0001085146-22-003285.txt : 20221007 0001085146-22-003285.hdr.sgml : 20221007 20221007161048 ACCESSION NUMBER: 0001085146-22-003285 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221007 DATE AS OF CHANGE: 20221007 EFFECTIVENESS DATE: 20221007 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDERS MORRIS HARRIS LLC CENTRAL INDEX KEY: 0001053994 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12760 FILM NUMBER: 221300869 BUSINESS ADDRESS: STREET 1: 3100 CHASE TOWER CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7132243100 MAIL ADDRESS: STREET 1: 600 TRAVIS, SUITE 5900 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC. DATE OF NAME CHANGE: 20110404 FORMER COMPANY: FORMER CONFORMED NAME: SMH CAPITAL INC. DATE OF NAME CHANGE: 20080311 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC/FA DATE OF NAME CHANGE: 20000208 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001053994 XXXXXXXX 09-30-2022 09-30-2022 false SANDERS MORRIS HARRIS LLC

600 Travis, Suite 5900 Houston TX 77002

13F HOLDINGS REPORT 028-12760 Y SANDERS MORRIS HARRIS LLC FORMERLY SUBMITTED A 13F-NT REPORT ASSOCIATED WITH THE 13F-HR REPORT OF PINNACLE SUMMER INVESTMENTS, INC. - FILE NUMBER 028-13429 David Block 713-226-4808 /s/ David Block Houston TX 10-06-2022 0 298 408318 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 26 CAPITAL ACQUISITION CORP COM CL A 90138P100 99 10000 SH SOLE 10000 0 0 7GC & CO HOLDINGS INC COM CL A 81786A107 99 10000 SH SOLE 10000 0 0 ABBOTT LABS COM 002824100 773 7785 SH SOLE 7785 0 0 ABBVIE INC COM 00287Y109 3180 23096 SH SOLE 23096 0 0 ACADEMY SPORTS & OUTDOORS IN COM 00402L107 211 5000 SH SOLE 5000 0 0 ACCELERATE ACQUISITION CORP COM CL A 00439D102 492 50000 SH SOLE 50000 0 0 ACTIVISION BLIZZARD INC COM 00507V109 690 9255 SH SOLE 9255 0 0 ADIT EDTECH ACQUISITION CORP COMMON STOCK 007024102 288 29000 SH SOLE 29000 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 980 3440 SH SOLE 3440 0 0 ADVANCED MICRO DEVICES INC COM 007903107 1968 29901 SH SOLE 29901 0 0 AIR PRODS & CHEMS INC COM 009158106 533 2290 SH SOLE 2290 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 379 4740 SH SOLE 4740 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 688 3500 SH SOLE 3500 0 0 ALPHABET INC CAP STK CL A 02079K305 457 4780 SH SOLE 4780 0 0 ALPHABET INC CAP STK CL C 02079K107 2174 21920 SH SOLE 21920 0 0 ALTRIA GROUP INC COM 02209S103 811 19785 SH SOLE 19785 0 0 AMAZON COM INC COM 023135106 2179 18895 SH SOLE 18895 0 0 AMDOCS LTD SHS G02602103 446 5500 SH SOLE 5500 0 0 AMERICA FIRST MULTIFAMILY IN BEN UNIT CTF 02364V206 228 13167 SH SOLE 13167 0 0 AMERICAN EXPRESS CO COM 025816109 426 3042 SH SOLE 3042 0 0 AMGEN INC COM 031162100 991 4292 SH SOLE 4292 0 0 ANTERO RESOURCES CORP COM 03674X106 596 19527 SH SOLE 19527 0 0 APPLE INC COM 037833100 691 5000 SH OTR 5000 0 0 APPLE INC COM 037833100 17684 125813 SH SOLE 125813 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 