0001221073-18-000048.txt : 20180803 0001221073-18-000048.hdr.sgml : 20180803 20180803103401 ACCESSION NUMBER: 0001221073-18-000048 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180803 DATE AS OF CHANGE: 20180803 EFFECTIVENESS DATE: 20180803 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: 18990675 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 06-30-2018 06-30-2018 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 07-30-2018 0 255 535377 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1016233169SHSOLE 316900ABBOTT LABSCOM0028241005418875SHSOLE 887500ABBVIE INCCOM00287Y10993010035SHSOLE 1003500ACHAOGEN INCCOM00444910413916054SHSOLE 1605400ADAMAS PHARMACEUTICALS INCCOM00548A10640715770SHSOLE 1577000AETNA INC NEWCOM00817Y1083942146SHSOLE 214600ALLERGAN PLCSHSG0177J10811837098SHSOLE 709800ALPHABET INCCAP STK CL A02079K30532152847SHSOLE 284700ALPHABET INCCAP STK CL C02079K10751604625SHSOLE 462500ALTRIA GROUP INCCOM02209S1032845000SHSOLE 500000AMAZON COM INCCOM023135106867510SHSOLE 51000AMC NETWORKS INCCL A00164V103159625660SHSOLE 2566000AMERICAN WTR WKS CO INC NEWCOM03042010318155212633SHSOLE 21263300AMGEN INCCOM03116210012726889SHSOLE 688900ANADARKO PETE CORPCOM0325111075577600SHSOLE 760000ANTERO RES CORPCOM03674X106157373694SHSOLE 7369400APOLLO GLOBAL MGMT LLCCL A SHS0376123063019450SHSOLE 945000APOLLO INVT CORPCOM03761U10640272140SHSOLE 7214000APPLE INCCOM0378331001655089404SHSOLE 8940400AQUA AMERICA INCCOM03836W10397727768SHSOLE 2776800ARES COML REAL ESTATE CORPCOM04013V1082338169317SHSOLE 16931700ASHFORD HOSPITALITY TR INCCOM SHS04410310932039500SHSOLE 3950000ASSURED GUARANTY LTDCOMG0585R106334993736SHSOLE 9373600AT&T INCCOM00206R102255479536SHSOLE 7953600ATLAS FINANCIAL HOLDINGS INCSHS NEWG06207115914104423SHSOLE 10442300AUTODESK INCCOM0527691067876005SHSOLE 600500AUTOMATIC DATA PROCESSING INCOM0530151033012244SHSOLE 224400AUTONATION INCCOM05329W1023497175SHSOLE 717500AVEO PHARMACEUTICALS INCCOM0535881098638000SHSOLE 3800000AVIS BUDGET GROUPCOM05377410579724520SHSOLE 2452000AXIS CAPITAL HOLDINGS LTDSHSG0692U1096248112341SHSOLE 11234100BANK AMER CORPCOM06050510435612629SHSOLE 1262900BB&T CORPCOM0549371072905756SHSOLE 575600BERKSHIRE HATHAWAY INC DELCL A0846701082821SHSOLE 100BERKSHIRE HATHAWAY INC DELCL B NEW084670702818243835SHSOLE 4383500BLACKROCK INCOME TR INCCOM09247F10020835615SHSOLE 3561500BLUE CAP REINS HLDGS LTDCOMG1190F1071224110761SHSOLE 11076100BOEING COCOM0970231053981186SHSOLE 118600BRISTOL MYERS SQUIBB COCOM1101221084387908SHSOLE 790800BROOKDALE SR LIVING INCCOM11246310426028557SHSOLE 2855700CALIFORNIA WTR SVC GROUPCOM130788102334285798SHSOLE 8579800CAMPBELL SOUP COCOM1344291092806900SHSOLE 690000CAPSTEAD MTG CORPCOM NO PAR14067E50624827745SHSOLE 2774500CAREDX INCCOM14167L10322518400SHSOLE 1840000CATALYST PHARMACEUTICALS INCCOM14888U1016821950SHSOLE 2195000CATERPILLAR INC