0001056823-21-000016.txt : 20210511 0001056823-21-000016.hdr.sgml : 20210511 20210511155347 ACCESSION NUMBER: 0001056823-21-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210511 DATE AS OF CHANGE: 20210511 EFFECTIVENESS DATE: 20210511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HORIZON KINETICS ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001056823 IRS NUMBER: 133776334 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06986 FILM NUMBER: 21911135 BUSINESS ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 646-495-7347 MAIL ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT LLC DATE OF NAME CHANGE: 20130813 FORMER COMPANY: FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT INC/NY DATE OF NAME CHANGE: 19990319 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001056823 XXXXXXXX 03-31-2021 03-31-2021 HORIZON KINETICS ASSET MANAGEMENT LLC

470 PARK AVENUE SOUTH 4TH FLOOR SOUTH NEW YORK NY 10016

13F HOLDINGS REPORT 028-06986 N Jay Kesslen 646-867-1176 Jay Kesslen New York NY 05-11-2021 0 340 4411806 false INFORMATION TABLE 2 form13fhr-infoTable.xml 3M CO COM 88579Y101 301 1560 SH DFND 1560 0 0 A T & T INC COM 00206R102 328 10821 SH DFND 10821 0 0 ABB LTD SPONSORED ADR 000375204 1066 34987 SH DFND 34987 0 0 ABBOTT LABS COM 002824100 1841 15366 SH DFND 15366 0 0 ABBVIE INC COM 00287Y109 3139 29007 SH DFND 29007 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 247 894 SH DFND 894 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 472 2080 SH DFND 2080 0 0 ALICO INC COM 016230104 621 20800 SH DFND 20800 0 0 ALKERMES PLC COM G01767105 411 22000 SH DFND 22000 0 0 ALLEGHANY CORP DEL COM 017175100 8729 13938 SH DFND 13938 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 424 3000 SH DFND 3000 0 0 ALPHABET INC CL A 02079K305 6187 3000 SH DFND 3000 0 0 ALPHABET INC CL C 02079K107 5955 2879 SH DFND 2879 0 0 ALTRIA GROUP INC COM 02209S103 2230 43582 SH DFND 43582 0 0 AMC NETWORKS INC CL A 00164V103 8776 165078 SH DFND 165078 0 0 AMERICAN TOWER REIT COM 03027X100 341 1425 SH DFND 1425 0 0 AMGEN INC COM 031162100 1090 4380 SH DFND 4380 0 0 ANALOG DEVICES INC COM 032654105 826 5325 SH DFND 5325 0 0 ANNALY CAP MGMT INC COM 035710409 177 20592 SH DFND 20592 0 0 APPLE INC COM 037833100 1758 14391 SH DFND 14391 0 0 APYX MED CORP COM 03837C106 5941 615000 SH DFND 615000 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 18681 327745 SH DFND 327745 0 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 312 4500 SH DFND 4500 0 0 ASSOCIATED CAP GROUP INC CL A 045528106 46066 1284603 SH DFND 1284603 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 958 19263 SH DFND 19263 0 0 AUTONATION INC COM 05329W102 36893 395759 SH DFND 395759 0 0 BALCHEM CORP COM 057665200 3381 26959 SH DFND 26959 0 0 BANCO SANTANDER S.A. 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DORCHESTER MINERALS LP COM UNIT 25820R105 11826 865730 SH DFND 865730 0 0 DORMAN PRODUCTS INC COM 258278100 2098 20436 SH DFND 20436 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 4215 232093 SH DFND 232093 0 0 DOUBLELINE OPPORTUNISTIC CR COM 258623107 5252 266048 SH DFND 266048 0 0 DOW INC COM 260557103 271 4246 SH DFND 4246 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 173 13729 SH DFND 13729 0 0 EATON VANCE MUN BD FD COM 27827X101 279 20955 SH DFND 20955 0 0 EATON VANCE NY MUN BD FD COM 27827Y109 303 24865 SH DFND 24865 0 0 EATON VANCE SR FLTNG RTE TR COM 27828Q105 276 20001 SH DFND 20001 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 