Chief Compliance Officer

0001085146-20-001398.txt : 20200511 0001085146-20-001398.hdr.sgml : 20200511 20200511121934 ACCESSION NUMBER: 0001085146-20-001398 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200511 DATE AS OF CHANGE: 20200511 EFFECTIVENESS DATE: 20200511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pekin Hardy Strauss, Inc. CENTRAL INDEX KEY: 0001020317 IRS NUMBER: 363667359 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05740 FILM NUMBER: 20863651 BUSINESS ADDRESS: STREET 1: 161 NORTH CLARK STREET STREET 2: SUITE 2200 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 312-896-9668 MAIL ADDRESS: STREET 1: 161 NORTH CLARK STREET STREET 2: SUITE 2200 CITY: CHICAGO STATE: IL ZIP: 60601 FORMER COMPANY: FORMER CONFORMED NAME: PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL DATE OF NAME CHANGE: 20060117 FORMER COMPANY: FORMER CONFORMED NAME: Pekin Singer Strauss Asset Management Inc. DATE OF NAME CHANGE: 20060117 FORMER COMPANY: FORMER CONFORMED NAME: PEKIN SINGER & SHAPIRO ASSET MANAGEMENT /IL DATE OF NAME CHANGE: 19990324 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001020317 XXXXXXXX 03-31-2020 03-31-2020 false Pekin Hardy Strauss, Inc.

161 NORTH CLARK STREET SUITE 2200 CHICAGO IL 60601

13F HOLDINGS REPORT 028-05740 N Jennifer Dunlap Chief Compliance Officer 312-554-7525 /s/ Jennifer Dunlap Chicago IL 05-08-2020 0 176 423355 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 1426 18074 SH SOLE 0 0 18074 ABBVIE INC COM 00287Y109 2738 35942 SH SOLE 0 0 35942 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 1108 73120 SH SOLE 0 0 73120 ADAM NAT RES FD INC COM 00548F105 189 22806 SH SOLE 0 0 22806 AGNC INVT CORP COM 00123Q104 1112 105057 SH SOLE 0 0 105057 AGNICO EAGLE MINES LTD COM 008474108 534 13420 SH SOLE 0 0 13420 AIR LEASE CORP CL A 00912X302 7888 356292 SH SOLE 182000 0 174292 ALAMOS GOLD INC NEW COM CL A 011532108 256 51500 SH SOLE 0 0 51500 ALCON INC ORD SHS H01301128 449 8808 SH SOLE 0 0 8808 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1151 5919 SH SOLE 0 0 5919 ALLSTATE CORP COM 020002101 341 3712 SH SOLE 0 0 3712 ALPHABET INC CAP STK CL A 02079K305 9653 8307 SH SOLE 2100 0 6207 ALPHABET INC CAP STK CL C 02079K107 5583 4801 SH SOLE 0 0 4801 ALPS ETF TR ALERIAN MLP 00162Q866 232 67470 SH SOLE 0 0 67470 ALTRIA GROUP INC COM 02209S103 1859 48073 SH SOLE 0 0 48073 AMAZON COM INC COM 023135106 4071 2088 SH SOLE 0 0 2088 AMERICAN ELEC PWR CO INC COM 025537101 769 9618 SH SOLE 0 0 9618 AMERICAN EXPRESS CO COM 025816109 228 2664 SH SOLE 0 0 2664 ANNALY CAPITAL MANAGEMENT IN COM 035710409 3718 733239 SH SOLE 525000 0 208239 APPLE INC COM 037833100 6898 27127 SH SOLE 0 0 27127 ARDELYX INC COM 039697107 10304 1812517 SH SOLE 1237000 0 575517 ARES CAPITAL CORP COM 04010L103 1017 94310 SH SOLE 0 0 94310 AT&T INC COM 00206R102 87 3000 SH Call SOLE 0 0 3000 AT&T INC COM 00206R102 725 24876 SH SOLE 0 0 24876 AUTOMATIC DATA PROCESSING IN COM 053015103 564 4126 SH SOLE 0 0 4126 BANK NEW YORK MELLON CORP COM 064058100 1767 52460 SH SOLE 0 0 52460 BAXTER INTL INC COM 071813109 671 8267 SH SOLE 0 0 8267 BERKSHIRE HATHAWAY INC DEL CL A 084670108 272 1 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 