DELCOM149123101545940238SHSOLE 4023800CBS CORP NEWCL B1248572028482150873SHSOLE 15087300CF INDS HLDGS INCCOM1252691004139305SHSOLE 930500CHERRY HILL MTG INVT CORPCOM164651101111962672SHSOLE 6267200CHESAPEAKE UTILS CORPCOM165303108607876027SHSOLE 7602700CHEVRON CORP NEWCOM166764100135810743SHSOLE 1074300CINEDIGM CORPCOM NEW1724062096139350SHSOLE 3935000CISCO SYS INCCOM17275R1022806516SHSOLE 651600CITIGROUP INCCOM NEW1729674247895117971SHSOLE 11797100CLOROX CO DELCOM1890541092912150SHSOLE 215000COCA COLA COCOM19121610047510832SHSOLE 1083200COLGATE PALMOLIVE COCOM1941621033174884SHSOLE 488400COMCAST CORP NEWCL A20030N1012216728SHSOLE 672800COMMSCOPE HLDG CO INCCOM20337X109231379211SHSOLE 7921100CONNECTICUT WTR SVC INCCOM2077971016539100104SHSOLE 10010400CONNECTONE BANCORP INC NEWCOM20786W1072128500SHSOLE 850000CONSOLIDATED EDISON INCCOM209115104113214520SHSOLE 1452000CORE LABORATORIES N VCOMN22717107548543459SHSOLE 4345900CORPORATE CAP TR INCCOM2198801011730110742SHSOLE 11074200CRESTWOOD EQUITY PARTNERS LPUNIT LTD PARTNER22634420838111985SHSOLE 1198500CSX CORPCOM12640810387813765SHSOLE 1376500CUI GLOBAL INCCOM NEW12657620633101114502SHSOLE 111450200CVS HEALTH CORPCOM1266501004186498SHSOLE 649800DANAHER CORP DELCOM2358511023733781SHSOLE 378100DEERE & COCOM2441991053332380SHSOLE 238000DELL TECHNOLOGIES INCCOM CL V24703L1035176113SHSOLE 611300DEVON ENERGY CORP NEWCOM25179M103135430799SHSOLE 3079900DIME CMNTY BANCSHARESCOM25392210828314536SHSOLE 1453600DIREXION SHS ETF TRDAILY SM CAP BEA25490K52112613436SHSOLE 1343600DISCOVER FINL SVCSCOM2547091085517828SHSOLE 782800DISNEY WALT COCOM DISNEY254687106275226257SHSOLE 2625700DOWDUPONT INCCOM26078J1002774202SHSOLE 420200ECOLAB INCCOM278865100179412781SHSOLE 1278100EMC INS GROUP INCCOM26866410937513500SHSOLE 1350000EMERSON ELEC COCOM2910111043855563SHSOLE 556300ENERGEN CORPCOM29265N1088796120796SHSOLE 12079600ENSCO PLCSHS CLASS AG3157S10613118100SHSOLE 1810000ENTERCOM COMMUNICATIONS CORPCL A29363910010113405SHSOLE 1340500EQT CORPCOM26884L109302954890SHSOLE 5489000EQT MIDSTREAM PARTNERS LPUNIT LTD PARTN26885B1002945700SHSOLE 570000EVEREST RE GROUP LTDCOMG3223R108709830795SHSOLE 3079500EXPRESS SCRIPTS HLDG COCOM30219G1083174101SHSOLE 410100EXXON MOBIL CORPCOM30231G102452654706SHSOLE 5470600EZCORP INCCL A NON VTG30230110699182239SHSOLE 8223900FACEBOOK INCCL A30303M10211405866SHSOLE 586600FEDEX CORPCOM31428X1065902598SHSOLE 259800FIFTH THIRD BANCORPCOM31677310031310891SHSOLE 1089100FIRST SOLAR INCCOM33643310780815345SHSOLE 1534500FLEX LTDORDY2573F102145981034552SHSOLE 103455200FS INVT CORPCOM30263510741856910SHSOLE 5691000GALLAGHER ARTHUR J & COCOM363576109267741013SHSOLE 4101300GENERAL ELECTRIC COCOM36960410321315652SHSOLE 1565200GENERAL MTRS COCOM37045V1007308185477SHSOLE 18547700GILEAD SCIENCES INCCOM37555810379711246SHSOLE 1124600GOODYEAR TIRE & RUBR COCOM382550101159068262SHSOLE 6826200GRAN TIERRA