0001221073-17-000067.txt : 20170725 0001221073-17-000067.hdr.sgml : 20170725 20170725094302 ACCESSION NUMBER: 0001221073-17-000067 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170725 DATE AS OF CHANGE: 20170725 EFFECTIVENESS DATE: 20170725 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: 17979476 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 primary_doc.xml 13F-HR LIVE false true false 0001511857 XXXXXXXX 06-30-2017 06-30-2017 Clear Harbor Asset Management, LLC

420 LEXINGTON AVENUE SUITE 2006 NEW YORK NY 10170

13F HOLDINGS REPORT 028-14126 N Ian Armstrong 212 867-7310 /s/ Ian Armstrong New York NY 07-14-2017 0 255 522875 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1017203409SHSOLE 340900ABBOTT LABSCOM0028241004389045SHSOLE 904500ABBVIE INCCOM00287Y1096799440SHSOLE 944000AETNA INC NEWCOM00817Y108158610260SHSOLE 1026000AGIOS PHARMACEUTICALS INCCOM00847X1042434325SHSOLE 432500ALASKA AIR GROUP INCCOM0116591092983150SHSOLE 315000ALLERGAN PLCSHSG0177J1087383004SHSOLE 300400ALPHABET INCCAP STK CL A02079K30528032897SHSOLE 289700ALPHABET INCCAP STK CL C02079K10739124145SHSOLE 414500ALTRIA GROUP INCCOM02209S1033695000SHSOLE 500000AMAZON COM INCCOM023135106343341SHSOLE 34100AMC NETWORKS INCCL A00164V103335259580SHSOLE 5958000AMERICAN INTL GROUP INCCOM NEW0268747843325248SHSOLE 524800AMERICAN WTR WKS CO INC NEWCOM03042010316690212552SHSOLE 21255200AMGEN INCCOM03116210010656149SHSOLE 614900ANTHEM INCCOM0367521035412795SHSOLE 279500ANWORTH MORTGAGE ASSET CPCOM03734710125141140SHSOLE 4114000APOLLO GLOBAL MGMT LLCCL A SHS0376123062699950SHSOLE 995000APPLE INCCOM03783310014892102180SHSOLE 10218000AQUA AMERICA INCCOM03836W10387126618SHSOLE 2661800ARES CAP CORPCOM04010L10318911471SHSOLE 1147100ARES COML REAL ESTATE CORPCOM04013V1082325178827SHSOLE 17882700ASHFORD HOSPITALITY TR INCCOM SHS0441031091183194863SHSOLE 19486300ASHFORD INCCOM0441041074529212SHSOLE 921200ASSURED GUARANTY LTDCOMG0585R106113225675SHSOLE 2567500AT&T INCCOM00206R1022947995SHSOLE 799500ATHENAHEALTH INCCOM04685W1033342377SHSOLE 237700AUTODESK INCCOM0527691066416005SHSOLE 600500AUTOMATIC DATA PROCESSING INCOM0530151032302244SHSOLE 224400AUTONATION INCCOM05329W1023839305SHSOLE 930500AVEO PHARMACEUTICALS INCCOM053588109289100000SHSOLE 10000000AVIS BUDGET GROUPCOM0537741055456184460SHSOLE 18446000AXIS CAPITAL HOLDINGS LTDSHSG0692U1097658119900SHSOLE 11990000BANK AMER CORPCOM06050510430212400SHSOLE 1240000BELLICUM PHARMACEUTICALS INCCOM07948110711810000SHSOLE 1000000BERKSHIRE 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NEW1729674243174731SHSOLE 473100CLOROX CO DELCOM1890541094083100SHSOLE 310000COCA COLA COCOM19121610048210832SHSOLE 1083200COLGATE PALMOLIVE COCOM1941621034906784SHSOLE 