395 657364 SH SOLE 657364 0 0 ARDAGH METAL PACKAGING S A SHS L02235106 255 52500 SH SOLE 52500 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 348 35000 SH SOLE 35000 0 0 ARGENX SE SPONSORED ADR 04016X101 644 1830 SH SOLE 1830 0 0 ARK ETF TR INNOVATION ETF 00214Q104 9116 241607 SH SOLE 241607 0 0 ARK ETF TR INNOVATION ETF 00214Q104 353 9350 SH OTR 9350 0 0 AST SPACEMOBILE INC COM CL A 00217D100 127 17687 SH SOLE 17687 0 0 ASTREA ACQUISITION CORP COM CL A 04637C106 207 21000 SH SOLE 21000 0 0 AT&T INC COM 00206R102 1082 68943 SH SOLE 68943 0 0 ATLAS CREST INVESTMENT CORP COM CL A 049287105 172 17492 SH SOLE 17492 0 0 ATLASSIAN CORP PLC CL A G06242104 559 0 SH SOLE 0 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 569 2450 SH SOLE 2450 0 0 AUTONATION INC COM 05329W102 509 5000 SH SOLE 5000 0 0 AVNET INC COM 053807103 346 9570 SH SOLE 9570 0 0 BAUSCH HEALTH COS INC COM 071734107 247 35013 SH SOLE 35013 0 0 BAXTER INTL INC COM 071813109 281 5100 SH SOLE 5100 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 3711 9 SH SOLE 9 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 306 1146 SH SOLE 1146 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 347 4000 SH SOLE 4000 0 0 BITE ACQUISITION CORP COMMON STOCK 09175K105 196 19998 SH SOLE 19998 0 0 BK OF AMERICA CORP COM 060505104 295 9761 SH SOLE 9761 0 0 BLACKROCK CORE BD TR SHS BEN INT 09249E101 401 40155 SH SOLE 40155 0 0 BLACKROCK INC COM 09247X101 686 1246 SH SOLE 1246 0 0 BLACKSTONE INC COM 09260D107 42687 509419 SH SOLE 509419 0 0 BLACKSTONE INC COM 09260D107 1926 23000 SH OTR 23000 0 0 BLOCK INC CL A 852234103 272 4870 SH SOLE 4870 0 0 BOEING CO COM 097023105 432 3475 SH SOLE 3475 0 0 BOQII HLDG LTD SPONSORED ADS 09950L203 106 89780 SH SOLE 89780 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 2792 39364 SH SOLE 39364 0 0 BROADCOM INC COM 11135F101 899 1964 SH SOLE 1964 0 0 BROADMARK RLTY CAP INC COM 11135B100 66 13000 SH SOLE 13000 0 0 CADENCE BANK COM 12740C103 810 31864 SH SOLE 31864 0 0 CANADIAN NAT RES LTD COM 136385101 382 8200 SH SOLE 8200 0 0 CANADIAN PAC RY LTD COM 13645T100 1088 15479 SH SOLE 15479 0 0 CAPITAL SOUTHWEST CORP COM 140501107 12131 716139 SH SOLE 716139 0 0 CARTESIAN GROWTH CORP CL A SHS G19276107 99 10000 SH SOLE 10000 0 0 CATERPILLAR INC COM 149123101 292 1775 SH SOLE 1775 0 0 CELANESE CORP DEL COM 150870103 474 5000 SH SOLE 5000 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 389 1217 SH SOLE 1217 0 0 CIGNA CORP NEW COM 125523100 1291 4493 SH SOLE 4493 0 0 CINTAS CORP COM 172908105 4953 12357 SH SOLE 12357 0 0 CISCO SYS INC COM 17275R102 280 6775 SH SOLE 6775 0 0 CITIGROUP INC COM NEW 172967424 208 4989 SH SOLE 4989 0 0 CLEAR CHANNEL OUTDOOR HLDGS COM 18453H106 24 15840 SH SOLE 15840 0 0 CLOROX CO DEL COM 189054109 283 2183 SH SOLE 2183 0 0 COCA COLA CO COM 191216100 430 7681 SH SOLE 7681 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 355 6000 SH