0001698926-20-000004.txt : 20201117 0001698926-20-000004.hdr.sgml : 20201117 20201116212200 ACCESSION NUMBER: 0001698926-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201117 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201117 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: 201319084 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 09-30-2020 09-30-2020 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 X1 11-16-2020 0 97 137054 false INFORMATION TABLE 2 adalta093020.xml 1life Healthcare Inc COM 68269G107 386 13625 SH SOLE 9625 0 4000 Advanced Micro Devices, Inc. COM 007903107 278 3390 SH SOLE 1390 0 2000 Agfiq US Market Neutral Anti-Beta Fund AGFIQ US MK ANTI 00110G408 2486 105372 SH SOLE 65372 0 40000 Alibaba Group ADR SPONSORED ADS 01609W102 4314 14675 SH SOLE 13875 0 800 Alphabet Inc. Class A CAP STK CL A 02079K305 174 119 SH OTR 119 0 0 Alphabet Inc. Class A CAP STK CL A 02079K305 3986 2720 SH SOLE 2538 0 182 Alphabet Inc. Class C CAP STK CL C 02079K107 22 15 SH OTR 15 0 0 Alphabet Inc. Class C CAP STK CL C 02079K107 802 546 SH SOLE 461 0 85 Amarin Corp PLC ADR SPONS ADR NEW 023111206 43 10100 SH OTR 10100 0 0 Amarin Corp PLC ADR SPONS ADR NEW 023111206 523 124215 SH SOLE 119915 0 4300 American Express Co. COM 025816109 178 1775 SH OTR 1775 0 0 American Express Co. COM 025816109 2847 28398 SH SOLE 26558 0 1840 Appian Corp CL A 03782L101 275 4250 SH SOLE 2250 0 2000 Apple COM 037833100 1448 12500 SH SOLE 12500 0 0 Arch Capital Group Ltd ORD G0450A105 694 23710 SH SOLE 20710 0 3000 Arena Pharmaceuticals Inc COM NEW 040047607 261 3490 SH SOLE 1490 0 2000 Baxter International COM 071813109 4 50 SH OTR 50 0 0 Baxter International COM 071813109 1360 16865 SH SOLE 16440 0 425 Biogen Inc COM 09062X103 227 800 SH SOLE 800 0 0 Blackstone Group Inc Class A COM CL A 09260D107 52 1000 SH OTR 1000 0 0 Blackstone Group Inc Class A COM CL A 09260D107 4842 92761 SH SOLE 88586 0 4175 Blackstone Mortgage Trust Inc COM CL A 09257W100 118 5225 SH OTR 5225 0 0 Blackstone Mortgage Trust Inc COM CL A 09257W100 2260 100061 SH SOLE 91146 0 8915 Boeing COM 097023105 1875 11348 SH SOLE 11348 0 0 Box Inc CL A 10316T104 8 450 SH OTR 450 0 0 Box Inc CL A 10316T104 839 48307 SH SOLE 46382 0 1925 Bristol-Myers Squibb COM 110122108 32 525 SH OTR 525 0 0 Bristol-Myers Squibb COM 110122108 1117 18523 SH SOLE 14893 0 3630 Brookfield Asset Management Class A CL A LTD VT SH 112585104 194 5867 SH OTR 5867 0 0 Brookfield Asset Management Class A CL A LTD VT SH 112585104 5321 160957 SH SOLE 150766 0 10191 Brookfield Real Assets I SHS BEN INT 112830104 238 14400 SH SOLE 14400 0 0 Brookfield Renewable LP PARTNERSHIP UNIT G16258108 919 17485 SH SOLE 16885 0 600 Brookfield Renewable C F Class A CL A SUB VTG 11284V105 235 4013 SH SOLE 3863 0 150 Canadian National Railway Co. COM 136375102 1831 17200 SH SOLE 17200 0 0 Chevron Corp. COM 166764100 112 1550 SH OTR 1550 0 0 Chevron Corp. COM 166764100 970 13470 SH SOLE 12020 0 1450 Cisco Systems COM 17275R102 12 300 SH OTR 300 0 0 Cisco Systems COM 17275R102 2032 51590 SH SOLE 51590 0 0 Cognex Corp COM 192422103 234 3600 SH SOLE 2600 0 1000 Colgate-Palmolive Co COM 194162103 691 8960 SH SOLE 3060 0 5900 Comcast Corporation CL A 20030N101 149 3225 SH OTR 3225 0 0 Comcast Corporation CL A 20030N101 3708 80145 SH SOLE 76170 0 3975 Consolidated Edison