678400COMMSCOPE HLDG CO INCCOM20337X109344296891SHSOLE 9689100CONNECTICUT WTR SVC INCCOM2077971015642102224SHSOLE 10222400CONSOLIDATED EDISON INCCOM209115104129515970SHSOLE 1597000CORE LABORATORIES N VCOMN22717107482846589SHSOLE 4658900CRESTWOOD EQUITY PARTNERS LPUNIT LTD PARTNER226344208211591957SHSOLE 9195700CSX CORPCOM12640810377614065SHSOLE 1406500CUI GLOBAL INCCOM NEW12657620644021175662SHSOLE 117566200CVS HEALTH CORPCOM1266501004575898SHSOLE 589800CYTRX CORPCOM PAR232828509913000SHSOLE 1300000DANAHER CORP DELCOM2358511023083686SHSOLE 368600DEERE & COCOM2441991052942380SHSOLE 238000DILLARDS INCCL A254067101158228080SHSOLE 2808000DIME CMNTY BANCSHARESCOM25392210828914536SHSOLE 1453600DIREXION SHS ETF TRDAILY SM CAP BEA25490K52181951281SHSOLE 5128100DIREXION SHS ETF TRDLY SMCAP BULL3X25459W847218438400SHSOLE 3840000DISCOVER FINL SVCSCOM254709108331054130SHSOLE 5413000DISNEY WALT COCOM DISNEY2546871062952827SHSOLE 282700DU PONT E I DE NEMOURS & COCOM2635341092583044SHSOLE 304400ECOLAB INCCOM278865100161412131SHSOLE 1213100EMC INS GROUP INCCOM26866410930511000SHSOLE 1100000EMERSON ELEC COCOM2910111043285463SHSOLE 546300ENERGEN CORPCOM29265N1086048123481SHSOLE 12348100ENTERCOM COMMUNICATIONS CORPCL A29363910026727628SHSOLE 2762800ENTERPRISE PRODS PARTNERS LCOM29379210751118700SHSOLE 1870000EQT CORPCOM26884L109339655464SHSOLE 5546400EQT MIDSTREAM PARTNERS LPUNIT LTD PARTN26885B1004966550SHSOLE 655000EXETER RES CORPCOM3018351043724500SHSOLE 2450000EXPRESS SCRIPTS HLDG COCOM30219G108154324847SHSOLE 2484700EXXON MOBIL CORPCOM30231G102467157697SHSOLE 5769700EZCORP INCCL A NON VTG30230110615620500SHSOLE 2050000FACEBOOK INCCL A30303M1025353366SHSOLE 336600FAIRMOUNT SANTROL HLDGS INCCOM30555Q10814043100SHSOLE 4310000FEDEX CORPCOM31428X1065672598SHSOLE 259800FIFTH STREET FINANCE CORPCOM31678A1031050226700SHSOLE 22670000FIFTH THIRD BANCORPCOM31677310029711366SHSOLE 1136600FIRST SOLAR INCCOM33643310771617145SHSOLE 1714500FLEX LTDORDY2573F102183231101834SHSOLE 110183400GALLAGHER ARTHUR J & COCOM363576109273048006SHSOLE 4800600GENERAL ELECTRIC COCOM369604103141253114SHSOLE 5311400GENERAL MTRS COCOM37045V1003859108699SHSOLE 10869900GILEAD SCIENCES INCCOM375558103334247882SHSOLE 4788200GOLDMAN SACHS GROUP INCCOM38141G1042491094SHSOLE 109400GOODYEAR TIRE & RUBR COCOM3825501013815105808SHSOLE 10580800GRAN TIERRA ENERGY INCCOM38500T10113561800SHSOLE 6180000GRAPHIC PACKAGING HLDG COCOM38868910149835925SHSOLE 3592500HARRIS CORP DELCOM413875105276623929SHSOLE 2392900HARTFORD FINL SVCS GROUP INCCOM4165151049583181248SHSOLE 18124800HCA HEALTHCARE INCCOM40412C10196211125SHSOLE 1112500HERSHEY COCOM4278661082392282SHSOLE 228200HEXCEL CORP NEWCOM428291108177632735SHSOLE 3273500HI-CRUSH PARTNERS LPCOM UNIT