SOLE 6000 0 0 COLGATE PALMOLIVE CO COM 194162103 350 4920 SH SOLE 4920 0 0 COLLABORATIVE INVESTMNT SER RAREVIEW DYNAMIC 19423L722 242 11025 SH SOLE 11025 0 0 COMCAST CORP NEW CL A 20030N101 333 10877 SH SOLE 10877 0 0 COMSTOCK RES INC COM 205768302 2559 148000 SH SOLE 148000 0 0 CONOCOPHILLIPS COM 20825C104 661 6458 SH SOLE 6458 0 0 CORNER GROWTH ACQUISITN CORP CLASS A ORD SHS G2426E104 101 10000 SH SOLE 10000 0 0 CRESTWOOD EQUITY PARTNERS LP UNIT LTD PARTNER 226344208 294 10570 SH SOLE 10570 0 0 CRINETICS PHARMACEUTICALS IN COM 22663K107 353 18600 SH SOLE 18600 0 0 CROWN CASTLE INC COM 22822V101 10 70 SH OTR 70 0 0 CROWN CASTLE INC COM 22822V101 254 1760 SH SOLE 1760 0 0 CROWN ELECTROKINETICS CORP COM NEW 228339206 7 29124 SH SOLE 29124 0 0 CSX CORP COM 126408103 618 22500 SH SOLE 22500 0 0 CUE BIOPHARMA INC COM 22978P106 2020 848048 SH SOLE 848048 0 0 CULLEN FROST BANKERS INC COM 229899109 264 2000 SH SOLE 2000 0 0 CUMMINS INC COM 231021106 236 1161 SH SOLE 1161 0 0 CVS HEALTH CORP COM 126650100 584 5974 SH SOLE 5974 0 0 CYTOKINETICS INC COM NEW 23282W605 1062 20755 SH SOLE 20755 0 0 DATADOG INC CL A COM 23804L103 766 8411 SH SOLE 8411 0 0 DEVON ENERGY CORP NEW COM 25179M103 289 4800 SH SOLE 4800 0 0 DEXCOM INC COM 252131107 340 4000 SH SOLE 4000 0 0 DIAGEO PLC SPON ADR NEW 25243Q205 225 1325 SH SOLE 1325 0 0 DISH NETWORK CORPORATION CL A 25470M109 151 10200 SH SOLE 10200 0 0 DISNEY WALT CO COM 254687106 1791 18538 SH SOLE 18538 0 0 DRAFTKINGS INC NEW COM CL A 26142V105 185 12191 SH SOLE 12191 0 0 DROPBOX INC CL A 26210C104 277 12970 SH SOLE 12970 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 247 2650 SH SOLE 2650 0 0 E2OPEN PARENT HOLDINGS INC COM CL A 29788T103 165 27200 SH SOLE 27200 0 0 EARTHSTONE ENERGY INC CL A 27032D304 1876 152300 SH SOLE 152300 0 0 EATON CORP PLC SHS G29183103 320 2400 SH SOLE 2400 0 0 ECOLAB INC COM 278865100 860 5752 SH SOLE 5752 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 395 4620 SH SOLE 4620 0 0 ELANCO ANIMAL HEALTH INC COM 28414H103 7418 597800 SH SOLE 597800 0 0 ELECTRONIC ARTS INC COM 285512109 641 5350 SH SOLE 5350 0 0 ELEVANCE HEALTH INC COM 036752103 893 1900 SH SOLE 1900 0 0 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 767 68525 SH SOLE 68525 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 13902 584390 SH SOLE 584390 0 0 EQUIFAX INC COM 294429105 360 2100 SH SOLE 2100 0 0 ESPERION THERAPEUTICS INC NE COM 29664W105 80 12200 SH SOLE 12200 0 0 EXXON MOBIL CORP COM 30231G102 4004 45857 SH SOLE 45857 0 0 FAST ACQUISITION CORP II CL A 311874101 98 10000 SH SOLE 10000 0 0 FEDEX CORP COM 31428X106 486 3200 SH SOLE 3200 0 0 FIGS INC CL A 30260D103 1565 189600 SH SOLE 189600 0 0 FIRSTCASH HOLDINGS INC COM 33768G107 220 3000 SH SOLE 3000 0 0 FORD MTR CO DEL COM 345370860 7811 697400 SH SOLE 697400 0 0 FORTRESS TRANS INFRST INVS L CL A COM SHS 34960P101 330 22000 SH SOLE 22000 0 0 FORUM MERGER IV CORP CLASS A COM 