0001698926-20-000001.txt : 20200214 0001698926-20-000001.hdr.sgml : 20200214 20200214162039 ACCESSION NUMBER: 0001698926-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Adalta Capital Management LLC CENTRAL INDEX KEY: 0001698926 IRS NUMBER: 812481155 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18082 FILM NUMBER: 20620259 BUSINESS ADDRESS: STREET 1: 452 FIFTH AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 2128325135 MAIL ADDRESS: STREET 1: 452 FIFTH AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001698926 XXXXXXXX 12-31-2019 12-31-2019 Adalta Capital Management LLC

452 FIFTH AVENUE 14TH FLOOR NEW YORK NY 10018

13F HOLDINGS REPORT 028-18082 N ZOE VLACHOS 2128325135 ZOE VLACHOS NEW YORK NY 02-14-2020 0 118 158957 false INFORMATION TABLE 2 adalta123119.xml Agrofresh Solutions Warrants Exp 07/31/20 *W EXP 07/31/202 00856G117 0 6350 SH OTR 6350 0 0 Agrofresh Solutions Warrants Exp 07/31/20 *W EXP 07/31/202 00856G117 0 58891 SH SOLE 55191 0 3200 Alibaba Group ADR SPONSORED ADS 01609W102 3040 14335 SH SOLE 14335 0 0 Alphabet Inc. Class A CAP STK CL A 02079K305 307 229 SH OTR 229 0 0 Alphabet Inc. Class A CAP STK CL A 02079K305 3902 2913 SH SOLE 2711 0 182 Alphabet Inc. Class C CAP STK CL C 02079K107 87 65 SH OTR 65 0 0 Alphabet Inc. Class C CAP STK CL C 02079K107 897 671 SH SOLE 576 0 85 Amarin Corp PLC ADR SPONS ADR NEW 023111206 356 16600 SH OTR 16600 0 0 Amarin Corp PLC ADR SPONS ADR NEW 023111206 4299 200515 SH SOLE 187315 0 12200 American Express Co. COM 025816109 349 2800 SH OTR 2800 0 0 American Express Co. COM 025816109 3997 32110 SH SOLE 29985 0 1875 Appian Corp CL A 03782L101 204 5350 SH SOLE 2350 0 3000 Apple COM 037833100 1023 3485 SH SOLE 3485 0 0 Arch Capital Group Ltd ORD G0450A105 1021 23810 SH SOLE 20810 0 3000 AT&T COM 00206R102 328 8387 SH SOLE 1200 0 7187 Baxter International COM 071813109 4 50 SH OTR 50 0 0 Baxter International COM 071813109 1424 16990 SH SOLE 16465 0 425 Biogen Inc COM 09062X103 237 800 SH SOLE 800 0 0 Blackstone Group Inc Com Usd0.00001 Class A COM CL A 09260D107 168 3000 SH OTR 3000 0 0 Blackstone Group Inc Com Usd0.00001 Class A COM CL A 09260D107 5459 97581 SH SOLE 92956 0 4175 Blackstone Mortgage Trust Inc COM CL A 09257W100 302 7975 SH OTR 7975 0 0 Blackstone Mortgage Trust Inc COM CL A 09257W100 3312 87525 SH SOLE 82300 0 5225 Boeing COM 097023105 3767 11564 SH SOLE 11564 0 0 Box Inc CL A 10316T104 58 3450 SH OTR 3450 0 0 Box Inc CL A 10316T104 862 51360 SH SOLE 49435 0 1925 Bristol-Myers Squibb COM 110122108 98 1525 SH OTR 1525 0 0 Bristol-Myers Squibb COM 110122108 1192 18573 SH SOLE 14518 0 3630 Brookfield Asset Management Class A CL A LTD VT SH 112585104 398 6887 SH OTR 6887 0 0 Brookfield Asset Management Class A CL A LTD VT SH 112585104 6528 112939 SH