ENERGY INCCOM38500T10119456275SHSOLE 5627500GRANITE PT MTG TR INCCOM38741L10749927191SHSOLE 2719100GRAPHIC PACKAGING HLDG COCOM38868910150434715SHSOLE 3471500HARRIS CORP DELCOM413875105253217521SHSOLE 1752100HARTFORD FINL SVCS GROUP INCCOM4165151046984136585SHSOLE 13658500HC2 HLDGS INCCOM40413910714625000SHSOLE 2500000HCA HEALTHCARE INCCOM40412C101104910220SHSOLE 1022000HERITAGE INS HLDGS INCCOM42727J10252131249SHSOLE 3124900HEXCEL CORP NEWCOM428291108208931475SHSOLE 3147500HI-CRUSH PARTNERS LPCOM UNIT LTD4283371099121773001SHSOLE 77300100HIMAX TECHNOLOGIES INCSPONSORED ADR43289P10643057580SHSOLE 5758000HOME DEPOT INCCOM4370761026463312SHSOLE 331200HONEYWELL INTL INCCOM438516106761952893SHSOLE 5289300HUNT COS FIN TR INCCOM44558T100349102250SHSOLE 10225000IAC INTERACTIVECORPCOM44919P5084573000SHSOLE 300000ILLINOIS TOOL WKS INCCOM4523081095123699SHSOLE 369900ILLUMINA INCCOM452327109279610012SHSOLE 1001200INFINITY PHARMACEUTICALS INCCOM45665G30318395630SHSOLE 9563000INFORMATION SERVICES GROUP ICOM45675Y104490119435SHSOLE 11943500INSPIRED ENTMT INCCOM45782N10814022419SHSOLE 2241900INTEL CORPCOM458140100122824708SHSOLE 2470800INTELLICHECK INCCOM NEW45817G20129361276612SHSOLE 127661200INTERNATIONAL BUSINESS MACHSCOM4592001014463194SHSOLE 319400ISHARES GOLD TRUSTISHARES4642851052603216578SHSOLE 21657800ISHARES INCINTL HIGH YIELD4642862103396537SHSOLE 653700ISHARES TR1 3 YR CR BD ETF4642886465825615SHSOLE 561500ISHARES TR1 3 YR TREAS BD4642874572082500SHSOLE 250000ISHARES TR20 YR TR BD ETF4642874328577043SHSOLE 704300ISHARES TR3 7 YR TREAS BD4642886617386151SHSOLE 615100ISHARES TRBARCLAYS 7 10 YR464287440146614297SHSOLE 1429700ISHARES TRCMBS ETF46429B36657811530SHSOLE 1153000ISHARES TRCUR HD EURZN ETF46434V6392498285SHSOLE 828500ISHARES TRIBONDS DEC19 ETF46434VAU4114546200PRNSOLE 4620000ISHARES TRIBOXX INV CP ETF46428724210038758SHSOLE 875800ISHARES TRMBS ETF4642885882942821SHSOLE 282100ISHARES TRNATIONAL MUN ETF4642884142001830SHSOLE 183000ISHARES TRRUSSELL 2000 ETF4642876558025000SHPutSOLE 2500000ISHARES TRRUSSELL 2000 ETF464287655851SHSOLE 5100ISHARES TRTRS FLT RT BD46434V86062712460SHSOLE 1246000JOHNSON & JOHNSONCOM478160104537944329SHSOLE 4432900JOHNSON CTLS INTL PLCSHSG515021053902116641SHSOLE 11664100JPMORGAN CHASE & COCOM46625H100504748432SHSOLE 4843200KIMBERLY CLARK CORPCOM4943681034404181SHSOLE 418100KRAFT HEINZ COCOM5007541065658998SHSOLE 899800LABORATORY CORP AMER HLDGSCOM NEW50540R4092621460SHSOLE 146000LIBERTY GLOBAL PLCSHS CL CG5480U12030511458SHSOLE 1145800LIQTECH INTL INCCOM53632A10215182039126SHSOLE 203912600LOWES COS INCCOM548661107110711585SHSOLE 1158500MACQUARIE INFRASTRUCTURE CORCOM55608B105407396521SHSOLE 9652100MARATHON PETE CORPCOM56585A10277211005SHSOLE 1100500MATADOR RES COCOM5764852054365145260SHSOLE 14526000MATLIN & PARTNERS ACQUISITIO*W EXP 05/28/20257682V1141725000SHSOLE 2500000MATLIN & PARTNERS