349875104 492 50000 SH SOLE 50000 0 0 FRONTIER COMMUNICATIONS PARE COM 35909D109 2003 83177 SH SOLE 83177 0 0 FTAC ATHENA ACQUISITION CORP CL A SHS G37283101 99 10000 SH SOLE 10000 0 0 FTAI INFRASTRUCTURE INC COMMON STOCK 35953C106 52 22000 SH SOLE 22000 0 0 GENERAL DYNAMICS CORP COM 369550108 739 3375 SH SOLE 3375 0 0 GENERAL ELECTRIC CO COM NEW 369604301 475 7473 SH SOLE 7473 0 0 GENESIS ENERGY L P UNIT LTD PARTN 371927104 318 34300 SH SOLE 34300 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 444 6500 SH SOLE 6500 0 0 GLOBAL PARTNERS LP COM UNITS 37946R109 915 36950 SH SOLE 36950 0 0 GOAL ACQUISITIONS CORP COM 38021H107 277 28000 SH SOLE 28000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1770 5908 SH SOLE 5908 0 0 GRAN TIERRA ENERGY INC COM 38500T101 150 123667 SH SOLE 123667 0 0 GX ACQUISITION CORP II CLASS A COM 36260F105 983 100000 SH SOLE 100000 0 0 HALLADOR ENERGY COMPANY COM 40609P105 74 13165 SH SOLE 13165 0 0 HCA HEALTHCARE INC COM 40412C101 703 3631 SH SOLE 3631 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 322 26000 SH SOLE 26000 0 0 HOME DEPOT INC COM 437076102 1424 5160 SH SOLE 5160 0 0 HORMEL FOODS CORP COM 440452100 284 6250 SH SOLE 6250 0 0 HP INC COM 40434L105 389 15000 SH SOLE 15000 0 0 INCYTE CORP COM 45337C102 877 13000 SH SOLE 13000 0 0 INSIGHT SELECT INCOME FD COM 45781W109 303 19734 SH SOLE 19734 0 0 INTEL CORP COM 458140100 423 15695 SH SOLE 15695 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 499 4200 SH SOLE 4200 0 0 INTERPRIVATE II ACQUISITION CL A COM 46064Q108 493 50000 SH SOLE 50000 0 0 INTERPRIVATE III FINANCIAL P COM CL A 46064R106 490 50000 SH SOLE 50000 0 0 INTUIT COM 461202103 1731 4346 SH SOLE 4346 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 65531 245196 SH SOLE 245196 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 2659 9950 SH OTR 9950 0 0 INVITAE CORP COM 46185L103 37 14560 SH SOLE 14560 0 0 IOVANCE BIOTHERAPEUTICS INC COM 462260100 152 16200 SH SOLE 16200 0 0 ISHARES TR CORE S&P SCP ETF 464287804 201 2306 SH SOLE 2306 0 0 ISHARES TR CORE S&P500 ETF 464287200 287 800 SH SOLE 800 0 0 ISHARES TR INTRM GOV CR ETF 464288612 407 4000 SH SOLE 4000 0 0 ISHARES TR PFD AND INCM SEC 464288687 222 7000 SH SOLE 7000 0 0 ISHARES TR SHORT TREAS BD 464288679 235 2132 SH SOLE 2132 0 0 JACK CREEK INVESTMENT CORP CL A SHS G4989X115 100 10000 SH SOLE 10000 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 487 3600 SH SOLE 3600 0 0 JOHNSON & JOHNSON COM 478160104 1400 8570 SH SOLE 8570 0 0 JPMORGAN CHASE & CO COM 46625H100 2077 19662 SH SOLE 19662 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 496 61200 SH SOLE 61200 0 0 KINDER MORGAN INC DEL COM 49456B101 1059 62620 SH SOLE 62620 0 0 KINSALE CAP GROUP INC COM 49714P108 745 2850 SH SOLE 2850 0 0 KLA CORP COM NEW 482480100 555 1750 SH SOLE 1750 0 0 KROGER CO COM 501044101 655 15000 SH SOLE 15000 0 0 KURA ONCOLOGY INC COM 50127T109 194 14900 SH SOLE 