LTD4283371094368469723SHSOLE 46972300HIMAX TECHNOLOGIES INCSPONSORED ADR43289P10615919620SHSOLE 1962000HOME DEPOT INCCOM4370761024983261SHSOLE 326100HONEYWELL INTL INCCOM438516106763456647SHSOLE 5664700ILLINOIS TOOL WKS INCCOM4523081095413699SHSOLE 369900ILLUMINA INCCOM4523271096693864SHSOLE 386400INFORMATION SERVICES GROUP ICOM45675Y104569137040SHSOLE 13704000INTEL CORPCOM45814010057916913SHSOLE 1691300INTELLICHECK INCCOM NEW45817G2013525939912SHSOLE 93991200INTERACTIVE BROKERS GROUP INCOM45841N10755614755SHSOLE 1475500INTERNATIONAL BUSINESS MACHSCOM4592001014452898SHSOLE 289800ISHARESINTL HIGH YIELD4642862103166218SHSOLE 621800ISHARES GOLD TRUSTISHARES4642851052453209143SHSOLE 20914300ISHARES TR1-3 YR CR BD ETF4642886465505222SHSOLE 522200ISHARES TR20 YR TR BD ETF4642874329007259SHSOLE 725900ISHARES TR3-7 YR TR BD ETF4642886615904775SHSOLE 477500ISHARES TR7-10YR TR BD ETF464287440133112518SHSOLE 1251800ISHARES TRCMBS ETF46429B36658211290SHSOLE 1129000ISHARES TRCORE US AGGBD ET4642872262071893SHSOLE 189300ISHARES TRCUR HD EURZN ETF46434V6392448285SHSOLE 828500ISHARES TRIBONDS DEC18 ETF46434VAA82007928PRNSOLE 792800ISHARES TRIBONDS DEC19 ETF46434VAU4113645450PRNSOLE 4545000ISHARES TRIBOXX HI YD ETF4642885136747640SHSOLE 764000ISHARES TRIBOXX INV CP ETF46428724210688865SHSOLE 886500ISHARES TRMBS ETF4642885883263056SHSOLE 305600ISHARES TRRUSSELL 2000 ETF46428765514137100000SHSOLE 10000000ISHARES TRRUSSELL 2000 ETF4642876553135000SHPutSOLE 3500000ISHARES TRTRS FLT RT BD46434V8603767500SHSOLE 750000JOHNSON & JOHNSONCOM478160104588144479SHSOLE 4447900JOHNSON CTLS INTL PLCSHSG515021056487149468SHSOLE 14946800JPMORGAN CHASE & COCOM46625H100506054692SHSOLE 5469200KIMBERLY CLARK CORPCOM4943681035214181SHSOLE 418100KIRKLANDS INCCOM49749810526227191SHSOLE 2719100KVH INDS INCCOM48273810121922530SHSOLE 2253000LABORATORY CORP AMER HLDGSCOM NEW50540R4093652395SHSOLE 239500LEGG MASON INCCOM5249011052947500SHSOLE 750000LIBERTY GLOBAL PLCSHS CL CG5480U12038812458SHSOLE 1245800LIBERTY INTERACTIVE CORPQVC GP COM SER A53071M10434815000SHSOLE 1500000LIQTECH INTL INCCOM53632A1026562114526SHSOLE 211452600LOWES COS INCCOM548661107104313685SHSOLE 1368500LYONDELLBASELL INDUSTRIES NSHS - A -N537451003434000SHSOLE 400000MACQUARIE INFRASTRUCTURE CORCOM55608B105604078517SHSOLE 7851700MACYS INCCOM55616P10424511550SHSOLE 1155000MARATHON PETE CORPCOM56585A102106919891SHSOLE 1989100MARVELL TECHNOLOGY GROUP LTDORDG5876H10528617500SHSOLE 1750000MATADOR RES COCOM5764852052646120066SHSOLE 12006600MBIA INCCOM55262C1002530255530SHSOLE 25553000MCDONALDS CORPCOM5801351012431550SHSOLE 155000MCKESSON CORPCOM58155Q1033762260SHSOLE 226000MEDICAL PPTYS TRUST INCCOM58463J30456545000SHSOLE 4500000MERCK & CO INCCOM58933Y105254740564SHSOLE 