-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AhcQJySLXFds1MHgpa3x48BMwMVJU2xRPbx7j9gQ2nsEXKse3/SgHgcisW/Y1Mfb AGFNK/a6Fjnx61UB3YqgGA== 0001085146-08-001729.txt : 20081117 0001085146-08-001729.hdr.sgml : 20081117 20081114190227 ACCESSION NUMBER: 0001085146-08-001729 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081117 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMH CAPITAL INC. CENTRAL INDEX KEY: 0001053994 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12760 FILM NUMBER: 081193582 BUSINESS ADDRESS: STREET 1: 3100 CHASE TOWER CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7132243100 MAIL ADDRESS: STREET 1: 600 TRAVIS, SUITE 5800 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC/FA DATE OF NAME CHANGE: 20000208 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS MUNDY INC /FA DATE OF NAME CHANGE: 19980129 13F-HR 1 smhc3q08.txt SMH CAPITAL INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2008 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: SMH Capital Inc. Address: 600 Travis Street, Suite 5800 Houston, TX 77002 13F File Number: 28-12760 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: John T. Unger Title: Senior Vice President and General Counsel Phone: 713-993-4645 Signature, Place, and Date of Signing: /s/ John T. Unger Houston, TX November 14, 2008 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 167 Form13F Information Table Value Total: $130,212 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AARON RENTS INC COM 002535201 372 13791 SH SOLE 0 0 13791 ABB LTD SPONSORED ADR 000375204 510 25324 SH SOLE 0 0 25324 ACCENTURE LTD BERMUDA CL A G1150G111 275 6947 SH SOLE 0 0 6947 ACTIVISION BLIZZARD INC COM 00507V109 253 15446 SH SOLE 0 0 15446 ALBEMARLE CORP COM 012653101 374 10891 SH SOLE 0 0 10891 ALLERGAN INC COM 018490102 305 5514 SH SOLE 0 0 5514 ALTRIA GROUP INC COM 02209S103 373 17862 SH SOLE 0 0 17862 AMERICAN INTL GROUP INC COM 026874107 89 28289 SH SOLE 0 0 28289 AMERICAN ORIENTAL BIOENGR IN COM 028731107 140 18261 SH SOLE 0 0 18261 AMGEN INC COM 031162100 314 5167 SH SOLE 0 0 5167 ANHEUSER BUSCH COS INC COM 035229103 593 8230 SH SOLE 0 0 8230 APACHE CORP COM 037411105 218 1984 SH SOLE 0 0 1984 APPLE INC COM 037833100 973 7584 SH SOLE 0 0 7584 ARIBA INC COM NEW 04033V203 195 12883 SH SOLE 0 0 12883 AT&T INC COM 00206R102 374 12464 SH SOLE 0 0 12464 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 30 11086 SH SOLE 0 0 11086 ATP OIL & GAS CORP COM 00208J108 283 13595 SH SOLE 0 0 13595 BANCO ITAU HLDG FINANCIERA S SP ADR 500 PFD 059602201 175 10510 SH SOLE 0 0 10510 BANK OF AMERICA CORPORATION COM 060505104 4156 11325 SH SOLE 0 0 11325 BANK OF NEW YORK MELLON CORP COM 064058100 245 6721 SH SOLE 0 0 6721 BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 327 19000 SH SOLE 0 0 19000 BARCLAYS BK PLC DJAIG CMDT ETN 06738C778 228 4203 SH SOLE 0 0 4203 BIG LOTS INC COM 089302103 326 10719 SH SOLE 0 0 10719 BLACKROCK CORPOR HI YLD FD V COM 09255N102 92 10795 SH SOLE 0 0 10795 BLACKROCK GLBL ENRGY & RES T COM 