COM 209115104 16 200 SH OTR 200 0 0 Consolidated Edison COM 209115104 572 7350 SH SOLE 7050 0 300 CrowdStrike Holdings, Inc. CL A 22788C105 386 2811 SH SOLE 1811 0 1000 ExxonMobil Corp COM 30231G102 267 7786 SH SOLE 4786 0 3000 Fulgent Genetics Inc Com COM 359664109 280 7000 SH SOLE 3000 0 4000 Gilead Sciences Inc. COM 375558103 190 3000 SH OTR 3000 0 0 Guardant Health Inc COM 40131M109 520 4650 SH OTR 4650 0 0 Guardant Health Inc COM 40131M109 11609 103855 SH SOLE 95380 0 8475 Home Depot COM 437076102 194 700 SH OTR 700 0 0 Home Depot COM 437076102 7822 28165 SH SOLE 24765 0 3400 Honeywell Intl Inc COM 438516106 214 1300 SH SOLE 1300 0 0 Johnson & Johnson COM 478160104 253 1700 SH OTR 1700 0 0 Johnson & Johnson COM 478160104 2182 14659 SH SOLE 14209 0 450 JPMorgan Chase & Co COM 46625H100 1117 11600 SH OTR 11600 0 0 JPMorgan Chase & Co COM 46625H100 3622 37620 SH SOLE 37620 0 0 Lattice Semiconductor Corp COM 518415104 193 6650 SH SOLE 2650 0 4000 Markel Corp. COM 570535104 351 360 SH SOLE 250 0 110 Marriott Vacations COM 57164Y107 726 7990 SH SOLE 7990 0 0 Martin Marietta Matr COM 573284106 282 1200 SH SOLE 1200 0 0 Matador Resources Co COM 576485205 124 15000 SH SOLE 15000 0 0 Merck & Co. Inc. COM 58933Y105 300 3590 SH OTR 3590 0 0 Merck & Co. Inc. COM 58933Y105 6105 73060 SH SOLE 67726 0 5334 Microsoft Corp. COM 594918104 778 3700 SH OTR 3700 0 0 Microsoft Corp. COM 594918104 14411 68517 SH SOLE 62757 0 5760 Mitek Systems, Inc. COM NEW 606710200 153 12000 SH SOLE 7000 0 5000 Natera Inc COM 632307104 253 3500 SH SOLE 1500 0 2000 Nextera Energy Inc COM 65339F101 1128 4064 SH SOLE 4064 0 0 Paypal Holdings Inc COM 70450Y103 483 2450 SH SOLE 1650 0 800 Procter & Gamble COM 742718109 464 3340 SH SOLE 3340 0 0 Qualcomm Inc. COM 747525103 188 1600 SH OTR 1600 0 0 Qualcomm Inc. COM 747525103 5675 48220 SH SOLE 46920 0 1300 Regeneron Pharms Inc COM 75886F107 191 342 SH SOLE 342 0 0 Saba Cef ETF SABA INT RATE 30151E806 233 12731 SH SOLE 12731 0 0 Schlumberger Ltd. COM 806857108 2 125 SH OTR 125 0 0 Schlumberger Ltd. COM 806857108 869 55390 SH SOLE 54540 0 850 Simulations Plus Inc Com COM 829214105 293 3890 SH SOLE 1890 0 2000 Slack Technologies, Inc. COM CL A 83088V102 147 5460 SH SOLE 3460 0 2000 Smartsheet Inc Class A COM CL A 83200N103 238 4815 SH SOLE 3815 0 1000 StoneCo Ltd COM CL A G85158106 299 5655 SH SOLE 3155 0 2500 Sunrun Inc. COM 86771W105 362 4700 SH SOLE 2700 0 2000 Switch Inc - A CL A 87105L104 257 16465 SH SOLE 9465 0 7000 Teladoc Health, Inc. COM 87918A105 228 1040 SH SOLE 740 0 300 Teradyne Inc COM 880770102 280 3525 SH OTR 3525 0 0 Teradyne Inc COM 880770102 6143 77315 SH SOLE 71690 0 5625 The Container Store Group Inc COM 210751103 186 30000 SH SOLE 10000 0 20000 Union Pacific Corp. COM 907818108 418 2125 SH OTR 2125 0 0 Union Pacific Corp. COM 907818108 5206 26445 SH SOLE 26445 0 0 Vaneck Vectors Green Bond ETF GREEN BD ETF 92189F171 229 8250 SH SOLE 8250 0 0 Verizon COM 92343V104 162 2725 SH OTR 2725 0 0 Verizon COM 92343V104 2717 45668 SH SOLE 41173 0 4495 Walt Disney COM DISNEY 254687106 804 6480 SH SOLE 4880 0 1600 Weyerhaeuser Co REIT COM NEW 962166104 170 5950 SH OTR 5950 0 0 Weyerhaeuser Co REIT COM NEW 962166104 4063 142475 SH SOLE 135875 0 6600 Woodward, Inc. COM 980745103 259 3225 SH OTR 3225 0 0 Woodward, Inc. COM 980745103 4343 54185 SH SOLE 52220 0 1965