ACQUISITIOCL A57682V10624725000SHSOLE 2500000MCDONALDS CORPCOM5801351012291462SHSOLE 146200MCKESSON CORPCOM58155Q103146811005SHSOLE 1100500MERCK & CO INCCOM58933Y105232438288SHSOLE 3828800MICRON TECHNOLOGY INCCOM595112103336464150SHSOLE 6415000MICROSOFT CORPCOM594918104336434114SHSOLE 3411400MONDELEZ INTL INCCL A6092071052826883SHSOLE 688300MONROE CAP CORPCOM61033510169151249SHSOLE 5124900MORGAN STANLEY EM MKTS DM DECOM61747710417025303SHSOLE 2530300MYLAN N VSHS EURON5946510952214430SHSOLE 1443000NABRIVA THERAPEUTICS PLCSHSG636371055716400SHSOLE 1640000NEW JERSEY RESCOM6460251066235139329SHSOLE 13932900NORFOLK SOUTHERN CORPCOM6558441083032011SHSOLE 201100NORTHWEST NAT GAS COCOM667655104558987599SHSOLE 8759900NOVAVAX INCCOM6700021042619500SHSOLE 1950000NUVEEN CONNECTICUT QLTY MUNCOM67060D10719916739SHSOLE 1673900NUVEEN INT DUR QUAL MUN TRMCOM67067710326921366SHSOLE 2136600NUVEEN NY MUN VALUE FDCOM67062M10513414550SHSOLE 1455000NVIDIA CORPCOM67066G1043411440SHSOLE 144000NXP SEMICONDUCTORS N VCOMN6596X1092582360SHSOLE 236000OAKTREE SPECIALTY LENDING COCOM67401P108533111570SHSOLE 11157000OBSIDIAN ENERGY LTDCOM674482104211186590SHSOLE 18659000OCCIDENTAL PETE CORP DELCOM6745991054935888SHSOLE 588800ONCONOVA THERAPEUTICS INCCOM NEW68232V30651125650SHSOLE 12565000ORACLE CORPCOM68389X10571016104SHSOLE 1610400PARATEK PHARMACEUTICALS INCCOM69937430215415119SHSOLE 1511900PARKER HANNIFIN CORPCOM701094104982663045SHSOLE 6304500PATTERSON UTI ENERGY INCCOM70348110142523600SHSOLE 2360000PEPSICO INCCOM7134481084804409SHSOLE 440900PERMA-FIX ENVIRONMENTAL SVCSCOM NEW71415720310623660SHSOLE 2366000PFIZER INCCOM717081103153642343SHSOLE 4234300PHILIP MORRIS INTL INCCOM7181721092092590SHSOLE 259000PIONEER NAT RES COCOM7237871071357471728SHSOLE 7172800PNC FINL SVCS GROUP INCCOM693475105255718924SHSOLE 1892400PROCTER AND GAMBLE COCOM74271810992311830SHSOLE 1183000PROGENICS PHARMACEUTICALS INCOM74318710648560330SHSOLE 6033000PUMA BIOTECHNOLOGY INCCOM74587V1074147006SHSOLE 700600PURE ACQUISITION CORP*W EXP 04/17/20274621Q1146450000SHSOLE 5000000PURE ACQUISITION CORPCL A74621Q106964100000SHSOLE 10000000PURECYCLE CORPCOM NEW74622830395599986SHSOLE 9998600PUTNAM PREMIER INCOME TRSH BEN INT74685310012323490SHSOLE 2349000PVH CORPCOM6936561005353572SHSOLE 357200QEP RES INCCOM74733V100107187378SHSOLE 8737800QORVO INCCOM74736K101426853241SHSOLE 5324100QUALCOMM INCCOM74752510375613471SHSOLE 1347100RANGE RES CORPCOM75281A1094410000SHCallSOLE 1000000RITE AID CORPCOM7677541047845000SHSOLE 4500000ROPER TECHNOLOGIES INCCOM77669610676119275884SHSOLE 27588400S&P GLOBAL INCCOM78409V104322815834SHSOLE 1583400SALESFORCE COM INCCOM79466L3025854288SHSOLE 428800SANOFIRIGHT 12/31/202080105N1131733635SHSOLE 3363500SCHLUMBERGER LTDCOM8068571083044529SHSOLE 452900SCORPIO TANKERS INCSHSY7542C106638227020SHSOLE 22702000SMUCKER J M COCOM NEW8326964056516053SHSOLE 605300SOLAR CAP