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SMH

Sanders Morris Harris Portfolio holdings

AUM $172M
1-Year Est. Return 22.54%
This Fund
S&P 500
This Quarter Est. Return
+3.98%
1 Year Est. Return
+22.54%
3 Year Est. Return
+83.06%
5 Year Est. Return
+84.26%
10 Year Est. Return
+262.54%
AUM
$330M
AUM Growth
-$100M
Cap. Flow
-$169M
Cap. Flow %
-51.16%
Top 10 Hldgs %
50.03%
Holding
248
New
8
Increased
30
Reduced
73
Closed
90

Top Buys

Rank Stock Value
1
ZTS icon
Zoetis
ZTS
+$3.43M
2
ETN icon
Eaton
ETN
+$2.63M
3
MR
Montage Resources Corporation Common Stock
MR
+$2.05M
4
MEMP
Memorial Production Partners LP Common Units
MEMP
+$1.92M
5
RDI icon
Reading International Class A
RDI
+$1.12M

Top Sells

Rank Stock Value
1
MAIN icon
Main Street Capital
MAIN
+$12.5M
2
TDTF icon
FlexShares iBoxx 5-Year Target Duration TIPS Index Fund
TDTF
+$5.13M
3
XOM icon
ExxonMobil
XOM
+$4.79M
4
SPG icon
Simon Property Group
SPG
+$4.4M
5
IDV icon
iShares International Select Dividend ETF
IDV
+$3.52M

Sector Composition

Rank Sector Weight
1 Financials 27.24%
2 Energy 18.08%
3 Healthcare 13.19%
4 Consumer Discretionary 3.34%
5 Industrials 2.26%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IBB icon
76
iShares Biotechnology ETF
IBB
$9.55B
$521K 0.16%
+5,400
New +$514K
HEP
77
DELISTED
Holly Energy Partners, L.P.
HEP
$496K 0.15%
14,612
– –
XLY icon
78
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$21.9B
$492K 0.15%
12,272
-32,780
-73% -$1.32M
FEP icon
79
First Trust Europe AlphaDEX Fund
FEP
$515M
$474K 0.14%
16,079
-43,111
-73% -$1.24M
CP icon
80
Canadian Pacific Kansas City
CP
$81.4B
$458K 0.14%
15,000
– –
VNQ icon
81
Vanguard Real Estate ETF
VNQ
$40B
$440K 0.13%
5,072
-11,821
-70% -$1.05M
FDN icon
82
First Trust Dow Jones Internet Index Fund ETF
FDN
$5B
$439K 0.13%
5,379
-14,447
-73% -$1.13M
XOP icon
83
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.42B
$433K 0.13%
2,750
-66
-2% -$9.47K
BPL
84
DELISTED
Buckeye Partners, L.P.
BPL
$430K 0.13%
6,000
-446
-7% -$31.7K
TYL icon
85
Tyler Technologies
TYL
$13.7B
$428K 0.13%
+2,500
New +$417K
ROST icon
86
Ross Stores
ROST
$80.5B
$418K 0.13%
6,500
– –
TV icon
87
Televisa
TV
$1.47B
$411K 0.12%
16,000
– –
VWO icon
88
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$411K 0.12%
11
-10,971
-100% -$408K
KO icon
89
Coca-Cola
KO
$380B
$409K 0.12%
9,661
-7,788
-45% -$341K
XLK icon
90
State Street Technology Select Sector SPDR ETF
XLK
$112B
$408K 0.12%
17,072
-47,696
-74% -$1.11M
CSI
91
DELISTED
Cutwater Select Income Fund
CSI
$400K 0.12%
19,734
– –
IEF icon
92
iShares 7-10 Year Treasury Bond ETF
IEF
$47.4B
$398K 0.12%
3,559
-8,845
-71% -$991K
AVT icon
93
Avnet
AVT
$7.07B
$393K 0.12%
9,570
– –
IBM icon
94
IBM
IBM
$214B
$388K 0.12%
2,437
-291
-11% -$44.2K
PX
95
DELISTED
Praxair Inc
PX
$387K 0.12%
3,200
– –
BIV icon
96
Vanguard Intermediate-Term Bond ETF
BIV
$29B
$386K 0.12%
4,394
-13,638
-76% -$1.2M
PFE icon
97
Pfizer
PFE
$144B
$385K 0.12%
12,006
-2,826
-19% -$94.5K
BND icon
98
Vanguard Total Bond Market
BND
$158B
$371K 0.11%
2,011
-2,370
-54% -$199K
FV icon
99
First Trust Dorsey Wright Focus 5 ETF
FV
$3.62B
$369K 0.11%
16,129
-48,462
-75% -$1.11M
AMLP icon
100
Alerian MLP ETF
AMLP
$12.9B
$367K 0.11%
5,785
-12,204
-68% -$772K
2 3
4
5 6

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PWM
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TA
Tiptree Advisors New York $172M AUM 86.65% 1-Year Est. Return
CRFG
Columbia River Financial Group Vancouver, Washington $172M AUM 13.74% 1-Year Est. Return
PSC
Prentiss Smith & Co Brattleboro, Vermont $172M AUM 21.18% 1-Year Est. Return
BAM
Bullseye Asset Management Denver, Colorado $173M AUM 9.48% 1-Year Est. Return
RPSM
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BIA
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Sanders Morris Harris's Q3 2016 Portfolio in Review

As of Q3 2016, Sanders Morris Harris held 248 positions worth $330M, down 23% from $430M the previous quarter. Its ten largest holdings account for 50% of the portfolio.

Sanders Morris Harris withdrew a net $169M in Q3 2016, closing 90 positions and reducing 73 holdings. Its most notable exit was FlexShares iBoxx 5-Year Target Duration TIPS Index Fund, an estimated $5.13M position sold in full.

By sector, the portfolio is most concentrated in Financials at 27% of assets, up from 23% a quarter earlier, followed by Energy and Healthcare.

Against the trend, Sanders Morris Harris opened a new position in Eaton worth $2.68M.

  • Sanders Morris Harris's largest Q3 2016 buy was Eaton: 40,707 shares worth $2.68M.
  • Sanders Morris Harris added most to Zoetis in Q3 2016, an estimated $3.43M increase.
  • Sanders Morris Harris's biggest Q3 2016 reduction was Main Street Capital, cutting an estimated $12.5M.
  • Sanders Morris Harris fully exited FlexShares iBoxx 5-Year Target Duration TIPS Index Fund in Q3 2016, selling an estimated $5.13M.
  • Sanders Morris Harris's ten largest holdings make up 50% of its $330M portfolio in Q3 2016.
  • Sanders Morris Harris opened 8 new positions and closed 90 in Q3 2016.
  • Sanders Morris Harris's portfolio value fell 23% quarter-over-quarter to $330M.

Based on Sanders Morris Harris's 13F filing for Q3 2016, filed 24 Oct 2016.