4056400MERRIMACK PHARMACEUTICALS INCOM590328100195142361SHSOLE 14236100MICROSOFT CORPCOM594918104235433082SHSOLE 3308200MONDELEZ INTL INCCL A6092071053478032SHSOLE 803200MONROE CAP CORPCOM61033510147631599SHSOLE 3159900MORGAN STANLEY EM MKTS DM DECOM61747710420826065SHSOLE 2606500MYLAN N VSHS EURON594651092155570SHSOLE 557000NEW JERSEY RESCOM6460251065678141772SHSOLE 14177200NEXSTAR MEDIA GROUP INCCL A65336K10384814000SHSOLE 1400000NORFOLK SOUTHERN CORPCOM6558441082762236SHSOLE 223600NORTH AMERN ENERGY PARTNERSCOM65684410734276908SHSOLE 7690800NORTHWEST NAT GAS COCOM667655104542989593SHSOLE 8959300NUVEEN CONNECTICUT QLTY MUNCOM67060D10721617507SHSOLE 1750700NUVEEN INT DUR QUAL MUN TRMCOM67067710328021366SHSOLE 2136600NUVEEN NY MUN VALUE FDCOM67062M10514514350SHSOLE 1435000OBSIDIAN ENERGY LTDCOM674482104216190870SHSOLE 19087000OCCIDENTAL PETE CORP DELCOM6745991053445812SHSOLE 581200ORACLE CORPCOM68389X10599419705SHSOLE 1970500PARKER HANNIFIN CORPCOM7010941041025262586SHSOLE 6258600PEPSICO INCCOM7134481084804182SHSOLE 418200PERMA-FIX ENVIRONMENTAL SVCSCOM NEW7141572038925780SHSOLE 2578000PFIZER INCCOM717081103139041851SHSOLE 4185100PHH CORPCOM NEW69332020214110000SHSOLE 1000000PHILIP MORRIS INTL INCCOM7181721094243590SHSOLE 359000PIONEER NAT RES COCOM7237871071162372592SHSOLE 7259200PLAINS GP HLDGS L PLTD PARTNR INT A72651A20779129845SHSOLE 2984500PNC FINL SVCS GROUP INCCOM693475105293823093SHSOLE 2309300PROCTER AND GAMBLE COCOM742718109117813543SHSOLE 1354300PROGENICS PHARMACEUTICALS INCOM74318710649371930SHSOLE 7193000PROSHARES TRPSHS ULSHT SP50074347B30022618118SHSOLE 1811800PROSHARES TRULTRAPRO SHORT Q74348A1602909640SHSOLE 964000PROSHARES TRULTRAPRO SHORT S74348A44225516745SHSOLE 1674500PULTE GROUP INCCOM74586710127111100SHSOLE 1110000PURECYCLE CORPCOM NEW746228303771100161SHSOLE 10016100PUTMAN HIGH INCOME SEC FUNDSHS BEN INT74677910710111438SHSOLE 1143800PUTNAM PREMIER INCOME TRSH BEN INT7468531008916400SHSOLE 1640000PVH CORPCOM6936561004624135SHSOLE 413500QEP RES INCCOM74733V100957103645SHSOLE 10364500QORVO INCCOM74736K101441865476SHSOLE 6547600QUALCOMM INCCOM7475251035239313SHSOLE 931300RITE AID CORPCOM767754104186400SHCallSOLE 8640000ROPER TECHNOLOGIES INCCOM77669610667013281970SHSOLE 28197000SANOFIRIGHT 12/31/202080105N1131333635SHSOLE 3363500SCHLUMBERGER LTDCOM8068571083335085SHSOLE 508500SCORPIO TANKERS INCSHSY7542C1061801479015SHSOLE 47901500SELECT SECTOR SPDR TRSBI INT-INDS81369Y70469210000SHSOLE 1000000SMUCKER J M COCOM NEW83269640510699284SHSOLE 928400SOLAR CAP LTDCOM83413U1005397247103SHSOLE 24710300SOLAR SR CAP LTDCOM83416M1052228129484SHSOLE 12948400SOUTH JERSEY INDS INCCOM8385181084132123699SHSOLE 12369900SPDR GOLD TRUSTGOLD SHS78463V1075074373SHSOLE 