14900 0 0 LADDER CAP CORP CL A 505743104 261 29100 SH SOLE 29100 0 0 LAM RESEARCH CORP COM 512807108 1656 4242 SH SOLE 4242 0 0 LANTERN PHARMA INC COM 51654W101 1721 365930 SH SOLE 365930 0 0 LILLY ELI & CO COM 532457108 3227 9996 SH SOLE 9996 0 0 LINDE PLC SHS G5494J103 701 2600 SH SOLE 2600 0 0 LITTELFUSE INC COM 537008104 415 2000 SH SOLE 2000 0 0 LIVE OAK MOBILITY ACQUISI CO COM CL A 538126103 99 10000 SH SOLE 10000 0 0 LOCKHEED MARTIN CORP COM 539830109 757 1924 SH SOLE 1924 0 0 LOEWS CORP COM 540424108 281 5494 SH SOLE 5494 0 0 LOGICBIO THERAPEUTICS INC COM 54142F102 4 15000 SH SOLE 15000 0 0 LONGVIEW ACQUISITION CORP II COM CL A 54319Q105 98 10000 SH SOLE 10000 0 0 LOWES COS INC COM 548661107 1109 5706 SH SOLE 5706 0 0 LULULEMON ATHLETICA INC COM 550021109 879 3000 SH SOLE 3000 0 0 LUMEN TECHNOLOGIES INC COM 550241103 143 19720 SH SOLE 19720 0 0 MACROGENICS INC COM 556099109 64 18345 SH SOLE 18345 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 314 6550 SH SOLE 6550 0 0 MAIN STR CAP CORP COM 56035L104 7463 221867 SH SOLE 221867 0 0 MARLIN TECHNOLOGY CORP CL A SHS G58411102 125 12495 SH SOLE 12495 0 0 MARQETA INC CLASS A COM 57142B104 463 65000 SH SOLE 65000 0 0 MASTERCARD INCORPORATED CL A 57636Q104 1355 4696 SH SOLE 4696 0 0 MATTERPORT INC COM CL A 577096100 39 10200 SH SOLE 10200 0 0 MCDONALDS CORP COM 580135101 577 2500 SH SOLE 2500 0 0 MCKESSON CORP COM 58155Q103 1168 3370 SH SOLE 3370 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 133 11230 SH SOLE 11230 0 0 MEDTRONIC PLC SHS G5960L103 392 4744 SH SOLE 4744 0 0 MERCK & CO INC COM 58933Y105 482 5544 SH SOLE 5544 0 0 MERUS N V COM N5749R100 495 24870 SH SOLE 24870 0 0 META PLATFORMS INC CL A 30303M102 729 5268 SH SOLE 5268 0 0 MICROSOFT CORP COM 594918104 3569 15035 SH SOLE 15035 0 0 MISSION PRODUCE INC COM 60510V108 145 10000 SH SOLE 10000 0 0 MOLINA HEALTHCARE INC COM 60855R100 802 2370 SH SOLE 2370 0 0 MONDELEZ INTL INC CL A 609207105 1400 24926 SH SOLE 24926 0 0 MORINGA ACQUISITION CORP CL A SHS G6S23K108 104 10500 SH SOLE 10500 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 1086 4735 SH SOLE 4735 0 0 MPLX LP COM UNIT REP LTD 55336V100 236 7823 SH SOLE 7823 0 0 MURPHY USA INC COM 626755102 568 2000 SH SOLE 2000 0 0 NEW MTN FIN CORP COM 647551100 252 21875 SH SOLE 21875 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 231 27180 SH SOLE 27180 0 0 NEWBURY STREET ACQUISITN COR COM 65101L104 245 25000 SH SOLE 25000 0 0 NEXTERA ENERGY INC COM 65339F101 362 4618 SH SOLE 4618 0 0 NIKE INC CL B 654106103 346 4030 SH SOLE 4030 0 0 NORFOLK SOUTHN CORP COM 655844108 456 2175 SH SOLE 2175 0 0 NUCOR CORP COM 670346105 687 6000 SH SOLE 6000 0 0 NUTRIEN LTD COM 67077M108 210 2500 SH SOLE 2500 0 0 NVIDIA CORPORATION COM 67066G104 8979 71692 SH SOLE 71692 0 0 NXP SEMICONDUCTORS N V COM N6596X109 3411 22454 SH SOLE 22454 0 0 ONEOK INC NEW COM 682680103 728 14199 SH SOLE 14199 0 0 ORACLE CORP COM 68389X105 