-----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, D1hWpg9SsvctQmgG/gxDWfxUe1x147o4Onn2izCsbmBKW1URj7uUwOESjdVumhhr sF7IuKV6GFHNdaOIG7dPug== 0001085146-10-000929.txt : 20101112 0001085146-10-000929.hdr.sgml : 20101111 20101110213719 ACCESSION NUMBER: 0001085146-10-000929 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101110 EFFECTIVENESS DATE: 20101112 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: 101181730 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 smhg3q10.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: September 30, 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 November 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: 234 Form 13F Information Table Value Total: $367,639 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 210 2410 SH SOLE 01 2410 0 0 A D C TELECOMMUNICATIONS NOTE 3.500% 7/1 000886AE1 7227 8978000 PRN SOLE 02 8978000 0 0 ABBOTT LABS COM 002824100 286 5507 SH SOLE 01 5507 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 87 12500 SH SOLE 01 12500 0 0 AFFYMETRIX INC NOTE 3.500% 1/1 00826TAG3 781 830000 PRN SOLE 01 830000 0 0 AFFYMETRIX INC NOTE 3.500% 1/1 00826TAG3 42783 44163000 PRN SOLE 02 44163000 0 0 AIRCASTLE LTD COM g0129k104 165 21070 SH SOLE 02 21070 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 121 35870 SH SOLE 01 35870 0 0 ALLERGAN INC COM 018490102 202 3047 SH SOLE 01 3047 0 0 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 206 7990 SH SOLE 02 7990 0 0 ALTRIA GROUP INC COM 02209S103 629 26196 SH SOLE 01 26196 0 0 ALUMINA LTD SPONSORED ADR 022205108 77 10877 SH SOLE 01 10877 0 0 AMERICAN CAP LTD COM 02503y103 359 74378 SH SOLE 02 74378 0 0 AMGEN INC COM 031162100 212 3773 SH SOLE 01 3773 0 0 APOLLO INVT CORP COM 03761U106 1228 131571 SH SOLE 02 131571 0 0 APPLE INC COM 037833100 453 1800 SH SOLE 02 1800 0 0 APPLE INC COM 037833100 2657 9086 SH SOLE 01 9086 0 0 ARBOR RLTY TR INC COM 038923108 106 20600 SH SOLE 02 20600 0 0 ARES CAP CORP COM 04010L103 2534 202199 SH SOLE 02 202199 0 0 ARM HLDGS PLC SPONSORED ADR 042068106 998 50251 SH SOLE 01 50251 0 0 ASTROTECH CORP COM 046484101 157 133244 SH SOLE 01 133244 0 0 ASTROTECH CORP COM 046484101 3493 2816706 SH SOLE 02 2816706 0 0 AT&T INC COM 00206R102 1033 36154 SH SOLE 01 36154 0 0 ATP OIL & GAS CORP COM 00208J108 354 28270 SH SOLE 01 28270 0 0 AVON PRODS INC COM 054303102 267 8310 SH SOLE 01 8310 0 0 BANCO SANTANDER SA ADR 05964H105 161 15318 SH SOLE 02 15318 0 0 BANK OF AMERICA CORPORATION COM 060505104 1186 87429 SH SOLE 01 87429 0 0 BANK OF AMERICA CORPORATION COM 060505104 544 37890 SH SOLE 02 37890 0 0 BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 256 10300 SH SOLE 01 10300 0 0 BARRICK GOLD CORP COM 067901108 313 6748 SH SOLE 01 6748 0 0 BELO CORP COM SER A 080555105 74 12000 SH SOLE 01 12000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 224 2687 SH SOLE 01 2687 0 0 BIOMED REALTY TRUST INC COM 09063H107 229 14260 SH SOLE 02 14260 0 0 BLACKROCK ENERGY & RES TR COM 09250U101 218 9068 SH SOLE 01 9068 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253u108 441 46100 SH SOLE 02 46100 0 0 BOEING CO COM 097023105 255 3941 SH SOLE 01 3941 0 0 BP PLC SPONSORED ADR 055622104 568 14757 SH SOLE 01 14757 0 0 BPZ RESOURCES INC COM 055639108 88 21000 SH SOLE 01 21000 0 0 BRIGHAM EXPLORATION CO COM 109178103 191 10751 SH SOLE 01 10751 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 304 