09250U101 520 20499 SH SOLE 0 0 20499 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 159 14050 SH SOLE 0 0 14050 BPZ RESOURCES INC COM 055639108 920 48000 SH SOLE 0 0 48000 BRISTOL MYERS SQUIBB CO COM 110122108 332 15964 SH SOLE 0 0 15964 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 269 5273 SH SOLE 0 0 5273 CAE INC COM 124765108 154 17213 SH SOLE 0 0 17213 CAMERON INTERNATIONAL CORP COM 13342B105 266 6566 SH SOLE 0 0 6566 CBIZ INC COM 124805102 128 15000 SH SOLE 0 0 15000 CELGENE CORP COM 151020104 369 5564 SH SOLE 0 0 5564 CHEVRON CORP NEW COM 166764100 1285 14779 SH SOLE 0 0 14779 CHINA SEC & SURVE TECH INC COM 16942J105 167 11811 SH SOLE 0 0 11811 CISCO SYS INC COM 17275R102 277 11608 SH SOLE 0 0 11608 CITIGROUP INC COM 172967101 344 17074 SH SOLE 0 0 17074 CKE RESTAURANTS INC COM 12561E105 143 12900 SH SOLE 0 0 12900 COCA COLA CO COM 191216100 536 10210 SH SOLE 0 0 10210 COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 204429104 204 6372 SH SOLE 0 0 6372 CONOCOPHILLIPS COM 20825C104 279 3654 SH SOLE 0 0 3654 COPANO ENERGY L L C COM UNITS 217202100 39 11540 SH SOLE 0 0 11540 CROSSTEX ENERGY INC COM 22765Y104 200 7130 SH SOLE 0 0 7130 CSX CORP COM 126408103 217 3845 SH SOLE 0 0 3845 CUBIC ENERGY INC COM 229675103 23 10000 SH SOLE 0 0 10000 DANAHER CORP DEL COM 235851102 353 4971 SH SOLE 0 0 4971 DIAGEO P L C SPON ADR NEW 25243Q205 244 3343 SH SOLE 0 0 3343 DIRECTV GROUP INC COM 25459L106 219 8244 SH SOLE 0 0 8244 DUNCAN ENERGY PARTNERS LP COM UNITS 265026104 5132 311230 SH SOLE 0 0 311230 DYNEGY INC DEL CL A 26817G102 40 10008 SH SOLE 0 0 10008 EATON VANCE ENH EQTY INC FD COM 278277108 146 10284 SH SOLE 0 0 10284 EDWARDS LIFESCIENCES CORP COM 28176E108 301 5154 SH SOLE 0 0 5154 EL PASO CORP COM 28336L109 1182 86496 SH SOLE 0 0 86496 ELAN PLC ADR 284131208 188 17700 SH SOLE 0 0 17700 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 307 7450 SH SOLE 0 0 7450 ENDEAVOUR INTL CORP COM 29259G101 5878 4081689 SH SOLE 0 0 4081689 ENERGY CONVERSION DEVICES IN COM 292659109 204 3366 SH SOLE 0 0 3366 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 318 14000 SH SOLE 0 0 14000 ENTERPRISE GP HLDGS L P UNIT LP INT 293716106 3805 154785 SH SOLE 0 0 154785 ENTERPRISE PRODS PARTNERS L COM 293792107 20036 770618 SH SOLE 0 0 770618 EXPRESS SCRIPTS INC COM 302182100 497 6630 SH SOLE 0 0 6630 EXXON MOBIL CORP COM 30231G102 3391 42045 SH SOLE 0 0 42045 FIRST SOLAR INC COM 336433107 213 1030 SH SOLE 0 0 1030 FIRSTCITY FINL CORP COM 33761X107 379 86300 SH SOLE 0 0 86300 FLOWSERVE CORP COM 34354P105 228 2553 SH SOLE 0 0 2553 FRANKLIN BK CORP DEL COM 352451108 17 35000 SH SOLE 0 0 35000 GENERAL ELECTRIC CO COM 369604103 840 33263 SH SOLE 0 0 33263 GENESIS ENERGY L P UNIT LTD PARTN 371927104 1335 87800 SH SOLE 0 0 87800 GIGAMEDIA LTD ORD Y2711Y104 96 12320 SH SOLE 0 0 12320 GILEAD SCIENCES INC COM 375558103 609 12524 SH SOLE 0 0 12524 GOOGLE INC CL A 38259P508 348 808 SH SOLE 0 0 808 GRAN TIERRA ENERGY INC COM 38500T101 3634 871380 SH SOLE 0 0 871380 HALLIBURTON CO COM 406216101 