157 23748 SH DFND 23748 0 0 EBAY INC COM 278642103 1424 23255 SH DFND 23255 0 0 ECHOSTAR CORP CL A 278768106 3536 147345 SH DFND 147345 0 0 EDITAS MEDICINE INC COM 28106W103 336 8000 SH DFND 8000 0 0 ELI LILLY AND COMPANY COM 532457108 1567 8386 SH DFND 8386 0 0 EMERSON ELEC CO COM 291011104 1611 17856 SH DFND 17856 0 0 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 1918 249696 SH DFND 249696 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 2910 132153 SH DFND 132153 0 0 EOG RES INC COM 26875P101 274 3782 SH DFND 3782 0 0 EQUITY COMMONWEALTH COM SH BEN INT 294628102 1914 68842 SH DFND 68842 0 0 EQUITY LIFESTYLE PPTYS INC COM 29472R108 13906 218512 SH DFND 218512 0 0 EXPEDIA GROUP INC COM NEW 30212P303 1756 10203 SH DFND 10203 0 0 EXXON MOBIL CORP COM 30231G102 2803 50206 SH DFND 50206 0 0 FEDERATED HERMES INC CL B 314211103 1161 37101 SH DFND 37101 0 0 FEDERATED HERMES PREM MUN INC FD COM 31423P108 605 41657 SH DFND 41657 0 0 FIDELITY NATIONAL FINANCIAL FNF GROUP FNF GROUP COM 31620R303 1847 45436 SH DFND 45436 0 0 FIDELITY NATL INFORMATION SVC COM 31620M106 541 3845 SH DFND 3845 0 0 FORTIVE CORP COM 34959J108 268 3793 SH DFND 3793 0 0 FRANCO NEVADA CORP COM 351858105 96196 767786 SH DFND 767786 0 0 FREEPORT MCMORAN INC CL B 35671D857 4167 126555 SH DFND 126555 0 0 GALLAGHER ARTHUR J & CO COM 363576109 360 2882 SH DFND 2882 0 0 GAMCO INVESTORS INC CL A COM 361438104 6088 328181 SH DFND 328181 0 0 GANNETT CO INC NEW COM 36472T109 54 10075 SH DFND 10075 0 0 GENERAL ELECTRIC CO COM 369604103 872 66403 SH DFND 66403 0 0 GENERAL MLS INC COM 370334104 242 3950 SH DFND 3950 0 0 GENERAL MTRS CO COM 37045V100 1714 29825 SH DFND 29825 0 0 GENUINE PARTS CO COM 372460105 277 2400 SH DFND 2400 0 0 GILEAD SCIENCES INC COM 375558103 712 11017 SH DFND 11017 0 0 GLADSTONE LD CORP COM 376549101 649 35446 SH DFND 35446 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 839 23500 SH DFND 23500 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 405 1240 SH DFND 1240 0 0 GRAHAM HLDGS CO COM 384637104 574 1021 SH DFND 1021 0 0 GREENBRIER COS INC COM 393657101 340 7200 SH DFND 7200 0 0 GREENLANE HLDGS INC CL A 395330103 53 10000 SH DFND 10000 0 0 HONEYWELL INTL INC COM 438516106 1427 6573 SH DFND 6573 0 0 LISTED FD TR HORIZON KINETICS 53656F623 1230 45375 SH DFND 45375 0 0 HOWARD HUGHES CORP COM 44267D107 76012 799036 SH DFND 799036 0 0 IAA INC COM 449253103 9265 168019 SH DFND 168019 0 0 IAC INTERACTIVECORP NEW COM 44891N109 5294 24474 SH DFND 24474 0 0 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 31932 594421 SH DFND 594421 0 0 IHS MARKIT LTD SHS G47567105 19444 200907 SH DFND 200907 0 0 INTEL CORP COM 458140100 664 10369 SH DFND 10369 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 803 10000 SH DFND 10000 0 0 INTER PARFUMS INC COM 458334109 13516 190552 SH DFND 190552 0 0 INTERCONTINENTAL EXCHANGE INC COM 45866F104 65797 589155 SH DFND 589155 0 0 INTL FLAVORS & FRAGRANCES COM 459506101 426 3050 SH DFND 3050 0 0 INVESCO CURRENCYSHARES AUSTR AUSTRALIAN DOL 46090N103 324 4280 SH DFND 4280 0 0 INVESCO CURRENCYSHARES CDN D CDN DLR SHS 46138T104 260 3330 SH DFND 3330 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 567 36163 SH DFND 36163 0 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 753 58055 SH DFND 58055 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 610 4308 SH DFND 4308 0 0 INVESCO SR INCOME TR COM 46131H107 49 11613 SH DFND 11613 0 0 INVESCO TR INVT GRADE NEW YO COM 