11011 SH SOLE 01 11011 0 0 BUCYRUS INTL INC NEW COM 118759109 3265 45999 SH SOLE 01 45999 0 0 CAMAC ENERGY INC COM 131745101 1337 453625 SH SOLE 01 453625 0 0 CANO PETE INC COM 137801106 36 70000 SH SOLE 01 70000 0 0 CAPITAL GOLD CORP COM NEW 14018Y205 52 13762 SH SOLE 01 13762 0 0 CATERPILLAR INC DEL COM 149123101 1534 19245 SH SOLE 01 19245 0 0 CENTURYLINK INC COM 156700106 344 8763 SH SOLE 01 8763 0 0 CHEVRON CORP NEW COM 166764100 4082 50872 SH SOLE 01 50872 0 0 CHINA NAT GAS INC COM NEW 168910206 99 19200 SH SOLE 01 19200 0 0 CISCO SYS INC COM 17275R102 368 16637 SH SOLE 01 16637 0 0 CIT GROUP INC COM NEW 125581801 15513 458143 SH SOLE 02 458143 0 0 CITIGROUP INC COM 172967101 276 70765 SH SOLE 01 70765 0 0 CITIGROUP INC COM 172967101 64 16900 SH SOLE 02 16900 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 641 10246 SH SOLE 01 10246 0 0 CNOOC LTD SPONSORED ADR 126132109 203 1071 SH SOLE 01 1071 0 0 COCA COLA CO COM 191216100 220 3745 SH SOLE 01 3745 0 0 COLGATE PALMOLIVE CO COM 194162103 200 2544 SH SOLE 01 2544 0 0 CONOCOPHILLIPS COM 20825C104 514 9116 SH SOLE 01 9116 0 0 CREE INC COM 225447101 202 3843 SH SOLE 01 3843 0 0 CROSSTEX ENERGY INC COM 22765Y104 103 13000 SH SOLE 01 13000 0 0 CUMMINS INC COM 231021106 1229 13527 SH SOLE 01 13527 0 0 DANA HLDG CORP COM 235825205 210 17315 SH SOLE 01 17315 0 0 DCP MIDSTREAM PARTNERS LP COM UT LTD PTN 23311P100 205 6200 SH SOLE 01 6200 0 0 DEERE & CO COM 244199105 594 8182 SH SOLE 01 8182 0 0 DELL INC COM 24702R101 193 15282 SH SOLE 01 15282 0 0 DIRECTV COM CL A 25490A101 242 5763 SH SOLE 01 5763 0 0 DIREXION SHS ETF TR DLY LRG CAP BEAR 25459W854 270 21980 SH SOLE 01 21980 0 0 DISNEY WALT CO COM DISNEY 254687106 257 7658 SH SOLE 01 7658 0 0 DUNCAN ENERGY PARTNERS LP COM UNITS 265026104 1739 56820 SH SOLE 01 56820 0 0 EMERSON ELEC CO COM 291011104 256 4798 SH SOLE 01 4798 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 683 12400 SH SOLE 01 12400 0 0 ENDEAVOUR INTL CORP COM 29259G101 156 125970 SH SOLE 01 125970 0 0 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 1337 1924000 PRN SOLE 01 1924000 0 0 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 53309 96706000 PRN SOLE 02 96706000 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 1788 37189 SH SOLE 01 37189 0 0 ENTERPRISE GP HLDGS L P UNIT LP INT 293716106 1482 26090 SH SOLE 01 26090 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 8702 224386 SH SOLE 01 224386 0 0 ENTERTAINMENT PPTYS TR COM SH BEN INT 29380T105 325 8535 SH SOLE 02 8535 0 0 EV ENERGY PARTNERS LP COM UNITS 26926V107 944 27585 SH SOLE 01 27585 0 0 EXELON CORP COM 30161N101 228 5306 SH SOLE 01 5306 0 0 EXXON MOBIL CORP COM 30231G102 24779 401281 SH SOLE 01 401281 0 0 FIRSTCITY FINL CORP COM 33761X107 160 21100 SH SOLE 01 21100 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 467 37212 SH SOLE 01 37212 0 0 FORTRESS INVESTMENT GROUP LL CL A 34958B106 130 45240 SH SOLE 02 45240 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 298 3445 SH SOLE 01 3445 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 439 54414 SH SOLE 01 54414 0 0 GENERAL ELECTRIC CO COM 369604103 156 10842 SH SOLE 02 10842 0 0 GENERAL ELECTRIC CO COM 369604103 825 49619 SH SOLE 01 49619 0 0 GENESIS ENERGY L P UNIT LTD PARTN 371927104 303 13500 SH SOLE 01 13500 0 0 GEORESOURCES INC COM 372476101 340 22500 SH SOLE 01 22500 0 0 GLADSTONE COML CORP COM 376536108 915 55971 SH SOLE 02 