1225 19460 SH SOLE 19460 0 0 OUSTER INC COM 68989M103 10 10000 SH SOLE 10000 0 0 OYSTER ENTERPRISES ACQ CORP COM CL A 69242M104 345 35000 SH SOLE 35000 0 0 P3 HEALTH PARTNERS INC COM CL A 744413105 599 122998 SH SOLE 122998 0 0 PAGAYA TECHNOLOGIES LTD CL A SHS M7S64L115 35 20001 SH SOLE 20001 0 0 PALANTIR TECHNOLOGIES INC CL A 69608A108 610 75000 SH SOLE 75000 0 0 PAYPAL HLDGS INC COM 70450Y103 741 8487 SH SOLE 8487 0 0 PEPSICO INC COM 713448108 629 3815 SH SOLE 3815 0 0 PERIDOT ACQUISITION CORP II SHS CL A G7008B105 149 15000 SH SOLE 15000 0 0 PERMIAN RESOURCES CORP CLASS A COM 71424F105 4557 606656 SH SOLE 606656 0 0 PFIZER INC COM 717081103 635 14471 SH SOLE 14471 0 0 PHILIP MORRIS INTL INC COM 718172109 1431 16863 SH SOLE 16863 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 572 5780 SH SOLE 5780 0 0 PINE TECHNOLOGY ACQUISITN CO CLASS A COM 722850104 1967 199970 SH SOLE 199970 0 0 PMV CONSUMER ACQUISITION COR COM 693486102 492 50000 SH SOLE 50000 0 0 PNC FINL SVCS GROUP INC COM 693475105 565 3676 SH SOLE 3676 0 0 PRA GROUP INC COM 69354N106 442 13421 SH SOLE 13421 0 0 PRECIGEN INC COM 74017N105 191 90000 SH SOLE 90000 0 0 PROCTER AND GAMBLE CO COM 742718109 1170 9170 SH SOLE 9170 0 0 PROGRESS ACQUISITION CORP COM CL A 74327P105 314 31500 SH SOLE 31500 0 0 PROPERTY SOLUTIONS ACQUISITI COM CL A 74350A108 442 45000 SH SOLE 45000 0 0 PRUDENTIAL FINL INC COM 744320102 211 2465 SH SOLE 2465 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 1335 152694 SH SOLE 152694 0 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 531 148490 SH SOLE 148490 0 0 QUALTEK SERVICES INC *W EXP 02/14/202 74760R113 56 208800 SH SOLE 208800 0 0 QUALTEK SERVICES INC CLASS A COM 74760R303 101 50000 SH SOLE 50000 0 0 RACKSPACE TECHNOLOGY INC COM 750102105 41 10000 SH SOLE 10000 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 797 9620 SH SOLE 9620 0 0 REMARK HLDGS INC COM 75955K102 17 65000 SH SOLE 65000 0 0 RESERVOIR MEDIA INC *W EXP 08/26/202 76119X113 248 258150 SH SOLE 258150 0 0 RESERVOIR MEDIA INC COM 76119X105 4924 1009038 SH SOLE 1009038 0 0 RESMED INC COM 761152107 1031 4600 SH SOLE 4600 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 556 10250 SH SOLE 10250 0 0 ROCKET LAB USA INC COM 773122106 129 31500 SH SOLE 31500 0 0 ROCKET PHARMACEUTICALS INC COM 77313F106 430 27709 SH SOLE 27709 0 0 ROTH CH ACQUISITION IV CO UNIT 07/01/2026 77867P203 8062 804518 SH SOLE 804518 0 0 SALESFORCE INC COM 79466L302 895 6061 SH SOLE 6061 0 0 SCHWAB CHARLES CORP COM 808513105 293 4000 SH SOLE 4000 0 0 SEABOARD CORP DEL COM 811543107 851 250 SH SOLE 250 0 0 SEAGATE TECHNOLOGY HLDNGS PL ORD SHS G7997R103 266 5000 SH SOLE 5000 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 239 5000 SH SOLE 5000 0 0 SERA PROGNOSTICS INC CLASS A COM 81749D107 2223 1389573 SH SOLE 1389573 0 0 SERVICE CORP INTL COM 817565104 461 8000 SH SOLE 8000 0 0 SERVICENOW INC COM 81762P102 3407 8700 SH SOLE 8700 