0000928204-17-000001.txt : 20170207 0000928204-17-000001.hdr.sgml : 20170207 20170207164349 ACCESSION NUMBER: 0000928204-17-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170207 DATE AS OF CHANGE: 20170207 EFFECTIVENESS DATE: 20170207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WILLIAM HARRIS INVESTORS INC CENTRAL INDEX KEY: 0000928204 IRS NUMBER: 363488341 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04436 FILM NUMBER: 17579596 BUSINESS ADDRESS: STREET 1: 191 NORTH WACKER DRIVE STREET 2: SUITE 1500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126210590 MAIL ADDRESS: STREET 1: 191 NORTH WACKER DRIVE STREET 2: SUITE 1500 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: HARRIS WILLIAM INVESTORS INC DATE OF NAME CHANGE: 19990407 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000928204 XXXXXXXX 12-31-2016 12-31-2016 WILLIAM HARRIS INVESTORS INC

191 NORTH WACKER DRIVE SUITE 1500 CHICAGO IL 60606

13F HOLDINGS REPORT 028-04436 N Marc Bassewitz 312-604-1998 /s/ Marc Bassewitz Chicago IL 02-07-2017 1 129 347482 false 1 0001682021 Vivaldi Capital Management, LLC INFORMATION TABLE 2 filing13f-1216.xml 3M COMPANY COM 88579Y101 137 770 SH SOLE 0 770 0 3M COMPANY COM 88579Y101 230 1288 SH DFND 0 1200 88 ALLERGAN COM G0177J108 473 2252 SH SOLE 0 2252 0 ALPHABET, INC CL C COM 02079K107 653 846 SH SOLE 0 846 0 AMERICAN INTL GROUP, INC COM 026874784 8125 124400 SH DFND 01 124400 0 0 AMERISOURCEBERGEN CORP COM 03073E105 12367 158162 SH SOLE 157877 285 0 ANTARES PHARMA, INC COM 036642106 93 40000 SH SOLE 0 40000 0 APTARGROUP, INC COM 038336103 927 12622 SH SOLE 0 12622 0 AT&T, INC COM 00206R102 210 4931 SH SOLE 0 4931 0 AT&T, INC COM 00206R102 85 2000 SH DFND 0 2000 0 AVID TECH, INC COM 05367P100 101 22915 SH SOLE 0 22915 0 AVID TECH, INC COM 05367P100 38 8560 SH DFND 0 8560 0 BARNES & NOBLE ED, INC COM 06777U101 4887 426084 SH SOLE 426084 0 0 BEACON ROOFING SUPPLY, INC COM 073685109 8712 189095 SH SOLE 189095 0 0 BED BATH & BEYOND, INC COM 075896100 10579 260310 SH SOLE 260310 0 0 BERSHIRE HATHAWAY, INC CL A COM 084670108 12206 50 SH DFND 01 50 0 0 BGC PARTNERS CL A ORD COM 05541T101 7150 698973 SH DFND 01 698973 0 0 BIOTECH PRDCT SVC RSRCH, INC COM 09074L105 2 10000 SH SOLE 0 10000 0 BLACKHAWK NTWK HLDGS, INC COM 09238E104 8876 235583 SH SOLE 235583 0 0 BLACKHAWK NTWK HLDGS, INC COM 09238E104 377 10000 SH DFND 0 0 10000 CALAMOS CONV OPP & INC FD COM 128117108 156 15500 SH SOLE 0 15500 0 CALAMOS CONV OPP & INC FD COM 128117108 40 4000 SH DFND 0 0 4000 CARDAX, INC COM 14141D102 54 674377 SH SOLE 674377 0 0 CHEMICAL & MINING CO CHILE COM 833635105 294 10270 SH SOLE 0 10270 0 CHURCH & DWIGHT, INC COM 171340102 564 12766 SH SOLE 0 12766 0 COMMERCEHUB, INC CL C COM 20084V306 639 42489 SH SOLE 0 42489 0 COMMERCEHUB, INC CL C COM 20084V306 9 568 SH DFND 0 0 568 CVS CORP COM 126650100 475 6020 SH SOLE 0 6020 0 DARLING INGREDIENTS COM 237266101 7708 597051 SH DFND 01 597051 0 0 DAVIDs TEA, INC COM 238661102 4974 726074 SH SOLE 726074 0 0 DAVITA INC COM 23918K108 7773 121076 SH DFND 01 121076 0 0 DEL TACO RESTAURANTS, INC COM 245496104 