55971 0 0 GLADSTONE INVT CORP COM 376546107 336 57567 SH SOLE 02 57567 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 402 9926 SH SOLE 01 9926 0 0 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 564 810000 PRN SOLE 01 810000 0 0 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 17817 30263000 PRN SOLE 02 30263000 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 167 11105 SH SOLE 01 11105 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 208 1415 SH SOLE 01 1415 0 0 GOOGLE INC CL A 38259P508 588 1115 SH SOLE 01 1115 0 0 GOOGLE INC CL A 38259p508 400 900 SH SOLE 02 900 0 0 GRAN TIERRA ENERGY INC COM 38500T101 6860 961668 SH SOLE 01 961668 0 0 HALLIBURTON CO COM 406216101 233 7123 SH SOLE 01 7123 0 0 HATTERAS FINL CORP COM 41902R103 297 9955 SH SOLE 01 9955 0 0 HECKMANN CORP COM 422680108 158 39800 SH SOLE 01 39800 0 0 HERCULES OFFSHORE INC COM 427093109 34 13334 SH SOLE 01 13334 0 0 HEWLETT PACKARD CO COM 428236103 501 12227 SH SOLE 01 12227 0 0 HOLLY ENERGY PARTNERS L P COM UT LTD PTN 435763107 211 4100 SH SOLE 01 4100 0 0 HOME DEPOT INC COM 437076102 422 13329 SH SOLE 01 13329 0 0 HONEYWELL INTL INC COM 438516106 297 6683 SH SOLE 01 6683 0 0 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 200 9480 SH SOLE 02 9480 0 0 HOSPITALITY PPTYS TR NOTE 3.800% 3/1 44106MAK8 14 14000 PRN SOLE 02 14000 0 0 IESI BFC LTD COM 44951D108 915 39865 SH SOLE 01 39865 0 0 ING GROEP N V SPONSORED ADR 456837103 111 10469 SH SOLE 01 10469 0 0 INTEL CORP COM 458140100 376 19369 SH SOLE 01 19369 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 545 4062 SH SOLE 01 4062 0 0 ISHARES TR BARCLYS TIPS BD 464287176 563 5174 SH SOLE 01 5174 0 0 ISHARES TR BARCLY USAGG B 464287226 544 5035 SH SOLE 01 5035 0 0 ISHARES TR MSCI EMERG MKT 464287234 1351 30618 SH SOLE 01 30618 0 0 ISHARES TR IBOXX INV CPBD 464287242 223 2053 SH SOLE 02 2053 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 489 5798 SH SOLE 01 5798 0 0 ISHARES TR RUSSELL MIDCAP 464287499 245 2724 SH SOLE 01 2724 0 0 ISHARES TR S&P MIDCAP 400 464287507 864 10875 SH SOLE 01 10875 0 0 ISHARES TR COHEN&ST RLTY 464287564 419 6676 SH SOLE 01 6676 0 0 ISHARES TR RUSSELL 1000 464287622 687 10835 SH SOLE 01 10835 0 0 ISHARES TR RUSSELL 2000 464287655 321 4796 SH SOLE 01 4796 0 0 ISHARES TR S&P GLO INFRAS 464288372 223 6531 SH SOLE 01 6531 0 0 ISHARES TR HIGH YLD CORP 464288513 352 3969 SH SOLE 01 3969 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 989 9426 SH SOLE 01 9426 0 0 ISHARES TR BARCLYS SH TREA 464288679 384 3486 SH SOLE 01 3486 0 0 ISTAR FINL INC COM 45031U101 116 26000 SH SOLE 02 26000 0 0 JA SOLAR HOLDINGS CO LTD NOTE 4.500% 5/1 466090AA5 755 830000 PRN SOLE 01 830000 0 0 JA SOLAR HOLDINGS CO LTD NOTE 4.500% 5/1 466090AA5 47420 54980000 PRN SOLE 02 54980000 0 0 JETBLUE AIRWAYS CORP COM 477143101 89 15000 SH SOLE 01 15000 0 0 JOHNSON & JOHNSON COM 478160104 683 10988 SH SOLE 01 10988 0 0 JPMORGAN CHASE & CO COM 46625H100 519 13090 SH SOLE 01 13090 0 0 KAYNE ANDERSON MLP INVSMNT C COM 486606106 666 25539 SH SOLE 01 25539 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1892 27486 SH SOLE 01 27486 0 0 KOHLBERG CAPITAL CORP COM 500233101 205 40820 SH SOLE 02 40820 0 0 KRAFT FOODS INC CL A 50075N104 392 12283 SH SOLE 01 12283 0 0 LEVEL 3 COMMUNICATIONS INC COM 52729N100 35 36002 SH SOLE 01 36002 0 0 LEXICON PHARMACEUTICALS INC COM 528872104 59 40000 SH SOLE 01 40000 0 0 LILLY