456 13416 SH SOLE 0 0 13416 HEWLETT PACKARD CO COM 428236103 962 20115 SH SOLE 0 0 20115 HUDSON CITY BANCORP COM 443683107 257 13634 SH SOLE 0 0 13634 ICON PUB LTD CO SPONSORED ADR 45103T107 411 10445 SH SOLE 0 0 10445 ILLUMINA INC COM 452327109 279 6572 SH SOLE 0 0 6572 INDEVUS PHARMACEUTICALS INC COM 454072109 479 136423 SH SOLE 0 0 136423 INSURED MUN INCOME FD COM 45809F104 493 44614 SH SOLE 0 0 44614 INTEL CORP COM 458140100 236 12292 SH SOLE 0 0 12292 INTERNATIONAL BUSINESS MACHS COM 459200101 1224 10248 SH SOLE 0 0 10248 INTROGEN THERAPEUTICS INC COM 46119F107 10 13840 SH SOLE 0 0 13840 ISHARES INC MSCI AUSTRIA INV 464286202 311 12741 SH SOLE 0 0 12741 ISHARES INC MSCI JAPAN 464286848 169 15223 SH SOLE 0 0 15223 ISHARES INC MSCI SINGAPORE 464286673 119 11802 SH SOLE 0 0 11802 ISHARES INC MSCI AUSTRALIA 464286103 483 21383 SH SOLE 0 0 21383 ISHARES TR COHEN&ST RLTY 464287564 495 6345 SH SOLE 0 0 6345 ISHARES TR S&P NA NAT RES 464287374 647 16854 SH SOLE 0 0 16854 ISHARES TR S&P GBL ENER 464287341 597 15041 SH SOLE 0 0 15041 ISHARES TR RUSSELL1000VAL 464287598 859 12923 SH SOLE 0 0 12923 ISHARES TR RUSSELL1000GRW 464287614 942 18680 SH SOLE 0 0 18680 ISHARES TR MSCI EAFE IDX 464287465 204 3414 SH SOLE 0 0 3414 ISHARES TR FTSE XNHUA IDX 464287184 662 18302 SH SOLE 0 0 18302 ISHARES TR 1-3 YR TRS BD 464287457 444 5325 SH SOLE 0 0 5325 ISHARES TR S&P SMLCP VALU 464287879 555 8265 SH SOLE 0 0 8265 ISHARES TR S&P SMLCP GROW 464287887 615 9758 SH SOLE 0 0 9758 ISHARES TR S&P MC 400 GRW 464287606 633 8090 SH SOLE 0 0 8090 ISHARES TR S&P MIDCP VALU 464287705 655 9257 SH SOLE 0 0 9257 ISHARES TR IBOXX INV CPBD 464287242 257 2850 SH SOLE 0 0 2850 ISHARES TR LEHMAN AGG BND 464287226 406 4113 SH SOLE 0 0 4113 JOHNSON & JOHNSON COM 478160104 690 9941 SH SOLE 0 0 9941 JPMORGAN & CHASE & CO COM 46625H100 467 9684 SH SOLE 0 0 9684 KANSAS CITY SOUTHERN COM NEW 485170302 308 6477 SH SOLE 0 0 6477 KEY ENERGY SVCS INC COM 492914106 497 41000 SH SOLE 0 0 41000 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 719 13408 SH SOLE 0 0 13408 KMG CHEMICALS INC COM 482564101 1543 184600 SH SOLE 0 0 184600 LOCKHEED MARTIN CORP COM 539830109 342 2796 SH SOLE 0 0 2796 LOGITECH INTL S A SHS H50430232 237 9911 SH SOLE 0 0 9911 LUBYS INC COM 549282101 2119 266000 SH SOLE 0 0 266000 MAIN STREET CAPITAL CORP COM 56035L104 3933 327768 SH SOLE 0 0 327768 MCDONALDS CORP COM 580135101 305 4826 SH SOLE 0 0 4826 MCMORAN EXPLORATION CO COM 582411104 4984 197000 SH SOLE 0 0 197000 MEDTRONIC INC COM 585055106 213 4160 SH SOLE 0 0 4160 MICROSOFT CORP COM 594918104 402 14668 SH SOLE 0 0 14668 MINDRAY MEDICAL INTL LTD SPON ADR 602675100 201 5604 SH SOLE 0 0 5604 MONSANTO CO NEW COM 61166W101 291 2743 SH SOLE 0 0 2743 MRU HLDGS INC COM 55348A102 212 663755 SH SOLE 0 0 663755 NATIONAL BK GREECE S A SPONSORED ADR 633643408 172 18886 SH SOLE 0 0 18886 NATURAL RESOURCE PARTNERS L COM UNIT L P 63900P103 528 20986 SH SOLE 0 0 20986 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 130 14688 SH SOLE 0 0 14688 NIKE INC CL B 