE 01 24200 0 0 YUM BRANDS INC COM 988498101 687 17950 SH SOLE 01 17950 0 0
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