437300SPDR S&P 500 ETF TRTR UNIT78462F1031091044712SHSOLE 4471200SPDR S&P 500 ETF TRTR UNIT78462F10333200SHPutSOLE 20000SPDR SERIES TRUSTBLMBRG BR 1 3 MT78464A68057212520SHSOLE 1252000SPECTRANETICS CORPCOM84760C107103827047SHSOLE 2704700SPECTRUM PHARMACEUTICALS INCCOM84763A1087410042SHSOLE 1004200STONECASTLE FINL CORPCOM86178010432716272SHSOLE 1627200STRYKER CORPCOM8636671013452389SHSOLE 238900SYNERGY PHARMACEUTICALS DELCOM NEW8716393081352303060SHSOLE 30306000TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR8740391009984279745SHSOLE 27974500TECOGEN INC NEWCOM NEW87876P2012195671257SHSOLE 67125700TESORO CORPCOM8816091013363486SHSOLE 348600TIME WARNER INCCOM NEW8873173038208222SHSOLE 822200TITAN INTL INC ILLCOM88830M1022138175845SHSOLE 17584500TOLL BROTHERS INCCOM889478103203651265SHSOLE 5126500TRAVELERS COMPANIES INCCOM89417E1092331860PRNSOLE 186000TRIMBLE INCCOM89623910012723340542SHSOLE 34054200TUESDAY MORNING CORPCOM NEW899035505185102976SHSOLE 10297600TWO HBRS INVT CORPCOM90187B1014132417746SHSOLE 41774600UNI PIXEL INCCOM NEW904572203821000SHSOLE 2100000UNION PAC CORPCOM907818108163014925SHSOLE 1492500UNITED INS HLDGS CORPCOM91071010247229679SHSOLE 2967900UNITED TECHNOLOGIES CORPCOM9130171094593711SHSOLE 371100UNITEDHEALTH GROUP INCCOM91324P1026103265SHSOLE 326500UNIVERSAL DISPLAY CORPCOM91347P1057136188SHSOLE 618800V F CORPCOM918204108133423856SHSOLE 2385600VANECK VECTORS ETF TRGOLD MINERS ETF92189F10625311625SHSOLE 1162500VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835234228683SHSOLE 2868300VANGUARD INDEX FDSMCAP VL IDXVIP9229085123383266SHSOLE 326600VANGUARD INDEX FDSTOTAL STK MKT9229087697025594SHSOLE 559400VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775123724415SHSOLE 2441500VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF9220428744478025SHSOLE 802500VANGUARD SCOTTSDALE FDSMORTG-BACK SEC92206C771116322095SHSOLE 2209500VANGUARD WORLD FDSCONSUM DIS ETF92204A10813629605SHSOLE 960500VERIZON COMMUNICATIONS INCCOM92343V10462814519SHSOLE 1451900VOYA FINL INCCOM929089100315384860SHSOLE 8486000WALGREENS BOOTS ALLIANCE INCCOM931427108387349965SHSOLE 4996500WELLS FARGO CO NEWCOM9497461013045517SHSOLE 551700WESTERN ASSET EMRG MKT DEBTCOM95766A10137323883SHSOLE 2388300WESTERN ASSET GLOBAL CP DEFICOM95790C10749227470SHSOLE 2747000WESTERN ASSET HGH YLD DFNDFDCOM95768B10746530041SHSOLE 3004100WESTERN DIGITAL CORPCOM95810210510359110045SHSOLE 11004500WESTROCK COCOM96145D105280847898SHSOLE 4789800WHITESTONE REITCOM96608420450640817SHSOLE 4081700WIDEPOINT CORPCOM9675901002150000SHSOLE 5000000WISDOMTREE TREUROPE HEDGED EQ97717X701202832066SHSOLE 3206600WISDOMTREE TRJAPN HEDGE EQT97717W851189936095SHSOLE 3609500YORK WTR COCOM987184108115833475SHSOLE 3347500