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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
+0.24%
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
$216M
AUM Growth
-$114M
Cap. Flow
-$32.1M
Cap. Flow %
-14.87%
Top 10 Hldgs %
60.01%
Holding
166
New
15
Increased
25
Reduced
47
Closed
40

Top Buys

Rank Stock Value
1
EPD icon
Enterprise Products Partners
EPD
+$10M
2
MR
Montage Resources Corporation Common Stock
MR
+$3.44M
3
TWLO icon
Twilio
TWLO
+$2.44M
4
B
Barrick Mining
B
+$2.12M
5
RDI icon
Reading International Class A
RDI
+$1.68M

Top Sells

Rank Stock Value
1
MAIN icon
Main Street Capital
MAIN
+$13.1M
2
BAC icon
Bank of America
BAC
+$7.86M
3
GM icon
General Motors
GM
+$3.21M
4
MEMP
Memorial Production Partners LP Common Units
MEMP
+$3.11M
5
MU icon
Micron Technology
MU
+$2.88M

Sector Composition

Rank Sector Weight
1 Financials 29.51%
2 Energy 23.44%
3 Healthcare 18.86%
4 Consumer Discretionary 4.62%
5 Communication Services 4.55%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADGE
126
DELISTED
American Dg Energy Inc
ADGE
$7K ﹤0.01%
25,000
– –
AGG icon
127
iShares Core US Aggregate Bond ETF
AGG
$138B
– –
-3,443
Closed -$827K
APO icon
128
Apollo Global Management
APO
$70.2B
– –
-76
Closed -$1.37M
BIV icon
129
Vanguard Intermediate-Term Bond ETF
BIV
$28.9B
– –
-4,394
Closed -$386K
BND icon
130
Vanguard Total Bond Market
BND
$158B
– –
-2,011
Closed -$371K
BMY icon
131
Bristol-Myers Squibb
BMY
$130B
– –
-10,850
Closed -$585K
BSV icon
132
Vanguard Short-Term Bond ETF
BSV
$44.7B
– –
-4,251
Closed -$342K
CAT icon
133
Caterpillar
CAT
$364B
– –
-2,350
Closed -$229K
CHRD icon
134
Chord Energy
CHRD
$7.58B
– –
-20,000
Closed -$229K
COP icon
135
ConocoPhillips
COP
$143B
– –
-5,300
Closed -$230K
DB icon
136
Deutsche Bank
DB
$68.7B
– –
-28,000
Closed -$327K
EW icon
137
Edwards Lifesciences
EW
$49.2B
– –
-5,100
Closed -$205K
FCX icon
138
Freeport-McMoran
FCX
$87.3B
– –
-61,025
Closed -$663K
FDN icon
139
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.07B
– –
-5,379
Closed -$439K
FEP icon
140
First Trust Europe AlphaDEX Fund
FEP
$517M
– –
-16,079
Closed -$474K
FL
141
DELISTED
Foot Locker
FL
– –
-4,000
Closed -$271K
FV icon
142
First Trust Dorsey Wright Focus 5 ETF
FV
$3.61B
– –
-16,129
Closed -$369K
IEF icon
143
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
– –
-3,559
Closed -$398K
KKR icon
144
KKR & Co
KKR
$91.1B
– –
-52
Closed -$745K
MFIC icon
145
MidCap Financial Investment
MFIC
$810M
– –
-43
Closed -$749K
MU icon
146
Micron Technology
MU
$882B
– –
-162,000
Closed -$2.88M
NEA icon
147
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.39B
– –
-15
Closed -$216K
NVG icon
148
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.69B
– –
-1,210
Closed -$210K
OCSL icon
149
Oaktree Specialty Lending
OCSL
$1.06B
– –
-38
Closed -$663K
PSEC icon
150
Prospect Capital
PSEC
$1.11B
– –
-1,136
Closed -$1.11M
3 4 5
6
7

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GWCM
Godshalk Welsh Capital Management Radnor, Pennsylvania $172M AUM 16.03% 1-Year Est. Return
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
Royalty Pharma Sub-Manager New York $173M AUM
BIA
Benchmark Investment Advisors Chicago, Illinois $172M AUM

Sanders Morris Harris's Q4 2016 Portfolio in Review

As of Q4 2016, Sanders Morris Harris held 166 positions worth $216M, down 34% from $330M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Sanders Morris Harris withdrew a net $32.1M in Q4 2016, closing 40 positions and reducing 47 holdings. Its most notable exit was Micron Technology, an estimated $2.88M position sold in full.

By sector, the portfolio is most concentrated in Financials at 30% of assets, up from 27% a quarter earlier, followed by Energy and Healthcare.

Against the trend, Sanders Morris Harris opened a new position in Twilio worth $1.88M.

  • Sanders Morris Harris's largest Q4 2016 buy was Twilio: 65,000 shares worth $1.88M.
  • Sanders Morris Harris added most to Enterprise Products Partners in Q4 2016, an estimated $10M increase.
  • Sanders Morris Harris's biggest Q4 2016 reduction was Main Street Capital, cutting an estimated $13.1M.
  • Sanders Morris Harris fully exited Micron Technology in Q4 2016, selling an estimated $2.88M.
  • Sanders Morris Harris's ten largest holdings make up 60% of its $216M portfolio in Q4 2016.
  • Sanders Morris Harris opened 15 new positions and closed 40 in Q4 2016.
  • Sanders Morris Harris's portfolio value fell 34% quarter-over-quarter to $216M.

Based on Sanders Morris Harris's 13F filing for Q4 2016, filed 24 Jan 2017.