7869 43040 SH SOLE 0 0 43040 BIOGEN INC COM 09062X103 314 991 SH SOLE 0 0 991 BK OF AMERICA CORP COM 060505104 413 19460 SH SOLE 0 0 19460 BLACKROCK INC COM 09247X101 286 651 SH SOLE 0 0 651 BLACKSTONE GROUP INC COM CL A 09260D107 318 6975 SH SOLE 0 0 6975 BLACKSTONE MTG TR INC COM CL A 09257W100 2664 143065 SH SOLE 0 0 143065 BOOKING HLDGS INC COM 09857L108 410 305 SH SOLE 0 0 305 BP PLC SPONSORED ADR 055622104 3742 153427 SH SOLE 0 0 153427 BRIGHTHOUSE FINL INC COM 10922N103 986 40791 SH SOLE 0 0 40791 BRISTOL-MYERS SQUIBB CO COM 110122108 2555 45831 SH SOLE 0 0 45831 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 3305 214492 SH SOLE 0 0 214492 CANADIAN NATL RY CO COM 136375102 2247 28941 SH SOLE 0 0 28941 CBOE GLOBAL MARKETS INC COM 12503M108 462 5174 SH SOLE 0 0 5174 CENTENE CORP DEL COM 15135B101 1645 27688 SH SOLE 0 0 27688 CF INDS HLDGS INC COM 125269100 314 11550 SH SOLE 0 0 11550 CHARTER COMMUNICATIONS INC N CL A 16119P108 215 492 SH SOLE 0 0 492 CHEVRON CORP NEW COM 166764100 1078 14875 SH SOLE 0 0 14875 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 10355 274899 SH SOLE 125000 0 149899 CHUBB LIMITED COM H1467J104 683 6114 SH SOLE 0 0 6114 CITIZENS FINANCIAL GROUP INC COM 174610105 619 32890 SH SOLE 0 0 32890 CME GROUP INC COM 12572Q105 1934 11183 SH SOLE 0 0 11183 COCA COLA CO COM 191216100 833 18834 SH SOLE 0 0 18834 COHEN & STEERS INFRASTRUCTUR COM 19248A109 275 14590 SH SOLE 0 0 14590 COHERENT INC COM 192479103 1249 11737 SH SOLE 0 0 11737 CONOCOPHILLIPS COM 20825C104 321 10436 SH SOLE 0 0 10436 COSTCO WHSL CORP NEW COM 22160K105 240 840 SH SOLE 0 0 840 CVS HEALTH CORP COM 126650100 837 14108 SH SOLE 0 0 14108 DANAHER CORPORATION COM 235851102 707 5108 SH SOLE 0 0 5108 DESPEGAR COM CORP ORD SHS G27358103 2033 358585 SH SOLE 200000 0 158585 DIAGEO P L C SPON ADR NEW 25243Q205 366 2878 SH SOLE 0 0 2878 DOMINION ENERGY INC COM 25746U109 231 3204 SH SOLE 0 0 3204 DYADIC INTL INC DEL COM 26745T101 277 53350 SH SOLE 0 0 53350 EATON CORP PLC SHS G29183103 1243 16002 SH SOLE 0 0 16002 EMBRAER S.A. SPONSORED ADS 29082A107 3590 485076 SH SOLE 75000 0 410076 EMERSON ELEC CO COM 291011104 541 11354 SH SOLE 0 0 11354 ENBRIDGE INC COM 29250N105 738 25384 SH SOLE 0 0 25384 ENTERPRISE PRODS PARTNERS L COM 293792107 1234 86314 SH SOLE 0 0 86314 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 269 7225 SH SOLE 0 0 7225 EVERCORE INC CLASS A 29977A105 5099 110700 SH SOLE 69000 0 41700 EXELON CORP COM 30161N101 4678 127095 SH SOLE 0 0 127095 EXXON MOBIL CORP COM 30231G102 3300 86900 SH SOLE 0 0 86900 FACEBOOK INC CL A 30303M102 583 3497 SH SOLE 0 0 3497 FEDEX CORP COM 31428X106 912 7524 SH SOLE 0 0 7524 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 920 35715 SH SOLE 0 0 35715 GABELLI EQUITY TR INC COM 362397101 104 23943 SH SOLE 0 0 23943 GENERAL DYNAMICS CORP COM 369550108 472 3565 SH SOLE 0 0 3565 GILEAD SCIENCES INC COM 375558103 1479 19780 SH SOLE 0 0 19780 GOLUB CAP BDC INC COM 38173M102 1709 136101 SH SOLE 0 0 136101 HERON THERAPEUTICS INC COM 427746102 6912 588732 SH SOLE 340000 0 248732 HOME DEPOT INC COM 437076102 535 2866 SH SOLE 0 0 2866 HUDSON TECHNOLOGIES INC COM 444144109 1163 1686255 SH SOLE 940000 0 746255 IDEX CORP