434 30748 SH SOLE 0 30748 0 DHX MEDIA LTD COM VTG SHS COM 252406707 734 140327 SH SOLE 129533 10794 0 DICKS SPORTING GOODS, INC COM 253393102 8752 164820 SH SOLE 164820 0 0 ENDOLOGIX, INC COM 29266S106 528 92391 SH DFND 0 0 92391 EXELIXIS, INC COM 30161Q104 149 10000 SH DFND 0 0 10000 EXXON MOBIL CORP COM 30231G102 294 3262 SH SOLE 0 3262 0 EXXON MOBIL CORP COM 30231G102 8 89 SH DFND 0 0 89 FANNIE MAE COM 313586109 2548 653403 SH SOLE 333521 319882 0 FOREST CITY RLTY TR, INC CL A COM 345605109 241 11550 SH DFND 0 0 11550 FORTRESS INV GRP LLC CL A COM 34958B106 506 104145 SH SOLE 0 104145 0 FORTRESS INV GRP LLC CL A COM 34958B106 39 8000 SH DFND 0 0 8000 FREDDIE MAC COM 313400301 112 30000 SH SOLE 0 30000 0 GAIN CAPITAL HOLDINGS ORD COM 36268W100 2019 306847 SH DFND 01 306847 0 0 GENERAC HOLDINGS, INC COM 368736104 6522 160099 SH SOLE 160099 0 0 GMS, INC COM 36251C103 3510 119868 SH SOLE 119868 0 0 GRAND CANYON ED, INC COM 38526M106 2143 36664 SH SOLE 36664 0 0 GREAT ELM CAP GRP, INC COM 39036P209 26 7000 SH SOLE 0 7000 0 GREAT ELM CAP GRP, INC COM 39036P209 11 3000 SH DFND 0 0 3000 HARMAN INT'L IND, INC COM 413086109 253 2280 SH SOLE 0 2280 0 HEMISPHERE MEDIA GRP, INC A COM 42365Q103 1713 152963 SH SOLE 152963 0 0 INT'L SPEEDWAY CORP COM 460335201 9748 264891 SH SOLE 264891 0 0 IONIS PHARM, INC COM 462222100 1837 38400 SH SOLE 0 38400 0 IONIS PHARM, INC COM 462222100 1980 41400 SH DFND 0 0 41400 ISHARES CORE US GROWTH COM 464287671 309 7200 SH SOLE 0 7200 0 ISHARES DJ SELECT DIV FD COM 464287168 1363 15385 SH SOLE 14725 660 0 ISHARES DJ US REGIONAL BANKS COM 464288778 703 15499 SH SOLE 0 15499 0 ISHARES DJ US REGIONAL BANKS COM 464288778 38 840 SH DFND 0 0 840 ISHARES RUSSELL 2000 COM 464287655 6473 48000 SH DFND 01 48000 0 0 ISHARES RUSSELL 2000 GROWTH COM 464287648 432 2805 SH SOLE 0 2805 0 JOHNSON & JOHNSON COM 478160104 448 3885 SH SOLE 0 3885 0 JOHNSON & JOHNSON COM 478160104 4 37 SH DFND 0 0 37 KAPSTONE PAPER & PACK CORP COM 48562P103 5887 266970 SH SOLE 202470 64500 0 KAPSTONE PAPER & PACK CORP COM 48562P103 2293 104000 SH DFND 0 0 104000 KAYNE ANDERSON MDSTRM/ENGY COM 48661E108 415 26125 SH SOLE 1000 25125 0 KAYNE ANDERSON MDSTRM/ENGY COM 48661E108 159 10000 SH DFND 0 7000 3000 KEMPHARM, INC COM 488445107 27 9200 SH SOLE 0 9200 0 KEMPHARM, INC COM 488445107 8 2700 SH DFND 0 2700 0 KINGSWAY FINL SRVCS COM 496904202 311 49736 SH DFND 01 49736 0 0 LIBERTY GLOBAL LILAC CL A COM G5480U138 8703 396296 SH DFND 01 396296 0 0 LORAL SPACE & COMM COM 543881106 7494 182550 SH DFND 01 182550 0 0 MACQUARIE INFRASTRUCT LLC COM 55608B105 1405 17201 SH SOLE 0 17201 0 MACQUARIE INFRASTRUCT LLC COM 55608B105 143 1756 SH DFND 0 1756 0 MEDLEY CAPITAL ORD COM 58503F106 4363 580949 SH DFND 01 580949 0 0 MGM RESORTS INTERNATIONAL COM 552953101 569 19741 SH SOLE 0 19741 0 MGM RESORTS INTERNATIONAL COM 552953101 63 2200 SH DFND 0 2200 0 MYLAN, INC COM N59465109 9779 256333 SH SOLE 256333 0 0 NEXSTAR MEDIA GRP, INC CL A COM 65336K103 6995 110508 SH DFND 01 110508 0 0 OUTFRONT MEDIA ORD COM 69007J106 7753 311739 SH DFND 01 311739 0 0 PANACOS PHARM, INC COM 69811Q106 