-----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, VmnwC9YpjAz96XonEF9jhsBna28y5fkmLn/7Gfjm+OUyLfeT/75JadJ86Em3Whjl neGT49xoF5anJV8DXgGIZA== 0001221073-11-000006.txt : 20110210 0001221073-11-000006.hdr.sgml : 20110210 20110210083135 ACCESSION NUMBER: 0001221073-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 EFFECTIVENESS DATE: 20110210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Clear Harbor Asset Management, LLC CENTRAL INDEX KEY: 0001511857 IRS NUMBER: 271506486 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14126 FILM NUMBER: 11589463 BUSINESS ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 2006 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: 212-867-7310 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE STREET 2: SUITE 2006 CITY: NEW YORK STATE: NY ZIP: 10170 13F-HR 1 mktc_clear4q10.txt CLEAR HARBOR ASSET MANAGEMENT, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 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: Clear Harbor Asset Management, LLC Address: 420 Lexington Avenue, Suite 2006 New York, NY 10170 13F File Number: 028-NEW 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: Ian Armstrong Title: Chief Compliance Officer Phone: 212-867-7310 Signature, Place, and Date of Signing: /s/ Ian Armstrong New York, NY February 07, 2011 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 Form 13F Information Table Entry Total: 158 Form 13F Information Table Value Total: $254,156 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 203 2356 SH SOLE 2356 0 0 ABBOTT LABS COM 002824100 768 16040 SH SOLE 16040 0 0 ACTIVE POWER INC COM 00504W100 885 359735 SH SOLE 359735 0 0 ALASKA AIR GROUP INC COM 011659109 1259 22210 SH SOLE 22210 0 0 ALBANY INTL CORP FRNT 2.250% 3/1 012348AC2 11 12000 PRN SOLE 12000 0 0 ALLSTATE CORP COM 020002101 311 9741 SH SOLE 9741 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 278 4847 SH SOLE 4847 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 5355 211760 SH SOLE 211760 0 0 APACHE CORP COM 037411105 1127 9455 SH SOLE 9455 0 0 APPLE INC COM 037833100 397 1232 SH SOLE 1232 0 0 AQUA AMERICA INC COM 03836W103 616 27412 SH SOLE 27412 0 0 AT&T INC COM 00206R102 1150 39149 SH SOLE 39149 0 0 AUTODESK INC COM 052769106 245 6405 SH SOLE 6405 0 0 AXCELIS TECHNOLOGIES INC COM 054540109 1077 311398 SH SOLE 311398 0 0 AXIS CAPITAL HOLDINGS SHS G0692U109 1413 39390 SH SOLE 39390 0 0 BERKLEY W R CORP COM 084423102 2017 73650 SH SOLE 73650 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3596 44890 SH SOLE 44890 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 242 2600 SH SOLE 2600 0 0 BPZ RESOURCES INC COM 055639108 251 52750 SH SOLE 52750 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 204 7707 SH SOLE 7707 0 0 CALAMP CORP COM 128126109 94 30000 SH SOLE 30000 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 1552 41652 SH SOLE 41652 0 0 CASCADE MICROTECH INC COM 147322101 310 71813 SH SOLE 71813 0 0 CATERPILLAR INC DEL COM 149123101 6791 72508 SH SOLE 72508 0 0 CENOVUS ENERGY INC COM 15135U109 1572 47279 SH SOLE 47279 0 0 CENTRAL FD CDA LTD CL A 153501101 367 17725 SH SOLE 17725 0 0 CHESAPEAKE