46131T101 137 10414 SH DFND 10414 0 0 IONIS PHARMACEUTICALS INC COM 462222100 360 8000 SH DFND 8000 0 0 IRON MTN INC NEW COM 46284V101 987 26658 SH DFND 26658 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 2953 54000 SH DFND 54000 0 0 ISHARES GOLD TR ISHARES 464285105 417 25639 SH DFND 25639 0 0 ISHARES SILVER TR ISHARES 46428Q109 839 36970 SH DFND 36970 0 0 ISHARES TR SHORT TREAS BD 464288679 1557 14085 SH DFND 14085 0 0 ISHARES TR GL TIMB FORE ETF 464288174 1408 16520 SH DFND 16520 0 0 ISHARES TR MICRO-CAP ETF 464288869 341 2322 SH DFND 2322 0 0 JOHNSON & JOHNSON COM 478160104 3046 18537 SH DFND 18537 0 0 JP MORGAN CHASE & CO ISIN COM 46625H100 287 1887 SH DFND 1887 0 0 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 1052 20727 SH DFND 20727 0 0 KAR AUCTION SVCS INC COM 48238T109 1991 132740 SH DFND 132740 0 0 KAYNE ANDERSON ENERGY INFRSTR COM 486606106 273 38138 SH DFND 38138 0 0 KAYNE ANDERSON NEXTGEN ENERGY COM 48661E108 213 32017 SH DFND 32017 0 0 KIMBELL RTY PARTNERS LP UNIT 49435R102 927 91385 SH DFND 91385 0 0 KKR & CO INC COM 48251W104 247 5058 SH DFND 5058 0 0 KLA-TENCOR CORP COM NEW 482480100 2004 6065 SH DFND 6065 0 0 KRAFT HEINZ COMPANY COM 500754106 352 8792 SH DFND 8792 0 0 L3 HARRIS TECHNOLOGIES INC COM 502431109 1994 9838 SH DFND 9838 0 0 LAS VEGAS SANDS CORP COM 517834107 5125 84356 SH DFND 84356 0 0 LENDINGTREE INC NEW COM 52603B107 1754 8233 SH DFND 8233 0 0 LENNAR CORP CL A 526057104 550 5435 SH DFND 5435 0 0 LIBERTY MEDIA CORP DEL COM A BRAVES GRP 531229706 987 34605 SH DFND 34605 0 0 LIBERTY MEDIA CORP DEL COM C BRAVES GRP 531229888 1535 55180 SH DFND 55180 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 7803 53759 SH DFND 53759 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 41371 275532 SH DFND 275532 0 0 LIBERTY MEDIA CORP DEL COM SER A FRMLA 531229870 6590 172426 SH DFND 172426 0 0 LIBERTY MEDIA CORP DEL COM SER C FRMLA 531229854 9761 225474 SH DFND 225474 0 0 LIBERTY LATIN AMERICA LTD 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0 0 NUVEEN NY QLTY INCOME FD COM 67066X107 714 50071 SH DFND 50071 0 0 NUVEEN PREFERRED & INCOME SECURITIES FD COM 67072C105 215 22113 SH DFND 22113 0 0 NUVEEN QUALITY MUNI INC FD COM 67066V101 2584 170676 SH DFND 170676 0 0 NUVEEN SELECT MAT MUN FD SH BEN INT 67061T101 230 21500 SH DFND 21500 0 0 NUVEEN SR INCOME FD COM 67067Y104 590 105209 SH DFND 105209 0 0 NUVEEN TAXABLE MUNICIPAL INC FUND COM 67074C103 3134 138736 SH DFND 138736 0 0 NVIDIA CORP COM 67066G104 331 620 SH DFND 620 0 0 OCCIDENTAL PETE CORP COM 674599105 261 9800 SH DFND 9800 0 0 OSHKOSH CORP COM 688239201 19952 168145 SH DFND 168145 0 0 OSISKO GOLD ROYALTIES LTD COM 68827L101 3248 294731 SH DFND 294731 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 400 12000 SH DFND 12000 0 0 PATTERSON UTI ENERGY INC COM 703481101 2952 414076 SH DFND 414076 0 0 PAYPAL HLDGS INC COM 70450Y103 19502 80308 SH DFND 80308 0 0 PCM FUND INC COM 69323T101 341 29777 SH DFND 29777 0 0 PENSKE AUTOMOTIVE GRP INC COM 70959W103 20229 252108 SH DFND 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SH DFND 1445 0 0 SABINE ROYALTY TR UNIT BEN INT 785688102 291 9591 SH DFND 9591 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 19441 2859006 SH DFND 2859006 0 0 SANOFI SPONSORED ADR 80105N105 841 17000 SH DFND 17000 0 0 SCIENCE APPLICATNS INTL CP N COM 808625107 34699 415107 SH DFND 415107 0 0 SCRIPPS E W CO OHIO CL A NEW 811054402 925 48000 SH DFND 48000 0 0 SEABOARD CORP DEL COM 811543107 354 