0 25000 SH DFND 0 0 25000 PANERA BREAD CO CL A COM 69840W108 5981 29163 SH SOLE 29163 0 0 PAREXEL INT'L CORP COM 699462107 7488 113937 SH SOLE 113937 0 0 PHILLY SHIPYARD ASA COM R6980X109 570 79733 SH SOLE 79733 0 0 POTBELLY CORP COM 73754Y100 3975 308122 SH SOLE 308122 0 0 POTBELLY CORP COM 73754Y100 193 15000 SH DFND 0 0 15000 PROCTER & GAMBLE COM 742718109 118 1400 SH SOLE 0 1400 0 PROCTER & GAMBLE COM 742718109 84 1000 SH DFND 0 1000 0 REALOGY HOLDINGS ORD COM 75605Y106 6281 244119 SH DFND 01 244119 0 0 RESOURCE CAPITAL REIT COM 76120W708 940 112894 SH DFND 01 112894 0 0 S&P DEPOSITORY RECEIPTS COM 78462F103 7913 35400 SH DFND 01 35400 0 0 SANOFI-AVENTIS RT EXP 12/31/20 COM 80105N113 2 5867 SH SOLE 0 5867 0 SANOFI-AVENTIS RT EXP 12/31/20 COM 80105N113 10 25754 SH DFND 0 0 25754 SENOMYX, INC COM 81724Q107 58 60450 SH SOLE 0 60450 0 SENOMYX, INC COM 81724Q107 14 15000 SH DFND 0 0 15000 SMUCKER J M CO COM 832696405 464 3621 SH SOLE 0 3621 0 SOLAR CAP LTD COM 83413U100 447 21450 SH SOLE 0 21450 0 SOLAR CAP LTD COM 83413U100 229 11000 SH DFND 0 5000 6000 SOLAR SENIOR CAPITAL LTD COM 83416M105 2045 124401 SH SOLE 38104 86297 0 SOLAR SENIOR CAPITAL LTD COM 83416M105 123 7490 SH DFND 0 4990 2500 SPDR HEALTHCARE SELECT COM 81369Y209 486 7048 SH SOLE 0 7048 0 SPDR HEALTHCARE SELECT COM 81369Y209 103 1500 SH DFND 0 1500 0 SPEEDWAY MOTORSPORTS, INC COM 847788106 3876 178887 SH SOLE 178887 0 0 STERICYCLE, INC COM 858912108 7851 101903 SH SOLE 101903 0 0 SYNERGY RESOURCES CORP COM 87164P103 5089 571187 SH SOLE 571187 0 0 TEMPUR-SEALY INTL,INC COM 88023U101 1661 24321 SH SOLE 24321 0 0 TERRAFORM POWER, INC CL A COM 88104R100 210 16360 SH SOLE 0 16360 0 TERRAFORM POWER, INC CL A COM 88104R100 13 1000 SH DFND 0 0 1000 TEVA PHARM INDS LTD ADR COM 881624209 5427 149704 SH SOLE 149704 0 0 TREEHOUSE FOODS, INC COM 89469A104 8429 116762 SH SOLE 116762 0 0 TWENTY-1ST CENT FOX, INC CL A COM 90130A101 62 2226 SH SOLE 0 2226 0 TWENTY-1ST CENT FOX, INC CL A COM 90130A101 7069 252100 SH DFND 01 252100 0 0 TWO HARBORS INV CORP COM 90187B101 414 47500 SH SOLE 0 47500 0 TWO HARBORS INV CORP COM 90187B101 13 1500 SH DFND 0 0 1500 VANECK VECTORS GOLD MINERS COM 92189F106 410 19580 SH SOLE 0 19580 0 VANGUARD FTSE EUROPE COM 922042874 407 8500 SH SOLE 0 8500 0 VENTAS, INC COM 92276F100 139 2227 SH SOLE 0 2227 0 VENTAS, INC COM 92276F100 156 2500 SH DFND 0 0 2500 VISA, INC COM 92826C839 485 6218 SH SOLE 0 6218 0 VISA, INC COM 92826C839 312 4000 SH DFND 0 4000 0 VISHAY PRECISION GROUP ORD COM 92835K103 926 49011 SH DFND 01 49011 0 0 WELLS FARGO & CO COM 949746101 725 13150 SH SOLE 0 13150 0 WELLS FARGO & CO COM 949746101 55 1000 SH DFND 0 0 1000 WHOLE FOODS MKT, INC COM 966837106 10946 355838 SH SOLE 354538 1300 0 WISDOMTREE INDIA ETF COM 97717W422 371 18360 SH SOLE 0 18360 0 IRONWOOD PHARM COM 46333X108 301 19662 SH SOLE 0 19662 0 SHAKE SHACK, INC CL A COM 819047101 34724 970218 SH SOLE 0 970218 0 SHAKE SHACK, INC CL A COM 819047101 9305 260000 SH SOLE 0 260000 0 SHAKE SHACK, INC CL A COM 819047101 1077 30099 SH SOLE 0 30099 0 SOTHEBY'S COM 835898107 344 8642 SH SOLE 0 8642 0