SOLE 105544 0 6795 Brookfield Real Assets I SHS BEN INT 112830104 284 13300 SH SOLE 13300 0 0 Brookfield Renewable LP PARTNERSHIP UNIT G16258108 863 18510 SH SOLE 17910 0 600 Canadian National Railway Co. COM 136375102 90 1000 SH OTR 1000 0 0 Canadian National Railway Co. COM 136375102 1737 19200 SH SOLE 19200 0 0 Centurylink Inc COM 156700106 1 71 SH OTR 71 0 0 Centurylink Inc COM 156700106 360 27220 SH SOLE 27070 0 150 Cerner Corp COM 156782104 339 4610 SH SOLE 2610 0 2000 Chevron Corp. COM 166764100 398 3306 SH OTR 3306 0 0 Chevron Corp. COM 166764100 2001 16603 SH SOLE 14845 0 1450 Cisco Systems COM 17275R102 2474 51590 SH SOLE 51590 0 0 Colgate-Palmolive Co COM 194162103 617 8960 SH SOLE 1460 0 5900 Comcast Corporation CL A 20030N101 257 5725 SH OTR 5725 0 0 Comcast Corporation CL A 20030N101 4128 91795 SH SOLE 78445 0 12975 Consolidated Edison COM 209115104 45 500 SH OTR 500 0 0 Consolidated Edison COM 209115104 665 7350 SH SOLE 6950 0 300 Crowdstrike HLDGS Inc CL A 22788C105 237 4760 SH SOLE 2260 0 2500 Devon Energy Corp COM 25179M103 3 125 SH OTR 125 0 0 Devon Energy Corp COM 25179M103 412 15850 SH SOLE 14875 0 975 Doubleline Income Soluti COM 258622109 273 13800 SH SOLE 13800 0 0 Doubleline Opportunistic COM 258623107 325 15765 SH SOLE 15765 0 0 Dover Corporation COM 260003108 104 900 SH OTR 900 0 0 Dover Corporation COM 260003108 547 4750 SH SOLE 4050 0 700 Enbridge Inc COM 29250N105 34 846 SH OTR 846 0 0 Enbridge Inc COM 29250N105 1142 28709 SH SOLE 25455 0 3058 Estre Ambiental Inc WTS *W EXP 12/21/202 G3206V118 0 1450 SH OTR 1450 0 0 Estre Ambiental Inc WTS *W EXP 12/21/202 G3206V118 0 12036 SH SOLE 11376 0 660 ExxonMobil Corp COM 30231G102 638 9136 SH SOLE 5806 0 3000 GTT Communications Inc COM 362393100 596 52550 SH SOLE 350 0 52200 Guardant Health Inc COM 40131M109 598 7650 SH OTR 7650 0 0 Guardant Health Inc COM 40131M109 8368 107085 SH SOLE 97035 0 9475 Home Depot COM 437076102 153 700 SH OTR 700 0 0 Home Depot COM 437076102 6151 28165 SH SOLE 24765 0 3400 Honeywell Intl Inc COM 438516106 551 3114 SH SOLE 3114 0 0 iShares MSCI Global Impact ETF IV MSCI GLOBAL IMP 46435G532 438 6685 SH SOLE 6685 0 0 iShares MSCI KLD 400 Social Indx ETF MSCI KLD400 SOC 464288570 467 3890 SH SOLE 3890 0 0 Johnson & Johnson COM 478160104 321 2200 SH OTR 2200 0 0 Johnson & Johnson COM 478160104 2153 14759 SH SOLE 14309 0 450 JPMorgan Chase & Co COM 46625H100 309 2218 SH OTR 2218 0 0 JPMorgan Chase & Co COM 46625H100 6662 47791 SH SOLE 47791 0 0 Laboratory Corp Of America Holdings COM NEW 50540R409 233 1380 SH SOLE 1380 0 0 Markel Corp. COM 570535104 309 270 SH OTR 270 0 0 Markel Corp. COM 570535104 2911 2546 SH SOLE 2241 0 285 Marriott Vacations COM 57164Y107 113 875 SH OTR 875 0 0 Marriott Vacations COM 57164Y107 1773 13710 SH