COM 45167R104 311 2250 SH SOLE 0 0 2250 ILLINOIS TOOL WKS INC COM 452308109 243 1708 SH SOLE 0 0 1708 INTERNATIONAL BUSINESS MACHS COM 459200101 621 5597 SH SOLE 0 0 5597 INVESCO EXCHANGE-TRADED FD T SR LN ETF 46138G508 0 20000 SH Put SOLE 20000 0 0 ISHARES GOLD TRUST ISHARES 464285105 4032 267563 SH SOLE 0 0 267563 ISHARES SILVER TRUST ISHARES 46428Q109 143 10950 SH SOLE 0 0 10950 ISHARES TR CORE S&P500 ETF 464287200 494 1910 SH SOLE 0 0 1910 ISHARES TR MSCI EMG MKT ETF 464287234 310 9073 SH SOLE 0 0 9073 ITURAN LOCATION AND CONTROL SHS M6158M104 4010 282195 SH SOLE 152000 0 130195 JOHNSON & JOHNSON COM 478160104 4412 33648 SH SOLE 0 0 33648 JONES LANG LASALLE INC COM 48020Q107 8953 88657 SH SOLE 28800 0 59857 JPMORGAN CHASE & CO COM 46625H100 2117 23518 SH SOLE 0 0 23518 KINDER MORGAN INC DEL COM 49456B101 248 17828 SH SOLE 0 0 17828 KIRKLAND LAKE GOLD LTD COM 49741E100 310 10650 SH SOLE 0 0 10650 MACQUARIE INFRASTRUCTURE COR COM 55608B105 324 12830 SH SOLE 0 0 12830 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1734 47524 SH SOLE 0 0 47524 MANULIFE FINL CORP COM 56501R106 139 11124 SH SOLE 0 0 11124 MASTERCARD INC CL A 57636Q104 205 850 SH SOLE 0 0 850 MCDONALDS CORP COM 580135101 1297 7844 SH SOLE 0 0 7844 MEDTRONIC PLC SHS G5960L103 584 6473 SH SOLE 0 0 6473 MEDTRONIC PLC SHS G5960L103 45 500 SH Call SOLE 0 0 500 MERCK & CO. INC COM 58933Y105 4416 57396 SH SOLE 0 0 57396 MFA FINL INC COM 55272X102 16 10250 SH SOLE 0 0 10250 MICROSOFT CORP COM 594918104 6250 39627 SH SOLE 0 0 39627 MORNINGSTAR INC COM 617700109 237 2036 SH SOLE 0 0 2036 MOSAIC CO NEW COM 61945C103 6715 620625 SH SOLE 386500 0 234125 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 55 11000 SH SOLE 0 0 11000 NEWMONT CORP COM 651639106 423 9334 SH SOLE 0 0 9334 NEXTERA ENERGY INC COM 65339F101 753 3128 SH SOLE 0 0 3128 NIKE INC CL B 654106103 470 5676 SH SOLE 0 0 5676 NOKIA CORP SPONSORED ADR 654902204 31 10091 SH SOLE 0 0 10091 NOVARTIS A G SPONSORED ADR 66987V109 5492 66613 SH SOLE 0 0 66613 NUVEEN DIVERSIFIED DIVID & I COM 6706EP105 83 11725 SH SOLE 0 0 11725 PAN AMERN SILVER CORP COM 697900108 274 19154 SH SOLE 0 0 19154 PAYPAL HLDGS INC COM 70450Y103 408 4260 SH SOLE 0 0 4260 PEPSICO INC COM 713448108 4202 34985 SH SOLE 0 0 34985 PERTH MINT PHYSICAL GOLD ETF UNIT 715426102 1913 121700 SH SOLE 50000 0 71700 PFIZER INC COM 717081103 1978 60609 SH SOLE 0 0 60609 PHILIP MORRIS INTL INC COM 718172109 1582 21682 SH SOLE 0 0 21682 PROCTER & GAMBLE CO COM 742718109 997 9066 SH SOLE 0 0 9066 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 355 78235 SH SOLE 0 0 78235 RAYTHEON CO COM NEW 755111507 218 1664 SH SOLE 0 0 1664 REDWOOD TR INC COM 758075402 178 35215 SH SOLE 0 0 35215 RYANAIR HOLDINGS PLC SPONSORED ADS 783513203 3527 66430 SH SOLE 36000 0 30430 SANOFI SPONSORED ADR 80105N105 1294 29593 SH SOLE 0 0 29593 SCHLUMBERGER LTD COM 806857108 169 12516 SH SOLE 0 0 12516 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 2129 103531 SH SOLE 0 0 103531 SILICOM LTD ORD M84116108 7954 294603 SH SOLE 165000 0 129603 SINA CORP ORD G81477104 1518 47675 SH SOLE 0 0 47675 SK TELECOM LTD SPONSORED ADR 78440P108 9817 603355 SH SOLE 233000 0 370355 SOLAR CAP LTD COM 83413U100 1512 