0 0 SOUTHWESTERN ENERGY CO COM 845467109 833 136008 SH SOLE 136008 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 305 856 SH SOLE 856 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 522 1300 SH SOLE 1300 0 0 SPDR SER TR BLOOMBERG 1-3 MO 78468R663 436 4756 SH SOLE 4756 0 0 SPDR SER TR S&P OILGAS EXP 78468R556 249 2000 SH SOLE 2000 0 0 SPRINGWORKS THERAPEUTICS INC COM 85205L107 303 11200 SH SOLE 11200 0 0 STARBUCKS CORP COM 855244109 460 5363 SH SOLE 5363 0 0 STRYKER CORPORATION COM 863667101 476 2266 SH SOLE 2266 0 0 SUMO LOGIC INC COM 86646P103 3545 478179 SH SOLE 478179 0 0 TAILWIND INTERNATNAL ACQ COR COM CL A G8662F101 173 17500 SH SOLE 17500 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 551 4860 SH SOLE 4860 0 0 TARGA RES CORP COM 87612G101 594 9840 SH SOLE 9840 0 0 TARGET CORP COM 87612E106 545 3606 SH SOLE 3606 0 0 TELA BIO INC COM 872381108 819 96168 SH SOLE 96168 0 0 TELADOC HEALTH INC COM 87918A105 315 12315 SH SOLE 12315 0 0 TEXAS INSTRS INC COM 882508104 982 6167 SH SOLE 6167 0 0 TFF PHARMACEUTICALS INC COM 87241J104 83 20826 SH SOLE 20826 0 0 THERAPEUTICSMD INC COM NEW 88338N206 268 40393 SH SOLE 40393 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 890 1700 SH SOLE 1700 0 0 TRACTOR SUPPLY CO COM 892356106 256 1375 SH SOLE 1375 0 0 TRANSOCEAN LTD REG SHS H8817H100 1099 445000 SH SOLE 445000 0 0 TWITTER INC COM 90184L102 842 19700 SH SOLE 19700 0 0 TYLER TECHNOLOGIES INC COM 902252105 348 1000 SH SOLE 1000 0 0 UNION PAC CORP COM 907818108 440 2200 SH SOLE 2200 0 0 UNIQURE NV SHS N90064101 1340 68070 SH SOLE 68070 0 0 UNITED PARCEL SERVICE INC CL B 911312106 238 1470 SH SOLE 1470 0 0 UNITEDHEALTH GROUP INC COM 91324P102 721 1400 SH SOLE 1400 0 0 UNIVERSAL HLTH SVCS INC CL B 913903100 270 2890 SH SOLE 2890 0 0 US BANCORP DEL COM NEW 902973304 322 7760 SH SOLE 7760 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 318 1035 SH SOLE 1035 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 988 25644 SH SOLE 25644 0 0 VISA INC COM CL A 92826C839 1640 9093 SH SOLE 9093 0 0 VISTRA CORP COM 92840M102 274 13040 SH SOLE 13040 0 0 VROOM INC COM 92918V109 351 302000 SH SOLE 302000 0 0 W & T OFFSHORE INC COM 92922P106 59 10000 SH SOLE 10000 0 0 WAITR HLDGS INC COM 930752100 6 40000 SH SOLE 40000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 2859 90248 SH SOLE 90248 0 0 WALMART INC COM 931142103 676 5208 SH SOLE 5208 0 0 WARNER BROS DISCOVERY INC COM SER A 934423104 335 28886 SH SOLE 28886 0 0 WASHINGTON TR BANCORP INC COM 940610108 227 4885 SH SOLE 4885 0 0 WASTE MGMT INC DEL COM 94106L109 968 6042 SH SOLE 6042 0 0 WORKDAY INC CL A 98138H101 811 5250 SH SOLE 5250 0 0 XENON PHARMACEUTICALS INC COM 98420N105 778 21500 SH SOLE 21500 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 729 2677 SH SOLE 2677 0 0 ZOETIS INC CL A 98978V103 4144 27322 SH SOLE 27322 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 216 2900 SH SOLE 2900 0 0