SOLE 9710 0 4000 Martin Marietta Matr COM 573284106 336 1200 SH SOLE 1200 0 0 Mastercard Inc-Class A CL A 57636Q104 209 700 SH SOLE 0 0 700 Matador Resources Co COM 576485205 270 15000 SH SOLE 15000 0 0 Merck & Co. Inc. COM 58933Y105 576 6290 SH OTR 6290 0 0 Merck & Co. Inc. COM 58933Y105 6728 73480 SH SOLE 67800 0 5334 Microsoft Corp. COM 594918104 1384 8775 SH OTR 8775 0 0 Microsoft Corp. COM 594918104 11632 73758 SH SOLE 66723 0 6560 Nextera Energy Inc COM 65339F101 136 560 SH OTR 560 0 0 Nextera Energy Inc COM 65339F101 994 4105 SH SOLE 4105 0 0 Nuveen Credit Strategies COM SHS 67073D102 110 14400 SH SOLE 14400 0 0 Obsidian Energy LTD NPV COM 674482203 142 197427 SH SOLE 54570 0 142857 Oneok Inc COM 682680103 302 3986 SH OTR 3986 0 0 Oneok Inc COM 682680103 1306 17261 SH SOLE 17261 0 0 Paypal Holdings Inc COM 70450Y103 319 2950 SH SOLE 1750 0 1200 Philip Morris International, Inc. COM 718172109 108 1250 SH OTR 1250 0 0 Philip Morris International, Inc. COM 718172109 1127 13058 SH SOLE 11928 0 1030 Procter & Gamble COM 742718109 62 495 SH OTR 495 0 0 Procter & Gamble COM 742718109 417 3340 SH SOLE 3340 0 0 Qualcomm Inc. COM 747525103 318 3600 SH OTR 3600 0 0 Qualcomm Inc. COM 747525103 4444 50365 SH SOLE 48915 0 1300 Saba Cef ETF SABA INT RATE 30151E806 1537 74125 SH SOLE 62125 0 12000 Sandridge Mississippi LP SH BEN INT 80007V106 3 24800 SH SOLE 24800 0 0 Sandridge Mississippi LP UNIT BEN INT 80007T101 8 40000 SH SOLE 40000 0 0 Schlumberger Ltd. COM 806857108 71 1725 SH OTR 1725 0 0 Schlumberger Ltd. COM 806857108 1953 47815 SH SOLE 46965 0 850 Solar Senior Capital COM 83416M105 188 10600 SH SOLE 10600 0 0 Sunrun Inc. COM 86771W105 140 10125 SH SOLE 3625 0 6500 Teladoc Inc COM 87918A105 239 2850 SH SOLE 1850 0 1000 Teradyne Inc COM 880770102 363 5325 SH OTR 5325 0 0 Teradyne Inc COM 880770102 5716 83825 SH SOLE 76325 0 7125 Tortoise Energy Infrastr COM 89147L100 206 11500 SH SOLE 11500 0 0 Union Pacific Corp. COM 907818108 624 3450 SH OTR 3450 0 0 Union Pacific Corp. COM 907818108 5453 30160 SH SOLE 30160 0 0 Vaneck Vectors Green Bond ETF GREEN BD ETF 92189F171 219 8250 SH SOLE 8250 0 0 Verizon COM 92343V104 12 200 SH OTR 200 0 0 Verizon COM 92343V104 551 8973 SH SOLE 6358 0 2615 Visa Inc COM CL A 92826C839 225 1200 SH SOLE 1200 0 0 Voya Prime Rate Trust SH BEN INT 92913A100 60 12000 SH SOLE 12000 0 0 Wayfair Inc- Class A CL A 94419L101 193 2140 SH OTR 2140 0 0 Wayfair Inc- Class A CL A 94419L101 1987 21983 SH SOLE 20093 0 1735 Wells Fargo & Co. COM 949746101 377 7000 SH SOLE 7000 0 0 Weyerhaeuser Co REIT COM 962166104 288 9525 SH OTR 9525 0 0 Weyerhaeuser Co REIT COM 962166104 4386 145225 SH SOLE 137950 0 6600 Woodward, Inc. COM 980745103 722 6100 SH OTR 6100 0 0 Woodward, Inc. COM 980745103 8817 74440 SH SOLE 70080 0 3960