129937 SH SOLE 0 0 129937 SONY CORP SPONSORED ADR 835699307 8037 135808 SH SOLE 53000 0 82808 SPDR GOLD TRUST GOLD SHS 78463V107 5025 33943 SH SOLE 0 0 33943 SPDR S&P 500 ETF TR TR UNIT 78462F103 822 3189 SH SOLE 0 0 3189 SPDR S&P 500 ETF TR TR UNIT 78462F103 51550 200000 SH Call SOLE 200000 0 0 SPIRIT AIRLS INC COM 848577102 7108 551473 SH SOLE 324000 0 227473 SPROTT ETF TR GOLD MINERS ETF 85210B102 398 20050 SH SOLE 0 0 20050 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 2617 178982 SH SOLE 0 0 178982 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 46451 3540435 SH SOLE 587000 0 2953435 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 75 14250 SH SOLE 0 0 14250 STARBUCKS CORP COM 855244109 1445 21985 SH SOLE 0 0 21985 STARWOOD PPTY TR INC COM 85571B105 689 67245 SH SOLE 0 0 67245 STERICYCLE INC COM 858912108 413 8495 SH SOLE 0 0 8495 SUNCOR ENERGY INC NEW COM 867224107 2639 167026 SH SOLE 0 0 167026 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1152 24100 SH SOLE 0 0 24100 TITAN INTL INC ILL COM 88830M102 1232 794847 SH SOLE 350000 0 444847 TPI COMPOSITES INC COM 87266J104 3737 252824 SH SOLE 197000 0 55824 ULTA BEAUTY INC COM 90384S303 299 1700 SH SOLE 0 0 1700 UNION PAC CORP COM 907818108 939 6661 SH SOLE 0 0 6661 UNITED TECHNOLOGIES CORP COM 913017109 324 3432 SH SOLE 0 0 3432 UROVANT SCIENCES LTD SHS G9381B108 2201 238728 SH SOLE 236700 0 2028 US BANCORP DEL COM NEW 902973304 1096 31810 SH SOLE 0 0 31810 VANECK MERK GOLD TRUST GOLD TRUST 921078101 1636 106300 SH SOLE 21000 0 85300 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1418 61550 SH SOLE 0 0 61550 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 223 7950 SH SOLE 0 0 7950 VANGUARD INDEX FDS GROWTH ETF 922908736 245 1562 SH SOLE 0 0 1562 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 722 10330 SH SOLE 0 0 10330 VANGUARD INDEX FDS SM CP VAL ETF 922908611 305 3440 SH SOLE 0 0 3440 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1480 11477 SH SOLE 0 0 11477 VANGUARD INDEX FDS VALUE ETF 922908744 365 4093 SH SOLE 0 0 4093 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 490 11947 SH SOLE 0 0 11947 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3209 95660 SH SOLE 0 0 95660 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1260 12189 SH SOLE 0 0 12189 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1660 49798 SH SOLE 0 0 49798 VANGUARD WORLD FDS INF TECH ETF 92204A702 339 1601 SH SOLE 0 0 1601 VERIZON COMMUNICATIONS INC COM 92343V104 8650 160996 SH SOLE 0 0 160996 VERSO CORP CL A 92531L207 0 22000 SH Call SOLE 22000 0 0 VISA INC COM CL A 92826C839 2314 14365 SH SOLE 0 0 14365 WALGREENS BOOTS ALLIANCE INC COM 931427108 490 10708 SH SOLE 0 0 10708 WALMART INC COM 931142103 2513 22115 SH SOLE 0 0 22115 WEIBO CORP SPONSORED ADR 948596101 8686 262333 SH SOLE 128000 0 134333 WELLS FARGO CO NEW COM 949746101 430 14977 SH SOLE 0 0 14977 WEYERHAEUSER CO COM 962166104 299 17638 SH SOLE 0 0 17638 WILLIAMS COS INC COM 969457100 229 16175 SH SOLE 0 0 16175 WILLIAMS COS INC COM 969457100 28 2000 SH Call SOLE 0 0 2000 WILLIS TOWERS WATSON PLC LTD SHS G96629103 1192 7020 SH SOLE 0 0 7020 ZEBRA TECHNOLOGIES CORP CL A 989207105 551 3000 SH SOLE 0 0 3000