96 SH DFND 96 0 0 SEALED AIR COM 81211K100 1669 36435 SH DFND 36435 0 0 SIMULATIONS PLUS INC COM 829214105 276 4367 SH DFND 4367 0 0 SONOCO PRODUCTS COM 835495102 1396 22050 SH DFND 22050 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 757 4732 SH DFND 4732 0 0 SPDR SER TR OILGAS EQUIP 78468R549 318 5975 SH DFND 5975 0 0 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 751 24000 SH DFND 24000 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 231 17259 SH DFND 17259 0 0 SQUARE INC CL A 852234103 250 1103 SH DFND 1103 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2168 5470 SH DFND 5470 0 0 STONECO LTD COM CL A G85158106 690 11270 SH DFND 11270 0 0 STRYKER CORP COM 863667101 487 2000 SH DFND 2000 0 0 SUNCOR ENERGY INC NEW COM 867224107 1286 61539 SH DFND 61539 0 0 TELEFLEX INC COM 879369106 883 2126 SH DFND 2126 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 2476227 1557934 SH DFND 1557934 0 0 THE SAINT JOE CO COM 790148100 2363 55087 SH DFND 55087 0 0 TORONTO DOMINION BK ONT NEW COM NEW 891160509 1324 20300 SH DFND 20300 0 0 TRI POINTE HOMES INC COM 87265H109 3666 180062 SH DFND 180062 0 0 TRILOGY METALS INC COM 89621C105 35 16572 SH DFND 16572 0 0 UNION PACIFIC CORP COM 907818108 1342 6087 SH DFND 6087 0 0 VAIL RESORTS INC COM 91879Q109 368 1262 SH DFND 1262 0 0 VALMONT INDS INC COM 920253101 547 2300 SH DFND 2300 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 2772 61588 SH DFND 61588 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189H607 790 4135 SH DFND 4135 0 0 VANECK VECTORS GOLD MINERS ETF 92189F106 2943 90547 SH DFND 90547 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 747 4222 SH DFND 4222 0 0 VANGUARD INDEX FDS S&P500 ETF SHS 922908363 1687 4631 SH DFND 4631 0 0 VANGUARD INDEX TR TOTAL STK MKT 922908769 783 3788 SH DFND 3788 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 11840 192457 SH DFND 192457 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1808 21919 SH DFND 21919 0 0 VERISK ANALYTICS INC CL A 92345Y106 4441 25135 SH DFND 25135 0 0 VERIZON COMMUNICATIONS COM 92343V104 1428 24554 SH DFND 24554 0 0 VIACOMCBS INC CL B 92556H206 589 13052 SH DFND 13052 0 0 VIASAT INC COM 92552V100 677 14088 SH DFND 14088 0 0 VIPER ENERGY PARTNERS LP COM UNT RP INT 92763M105 5079 348836 SH DFND 348836 0 0 VISA INC COM CL A 92826C839 6352 30001 SH DFND 30001 0 0 W P CAREY INC COM 92936U109 892 12600 SH DFND 12600 0 0 WELBILT INC COM 949090104 292 18000 SH DFND 18000 0 0 WENDYS COMPANY COM 95058W100 39727 1960840 SH DFND 1960840 0 0 WEST FRASER TIMBER LTD COM 952845105 4644 64459 SH DFND 64459 0 0 WEYERHAEUSER CO COM NEW 962166104 6549 183954 SH DFND 183954 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 95858 2508711 SH DFND 2508711 0 0 WHITE MOUNTAINS INSURANCE GROUP LTD COM G9618E107 1152 1033 SH DFND 1033 0 0 WILLIAMS COS INC COM 969457100 3507 148056 SH DFND 148056 0 0 WSTRN ASSET INFLATION LINKED OPPORT INC FD COM 95766R104 331 27225 SH DFND 27225 0 0 WYNN RESORTS LTD COM 983134107 413 3291 SH DFND 3291 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 122 34000 SH DFND 34000 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06746P621 8280 217900 SH Call DFND 217900 0 0 PROSHARES TR II ULTRA VIX SHORT 74347W148 1136 56800 SH Call DFND 56800 0 0 PROSHARES TR II VIX SH TRM FUTRS 74347W171 605 22400 SH Call DFND 22400 0 0 UNITED STS NAT GAS FD LP COM 912318300 992 62000 SH Call DFND 62000 0 0 UNITED STS OIL FD LP COM 91232N207 4042 70000 SH Call DFND 70000 0 0