UTILS CORP COM 165303108 991 23875 SH SOLE 23875 0 0 CHEVRON CORP NEW COM 166764100 1619 17737 SH SOLE 17737 0 0 CHINA CERAMICS CO LTD SHS G2113X100 3271 417807 SH SOLE 417807 0 0 CHINA CERAMICS CO LTD *W EXP 11/16/201 G2113X118 173 94586 SH SOLE 94586 0 0 CHINA ELEC MTR INC COM NEW 16890A205 151 33500 SH SOLE 33500 0 0 CHINA TECHFAITH WIRLS COMM T SPONSORED ADR 169424108 807 192676 SH SOLE 192676 0 0 CHYRON CORP COM PAR $.01 171605306 44 20000 SH SOLE 20000 0 0 COCA COLA CO COM 191216100 320 4865 SH SOLE 4865 0 0 COLGATE PALMOLIVE CO COM 194162103 486 6050 SH SOLE 6050 0 0 COMVERGE INC COM 205859101 2831 409695 SH SOLE 409695 0 0 CONNECTICUT WTR SVC INC COM 207797101 2005 71924 SH SOLE 71924 0 0 CONOCOPHILLIPS COM 20825C104 2607 38287 SH SOLE 38287 0 0 CONSOLIDATED EDISON INC COM 209115104 1868 37681 SH SOLE 37681 0 0 CONSTELLATION ENERGY PRTNR L COM UNIT LLC B 21038E101 32 11500 SH SOLE 11500 0 0 CONSUMER PORTFOLIO SVCS INC COM 210502100 29 23950 SH SOLE 23950 0 0 CORE LABORATORIES N V COM N22717107 3492 39209 SH SOLE 39209 0 0 DELTA NAT GAS INC COM 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FLEXTRONICS INTL LTD ORD Y2573F102 8620 1098078 SH SOLE 1098078 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 232 13800 SH SOLE 13800 0 0 FX ENERGY INC COM 302695101 6529 1061669 SH SOLE 1061669 0 0 G WILLI FOOD INTL LTD ORD M52523103 139 21400 SH SOLE 21400 0 0 GAMMON GOLD INC COM 36467T106 682 83220 SH SOLE 83220 0 0 GENCO SHIPPING & TRADING LTD SHS Y2685T107 186 12883 SH SOLE 12883 0 0 GENERAL ELECTRIC CO COM 369604103 1297 70932 SH SOLE 70932 0 0 GETTY RLTY CORP NEW COM 374297109 1718 54908 SH SOLE 54908 0 0 GRAN TIERRA ENERGY INC COM 38500T101 418 51950 SH SOLE 51950 0 0 GSI TECHNOLOGY COM 36241U106 320 39470 SH SOLE 39470 0 0 HANOVER COMPRESSOR CO NOTE 4.750% 1/1 410768AE5 155 157000 PRN SOLE 157000 0 0 HAWAIIAN HOLDINGS INC COM 419879101 3276 417890 SH SOLE 417890 0 0 HEARUSA INC COM NEW 422360305 125 137100 SH SOLE 137100 0 0 HEWLETT PACKARD CO COM 428236103 373 8850 SH SOLE 8850 0 0 HEXCEL CORP NEW COM 428291108 1856 102625 SH SOLE 102625 0 0 ICF INTL INC COM 44925C103 305 11850 SH SOLE 11850 0 0 IGO INC COM 449593102 384 100000 SH SOLE 100000 0 0 INTEGRATED SILICON SOLUTION COM 45812P107 2280 283897 SH SOLE 283897 0 0 INTEL CORP COM 458140100 325 15464 SH SOLE 15464 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 699 4766 SH SOLE 4766 0 0 INTEVAC INC COM 461148108 2225 158840 SH SOLE 158840 0 0 IRELAND BK SPONSORED ADR 46267Q103 40 15000 SH SOLE 15000 0 0 ITRON INC COM 465741106 1387 25020 SH SOLE 25020 0 0 JABIL CIRCUIT INC COM 466313103 1329 66170 SH SOLE 66170 0 0 JOHNSON & JOHNSON COM 478160104 2169 35069 SH SOLE 35069 0 0 JOHNSON CTLS INC COM 478366107 6258 163827 SH SOLE 163827 0 0 KULICKE & SOFFA INDS INC COM 501242101 1364 189400 SH SOLE 189400 0 0 KVH INDS INC COM 482738101 206 17232 SH SOLE 17232 0 0 LTX-CREDENCE CORP COM NEW 502403207 721 344259 SH SOLE 344259 0 0 MAG SILVER CORP COM 55903Q104 128 10300 SH SOLE 10300 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 307 5000 SH SOLE 5000 0 0 MEMC ELECTR MATLS INC COM 552715104 205 18200 SH SOLE 18200 0 