ELI & CO COM 532457108 228 6322 SH SOLE 01 6322 0 0 LINN ENERGY LLC UNIT LTD LIAB 536020100 2050 67380 SH SOLE 01 67380 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.875% 7/1 538034AB5 468 551000 PRN SOLE 01 551000 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.875% 7/1 538034AB5 15410 18455000 PRN SOLE 02 18455000 0 0 LUBYS INC COM 549282101 514 104900 SH SOLE 01 104900 0 0 LULULEMON ATHLETICA INC COM 550021109 252 5822 SH SOLE 01 5822 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 396 7825 SH SOLE 01 7825 0 0 MAIN STREET CAPITAL CORP COM 56035L104 2522 162174 SH SOLE 01 162174 0 0 MARKWEST ENERGY PARTNERS L P UNIT LTD PARTN 570759100 546 15600 SH SOLE 01 15600 0 0 MCDONALDS CORP COM 580135101 782 10409 SH SOLE 01 10409 0 0 MCMORAN EXPLORATION CO COM 582411104 213 13000 SH SOLE 01 13000 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 216 22920 SH SOLE 02 22920 0 0 MERCK & CO INC NEW COM 58933Y105 451 12091 SH SOLE 01 12091 0 0 MICROSOFT CORP COM 594918104 717 28918 SH SOLE 01 28918 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 157 32496 SH SOLE 01 32496 0 0 NATIONAL FUEL GAS CO N J COM 636180101 372 7119 SH SOLE 01 7119 0 0 NATIONAL RETAIL PROPERTIES I COM 637417106 554 25830 SH SOLE 02 25830 0 0 NATURAL RESOURCE PARTNERS L COM UNIT L P 63900P103 1260 46500 SH SOLE 01 46500 0 0 NETFLIX INC COM 64110L106 230 1389 SH SOLE 01 1389 0 0 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 246 10866 SH SOLE 01 10866 0 0 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 1542 44107 SH SOLE 01 44107 0 0 NOKIA CORP SPONSORED ADR 654902204 134 13279 SH SOLE 01 13279 0 0 NORTHROP GRUMMAN CORP COM 666807102 205 3401 SH SOLE 01 3401 0 0 NOVARTIS A G SPONSORED ADR 66987V109 204 3547 SH SOLE 01 3547 0 0 NUSTAR ENERGY LP UNIT COM 67058H102 305 5050 SH SOLE 01 5050 0 0 NUVEEN MUN VALUE FD INC COM 670928100 130 12824 SH SOLE 01 12824 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 340 4449 SH SOLE 01 4449 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 229 3105 SH SOLE 01 3105 0 0 PEPSICO INC COM 713448108 280 4237 SH SOLE 01 4237 0 0 PETROHAWK ENERGY CORP COM 716495106 350 23143 SH SOLE 01 23143 0 0 PFIZER INC COM 717081103 483 27748 SH SOLE 01 27748 0 0 PFIZER INC COM 717081103 934 65493 SH SOLE 02 65493 0 0 PHILIP MORRIS INTL INC COM 718172109 669 11917 SH SOLE 01 11917 0 0 PIMCO HIGH INCOME FD COM SHS 722014107 242 18623 SH SOLE 01 18623 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1771 28650 SH SOLE 01 28650 0 0 PMC COML TR SH BEN INT 693434102 517 63183 SH SOLE 02 63183 0 0 PNC FINL SVCS GROUP INC COM 693475105 270 5087 SH SOLE 01 5087 0 0 POTASH CORP SASK INC COM 73755L107 593 4060 SH SOLE 01 4060 0 0 POWERSHARES ETF TRUST NASD INTNT ETF 73935X146 418 12948 SH SOLE 01 12948 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 398 8022 SH SOLE 01 8022 0 0 POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 376 8422 SH SOLE 01 8422 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 210 7520 SH SOLE 01 7520 0 0 PRICELINE COM INC COM NEW 741503403 269 782 SH SOLE 01 782 0 0 PROCERA NETWORKS INC COM 74269U104 419 820110 SH SOLE 01 820110 0 0 PROCTER & GAMBLE CO COM 742718109 1636 26546 SH SOLE 01 26546 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 223 6850 SH SOLE 01 6850 0 0 PROSHARES TR PSHS SHRT S&P500 74347R503 1757 31948 SH SOLE 02 31948 0 0 PROSHARES TR PSHS ULSHT SP500 74347R883 414 