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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
NEA icon
126
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.36B
$216K 0.07%
15
-11,913
-100% -$177K
DSL
127
DoubleLine Income Solutions Fund
DSL
$1.22B
$211K 0.06%
11,000
-5,425
-33% -$103K
NKE icon
128
Nike
NKE
$64.1B
$211K 0.06%
4,000
– –
NVG icon
129
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.67B
$210K 0.06%
1,210
-11,254
-90% -$182K
VONV icon
130
Vanguard Russell 1000 Value ETF
VONV
$20.5B
$209K 0.06%
4,524
– –
EW icon
131
Edwards Lifesciences
EW
$49.4B
$205K 0.06%
+5,100
New +$192K
AXP icon
132
American Express
AXP
$224B
$204K 0.06%
3,195
-295
-8% -$19K
FENX
133
DELISTED
Fenix Parts, Inc.
FENX
$199K 0.06%
50,250
-1,749
-3% -$7.41K
NMM icon
134
Navios Maritime Partners
NMM
$2.22B
$190K 0.06%
9,110
+200
+2% +$4.37K
ENLC
135
DELISTED
ENLINK MIDSTREAM, LLC
ENLC
$190K 0.06%
11,334
– –
MRO
136
DELISTED
Marathon Oil Corporation
MRO
$190K 0.06%
12,000
-110
-0.9% -$1.63K
MPT
137
Medical Properties Trust
MPT
$2.84B
$178K 0.05%
12,000
– –
IRG
138
DELISTED
Ignite Restaurant Group, Inc.
IRG
$149K 0.05%
+225,000
New +$262K
AREX
139
DELISTED
Approach Resources Inc.
AREX
$137K 0.04%
40,668
– –
DNP icon
140
DNP Select Income Fund
DNP
$4.14B
$113K 0.03%
11,000
– –
ESTE
141
DELISTED
Earthstone Energy Inc. Class A Common Stock
ESTE
$104K 0.03%
12,100
– –
AMTX icon
142
Aemetis
AMTX
$99.2M
$93K 0.03%
86,048
-2,000
-2% -$3.36K
CCEC
143
Capital Clean Energy Carriers
CCEC
$1.37B
$88K 0.03%
+3,814
New +$91.9K
NADL
144
DELISTED
North Atlantic Drilling Ltd
NADL
$79K 0.02%
26,056
-450
-2% -$1.92K
BRW
145
Saba Capital Income & Opportunities Fund
BRW
$335M
$65K 0.02%
6,200
– –
MCEP
146
DELISTED
Mid-Con Energy Partners, LP
MCEP
$64K 0.02%
1,104
– –
ZNGA
147
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$58K 0.02%
20,000
-1,300
-6% -$3.62K
PED icon
148
PEDEVCO
PED
$144M
$44K 0.01%
1,228
– –
SDR
149
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST II
SDR
$32K 0.01%
23,050
– –
ADGE
150
DELISTED
American Dg Energy Inc
ADGE
$7K ﹤0.01%
25,000
– –
4 5
6
7 8

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TA
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CRFG
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BAM
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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.