0 MERCK & CO INC NEW COM 58933Y105 380 10533 SH SOLE 10533 0 0 MICROSOFT CORP COM 594918104 3779 135344 SH SOLE 135344 0 0 MILLER PETE INC COM 600577100 400 76900 SH SOLE 76900 0 0 MISSION WEST PPTYS INC COM 605203108 648 96837 SH SOLE 96837 0 0 MONTPELIER RE HOLDINGS LTD SHS G62185106 747 37450 SH SOLE 37450 0 0 MOSYS INC COM 619718109 79 13950 SH SOLE 13950 0 0 NEW JERSEY RES COM 646025106 2275 52766 SH SOLE 52766 0 0 NEWMONT MINING CORP COM 651639106 347 5655 SH SOLE 5655 0 0 NICOR INC COM 654086107 2442 48911 SH SOLE 48911 0 0 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 410 11475 SH SOLE 11475 0 0 NORFOLK SOUTHERN CORP COM 655844108 226 3600 SH SOLE 3600 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 14887 547121 SH SOLE 547121 0 0 NORTHWEST NAT GAS CO COM 667655104 5703 122716 SH SOLE 122716 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 816 98209 SH SOLE 98209 0 0 NOVARTIS A G SPONSORED ADR 66987V109 241 4080 SH SOLE 4080 0 0 O2MICRO INTERNATIONAL LTD SPONS ADR 67107W100 111 17900 SH SOLE 17900 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 285 2904 SH SOLE 2904 0 0 OCZ TECHNOLOGY GROUP INC COM 67086E303 96 20000 SH SOLE 20000 0 0 OSHKOSH CORP COM 688239201 4225 119892 SH SOLE 119892 0 0 PARAGON SHIPPING INC CL A 69913R309 147 42900 SH SOLE 42900 0 0 PARKER HANNIFIN CORP COM 701094104 7299 84577 SH SOLE 84577 0 0 PENNICHUCK CORP COM NEW 708254206 2032 74255 SH SOLE 74255 0 0 PEPSICO INC COM 713448108 239 3652 SH SOLE 3652 0 0 PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 294 179500 SH SOLE 179500 0 0 PETROQUEST ENERGY INC COM 716748108 94 12525 SH SOLE 12525 0 0 PFIZER INC COM 717081103 953 54398 SH SOLE 54398 0 0 PHILIP MORRIS INTL INC COM 718172109 334 5700 SH SOLE 5700 0 0 PIEDMONT NAT GAS INC COM 720186105 330 11800 SH SOLE 11800 0 0 PINNACLE AIRL CORP COM 723443107 155 19599 SH SOLE 19599 0 0 PIONEER NAT RES CO COM 723787107 12096 139325 SH SOLE 139325 0 0 PNC FINL SVCS GROUP INC COM 693475105 424 6975 SH SOLE 6975 0 0 PRINCIPAL FINL GROUP INC COM 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COM 838518108 2406 45547 SH SOLE 45547 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1016 7325 SH SOLE 7325 0 0 SPECTRANETICS CORP COM 84760C107 174 33810 SH SOLE 33810 0 0 STAR BULK CARRIERS CORP COM Y8162K105 426 160809 SH SOLE 160809 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 209 16684 SH SOLE 16684 0 0 TERRA NOVA RTY CORP COM 88102D103 156 20000 SH SOLE 20000 0 0 TEXAS INSTRS INC COM 882508104 556 17118 SH SOLE 17118 0 0 TOTAL S A SPONSORED ADR 89151E109 332 6200 SH SOLE 6200 0 0 TOWER SEMICONDUCTOR LTD ORD M87915100 85 60000 SH SOLE 60000 0 0 TRAVELERS COMPANIES INC COM 89417E109 344 6180 SH SOLE 6180 0 0 TRIMBLE NAVIGATION LTD COM 896239100 10010 250689 SH SOLE 250689 0 0 U S AIRWAYS GROUP INC COM 90341W108 482 48114 SH SOLE 48114 0 0 UNION PAC CORP COM 907818108 662 7145 SH SOLE 7145 0 0 UNITED TECHNOLOGIES CORP COM 913017109 332 4220 SH SOLE 4220 0 0 USA TECHNOLOGIES INC *W EXP 12/31/201 90328S179 7 119700 SH SOLE 119700 0 0 VECTREN CORP COM 92240G101 1420 55945 SH SOLE 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