14162 SH SOLE 01 14162 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 259 26790 SH SOLE 02 26790 0 0 PROSPERITY BANCSHARES INC COM 743606105 292 9000 SH SOLE 01 9000 0 0 PUBLIC STORAGE COM 74460D109 218 2484 SH SOLE 02 2484 0 0 QUALCOMM INC COM 747525103 253 5673 SH SOLE 01 5673 0 0 REPUBLIC SVCS INC COM 760759100 322 10550 SH SOLE 01 10550 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 242 4130 SH SOLE 01 4130 0 0 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 355 8372 SH SOLE 01 8372 0 0 SANDERS MORRIS HARRIS GROUP COM 80000Q104 4979 869769 SH SOLE 01 869769 0 0 SANOFI AVENTIS SPONSORED ADR 80105N105 321 9451 SH SOLE 01 9451 0 0 SCHLUMBERGER LTD COM 806857108 229 3779 SH SOLE 01 3779 0 0 SEASPAN CORP SHS Y75638109 149 14870 SH SOLE 02 14870 0 0 SILICON GRAPHICS INTL CORP COM 82706L108 150 19150 SH SOLE 01 19150 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 185 26075 SH SOLE 01 26075 0 0 SK TELECOM LTD SPONSORED ADR 78440P108 204 12011 SH SOLE 01 12011 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1156 9126 SH SOLE 01 9126 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 949 8268 SH SOLE 01 8268 0 0 ST JOE CO COM 790148100 209 8175 SH SOLE 01 8175 0 0 STEEL DYNAMICS INC COM 858119100 781 53850 SH SOLE 01 53850 0 0 STERLING BANCSHARES INC COM 858907108 72 13483 SH SOLE 01 13483 0 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 384 5000 SH SOLE 01 5000 0 0 SUNTRUST BKS INC COM 867914103 241 9248 SH SOLE 01 9248 0 0 SUPER MICRO COMPUTER INC COM 86800U104 115 11900 SH SOLE 01 11900 0 0 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 313 11450 SH SOLE 01 11450 0 0 TARGET CORP COM 87612E106 461 8366 SH SOLE 01 8366 0 0 TELECOM ITALIA S P A NEW SPON ADR SVGS 87927Y201 184 16409 SH SOLE 01 16409 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 314 5730 SH SOLE 01 5730 0 0 TICC CAPITAL CORP COM 87244T109 2078 247402 SH SOLE 02 247402 0 0 TRANSOCEAN LTD REG SHS H8817H100 261 4352 SH SOLE 01 4352 0 0 TRUSTMARK CORP COM 898402102 837 38546 SH SOLE 01 38546 0 0 UNITED STATES NATL GAS FUND UNIT 912318102 132 20530 SH SOLE 01 20530 0 0 UNITED STATES STL CORP NEW COM 912909108 2310 53402 SH SOLE 01 53402 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 205 2531 SH SOLE 02 2531 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1881 22871 SH SOLE 01 22871 0 0 VANGUARD INDEX FDS REIT ETF 922908553 498 9437 SH SOLE 01 9437 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1519 24157 SH SOLE 01 24157 0 0 VANGUARD INDEX FDS STK MRK ETF 922908769 410 7012 SH SOLE 01 7012 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 376 8285 SH SOLE 01 8285 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 200 4447 SH SOLE 01 4447 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1372 28120 SH SOLE 01 28120 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 207 6334 SH SOLE 01 6334 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 411 16018 SH SOLE 01 16018 0 0 WAL MART STORES INC COM 931142103 328 6064 SH SOLE 01 6064 0 0 WALTER ENERGY INC COM 93317Q105 247 2988 SH SOLE 01 2988 0 0 WELLS FARGO & CO NEW COM 949746101 218 8524 SH SOLE 01 8524 0 0 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 1016 24200 SH SOLE 01 24200 0 0 WYNN RESORTS LTD COM 983134107 272 3014 SH SOLE 01 3014 0 0 YUM BRANDS INC COM 988498101 790 16992 SH SOLE 01 16992 0 0
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