654106103 304 4482 SH SOLE 0 0 4482 NORDSTROM INC COM 655664100 314 10761 SH SOLE 0 0 10761 NOVO-NORDISK A S ADR 670100205 218 3916 SH SOLE 0 0 3916 NUVEEN MUN VALUE FD INC COM 670928100 107 11645 SH SOLE 0 0 11645 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 221 4100 SH SOLE 0 0 4100 ORACLE CORP COM 68389X105 311 15067 SH SOLE 0 0 15067 ORCHARD ENTERPRISES INC COM NEW 68562L100 89 23931 SH SOLE 0 0 23931 PENGROWTH ENERGY TR TR UNIT NEW 706902509 215 13406 SH SOLE 0 0 13406 PEPSICO INC COM 713448108 641 8944 SH SOLE 0 0 8944 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 206 4423 SH SOLE 0 0 4423 PFIZER INC COM 717081103 229 12284 SH SOLE 0 0 12284 PHILIP MORRIS INTL INC COM 718172109 824 16188 SH SOLE 0 0 16188 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 801 19285 SH SOLE 0 0 19285 POTASH CORP SASK INC COM 73755L107 272 1841 SH SOLE 0 0 1841 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 489 14985 SH SOLE 0 0 14985 PRAXAIR INC COM 74005P104 255 3432 SH SOLE 0 0 3432 PRECISION CASTPARTS CORP COM 740189105 240 2952 SH SOLE 0 0 2952 PREMIER EXIBITIONS INC COM 74051E102 750 326000 SH SOLE 0 0 326000 PROCTER & GAMBLE CO COM 742718109 1066 15482 SH SOLE 0 0 15482 REGENT COMMUNICATIONS INC DE COM 758865109 650 844185 SH SOLE 0 0 844185 RESEARCH IN MOTION LTD COM 760975102 252 3554 SH SOLE 0 0 3554 ROSS STORES INC COM 778296103 384 10397 SH SOLE 0 0 10397 SANDERS MORRIS HARRIS GROUP COM 80000Q104 3399 378485 SH SOLE 0 0 378485 SAPIENT CORP COM 803062108 116 14778 SH SOLE 0 0 14778 SCHERING PLOUGH CORP COM 806605101 444 24014 SH SOLE 0 0 24014 SCHLUMBERGER LTD COM 806857108 748 8694 SH SOLE 0 0 8694 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 401 5918 SH SOLE 0 0 5918 SHENGDA TECH INC COM 823213103 171 23424 SH SOLE 0 0 23424 TEAM INC COM 878155100 208 5660 SH SOLE 0 0 5660 TEPPCO PARTNERS L P UT LTD PARTNER 872384102 2477 90305 SH SOLE 0 0 90305 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 237 5138 SH SOLE 0 0 5138 THERMO FISHER SCIENTIFIC INC COM 883556102 336 5932 SH SOLE 0 0 5932 TRANSOCEAN INC NEW SHS G90073100 338 2778 SH SOLE 0 0 2778 TRUSTMARK CORP COM 898402102 918 38480 SH SOLE 0 0 38480 UNILEVER PLC SPON ADR NEW 904767704 269 9671 SH SOLE 0 0 9671 UNITED TECHNOLOGIES CORP COM 913017109 458 7518 SH SOLE 0 0 7518 URBAN OUTFITTERS INC COM 917047102 264 7562 SH SOLE 0 0 7562 VERIZON COMMUNICATIONS INC COM 92343V104 312 9691 SH SOLE 0 0 9691 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 297 12694 SH SOLE 0 0 12694 WAL MART STORES INC COM 931142103 254 4185 SH SOLE 0 0 4185 WALGREEN CO COM 931422109 281 8575 SH SOLE 0 0 8575 WARNACO GROUP INC COM NEW 934390402 548 1117 SH SOLE 0 0 1117 WARREN RES INC COM 93564A100 234 21995 SH SOLE 0 0 21995 WASTE SERVICES INC DEL COM NEW 941075202 6059 692468 SH SOLE 0 0 692468 WCA WASTE CORP COM 92926K103 2085 453179 SH SOLE 0 0 453179 YAMANA GOLD INC COM 98462Y100 220 24467 SH SOLE 0 0 24467 ZHONGPIN INC COM 98952K107 156 13711 SH SOLE 0 0 13711
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