LTDCOM83413U1004407215595SHSOLE 21559500SOLAR SR CAP LTDCOM83416M105161799116SHSOLE 9911600SOUTH JERSEY INDS INCCOM8385181083873115729SHSOLE 11572900SPDR GOLD TRUSTGOLD SHS78463V107375931678SHSOLE 3167800SPDR S&P 500 ETF TRTR UNIT78462F10327089984SHSOLE 998400SPDR S&P 500 ETF TRTR UNIT78462F1037233000SHPutSOLE 3300000SPECTRUM PHARMACEUTICALS INCCOM84763A10821010042SHSOLE 1004200SPIRIT MTA REITCOM SHS BEN IN84861U10512412049SHSOLE 1204900SPIRIT RLTY CAP INC NEWCOM84860W10210813500SHSOLE 1350000STAG INDL INCCOM85254J1022017384SHSOLE 738400STONECASTLE FINL CORPCOM86178010434815219SHSOLE 1521900STRYKER CORPCOM8636671014032389SHSOLE 238900SYNERGY PHARMACEUTICALS DELCOM NEW871639308482277110SHSOLE 27711000TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR8740391009056247713SHSOLE 24771300TECOGEN INC NEWCOM NEW87876P2012505673452SHSOLE 67345200TITAN INTL INC ILLCOM88830M1021997186081SHSOLE 18608100TPG PACE ENERGY HLDGS CORPCL A87265610345742001SHSOLE 4200100TRAVELERS COMPANIES INCCOM89417E1097706293SHSOLE 629300TRIMBLE INCCOM89623910010953333515SHSOLE 33351500TRIVAGO N VSPON ADS A SHS89686D10513028600SHSOLE 2860000UNION PAC CORPCOM907818108208414709SHSOLE 1470900UNITED INS HLDGS CORPCOM91071010240420645SHSOLE 2064500UNITED TECHNOLOGIES CORPCOM9130171094673736SHSOLE 373600UNITEDHEALTH GROUP INCCOM91324P1028013265SHSOLE 326500VANECK VECTORS ETF TRBDC INCOME ETF92189F41117210365SHSOLE 1036500VANECK VECTORS ETF TRGOLD MINERS ETF92189F10625911625SHSOLE 1162500VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835286236142SHSOLE 3614200VANGUARD INDEX FDSMCAP VL IDXVIP9229085124684241SHSOLE 424100VANGUARD INDEX FDSTOTAL STK MKT922908769234116670SHSOLE 1667000VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775260550253SHSOLE 5025300VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF92204287473113030SHSOLE 1303000VANGUARD SCOTTSDALE FDSMORTG-BACK SEC92206C771117422845SHSOLE 2284500VANGUARD WORLD FDSCONSUM DIS ETF92204A108181810715SHSOLE 1071500VERIZON COMMUNICATIONS INCCOM92343V104106921248SHSOLE 2124800VERMILION ENERGY INCCOM92372510568318953SHSOLE 1895300WALGREENS BOOTS ALLIANCE INCCOM931427108491581894SHSOLE 8189400WELLS FARGO CO NEWCOM949746101267048155SHSOLE 4815500WESTERN ASSET EMRG MKT DEBTCOM95766A10130823212SHSOLE 2321200WESTERN ASSET GLOBAL CP DEFICOM95790C10721813020SHSOLE 1302000WESTERN ASSET HGH YLD DFNDFDCOM95768B10734023323SHSOLE 2332300WESTERN DIGITAL CORPCOM95810210515417199166SHSOLE 19916600WESTROCK COCOM96145D105296752032SHSOLE 5203200WHITESTONE REITCOM96608420414911965SHSOLE 1196500WIDEPOINT CORPCOM9675901002850000SHSOLE 5000000WISDOMTREE TREUROPE HEDGED EQ97717X701165526211SHSOLE 2621100WISDOMTREE TRJAPN HEDGE EQT97717W851399974075SHSOLE 7407500XAI OCTAGON FLOATNG RATE ALTCOM98400T10629231925SHSOLE 3192500YORK WTR COCOM987184108104532875SHSOLE 3287500ZAYO GROUP HLDGS INCCOM98919V10582522621SHSOLE 2262100