0001056823-23-000010.txt : 20230207 0001056823-23-000010.hdr.sgml : 20230207 20230207133537 ACCESSION NUMBER: 0001056823-23-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230207 DATE AS OF CHANGE: 20230207 EFFECTIVENESS DATE: 20230207 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: 23594003 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 X0202 13F-HR LIVE false false false 0001056823 XXXXXXXX 12-31-2022 12-31-2022 HORIZON KINETICS ASSET MANAGEMENT LLC

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

13F HOLDINGS REPORT 028-06986 000106096 Y We have included the below securities in this quarter's reporting along with approximate initial date of purchase. GRAYSCALE BASIC ATTENTION TOKEN TR 38963U108 Dec-2021 GRAYSCALE BITCOIN CASH TRUST BCH 38963P109 Jan-2018 GRAYSCALE BITCOIN TRUST BTC 389637109 Dec-2015 GRAYSCALE DECENTRALAND TRUST 38964P108 Dec-2021 GRAYSCALE DIGITAL LARGE CAP FUND G40705108 Jun-2018 GRAYSCALE ETHEREUM CLASSIC TRUST 38963Q107 Jun-2018 GRAYSCALE ETHEREUM TR ETH SHS 389638107 Sep-2020 GRAYSCALE LITECOIN TRUST LTC SHS 38963W104 Jul-2018 GRAYSCALE ZCASH TR ZEC COM 38964G108 Nov-2017 Jay Kesslen 646-867-1176 /s/Jay Kesslen New York NY 02-07-2023 0 324 5913321724 false INFORMATION TABLE 2 form13fhr-infoTable.xml 1847 GOEDEKER INC W EXP 06/02/202 28252C117 3020 37752 SH DFND 37752 0 0 ABB LTD SPONSORED ADR 000375204 906825 29771 SH DFND 29771 0 0 ABBOTT LABS COM 002824100 1637628 14916 SH DFND 14916 0 0 ABBVIE INC COM 00287Y109 4409852 27287 SH DFND 27287 0 0 ALAUNOS THERAPEUTICS INC COM 98973P101 22069 34000 SH DFND 34000 0 0 ALGOMA STL GROUP INC COM 015658107 116724 18411 SH DFND 18411 0 0 ALICO INC COM 016230104 267344 11200 SH DFND 11200 0 0 ALKERMES PLC COM G01767105 574860 22000 SH DFND 22000 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 712950 3000 SH DFND 3000 0 0 ALPHABET INC CL A 02079K305 556731 6310 SH DFND 6310 0 0 ALPHABET INC CL C 02079K107 846928 9545 SH DFND 9545 0 0 ALPS ETF TR ALERIAN MLP ALERIAN MLP 00162Q452 3813167 100162 SH DFND 100162 0 0 ALTRIA GROUP INC COM 02209S103 1793295 39232 SH DFND 39232 0 0 AMC NETWORKS INC CL A 00164V103 178701 11404 SH DFND 11404 0 0 AMERICAN STS WTR CO COM 029899101 467378 5050 SH DFND 5050 0 0 AMERICAN TOWER REIT COM 03027X100 304655 1438 SH DFND 1438 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 271321 1780 SH DFND 1780 0 0 AMGEN INC COM 031162100 1150363 4380 SH DFND 4380 0 0 ANALOG DEVICES INC COM 032654105 786481 4795 SH DFND 4795 0 0 APPLE INC COM 037833100 1473574 11341 SH DFND 11341 0 0 APPLIED BLOCKCHAIN INC COM NEW 038169207 21300 11576 SH DFND 11576 0 0 APYX MED CORP COM 03837C106 1439100 615000 SH DFND 615000 0 0 ARCHER DANIELS MIDLAND CO 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SACHS GROUP INC COM 38141G104 409652 1193 SH DFND 1193 0 0 GRAHAM HLDGS CO COM 384637104 607835 1006 SH DFND 1006 0 0 GREENBRIER COS INC COM 393657101 303446 9050 SH DFND 9050 0 0 GSK PLC SPONSORED ADR SPONSORED ADR 37733W204 466589 13278 SH DFND 13278 0 0 HALEON PLC SPON ADS 405552100 127784 15973 SH DFND 15973 0 0 HONEYWELL INTL INC COM 438516106 1347518 6288 SH DFND 6288 0 0 LISTED FD TR HORIZON KINETICS 53656F623 2748940 87323 SH DFND 87323 0 0 HOWARD HUGHES CORP COM 44267D107 48464662 634188 SH DFND 634188 0 0 I B M COM 459200101 493115 3500 SH DFND 3500 0 0 IAA INC COM 449253103 5132700 128318 SH DFND 128318 0 0 IAC INTERACTIVECORP NEW COM NEW 44891N208 442535 9967 SH DFND 9967 0 0 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 22648471 447156 SH DFND 447156 0 0 INTEL CORP COM 458140100 667331 25249 SH DFND 25249 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 348900 10000 SH DFND 10000 0 0 INTER PARFUMS INC COM 458334109 15872811 164451 SH DFND 164451 0 0 INTERCONTINENTAL EXCHANGE INC COM 45866F104 101857640 992861 SH DFND 992861 0 0 INTL FLAVORS & FRAGRANCES COM 459506101 319762 3050 SH DFND 3050 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 394059 32702 SH DFND 32702 0 0 INVESCO QUALITY MUN INCOME T COM 46133G107 222529 23623 SH DFND 23623 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1102724 7807 SH DFND 7807 0 0 INVESCO SR INCOME TR COM 46131H107 38300 10000 SH DFND 10000 0 0 IONIS PHARMACEUTICALS INC COM 462222100 302160 8000 SH DFND 8000 0 0 IRON MTN INC COM 46284V101 1371274 27508 SH DFND 27508 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 2690280 54000 SH DFND 54000 0 0 ISHARES GOLD TR ISHARES NEW 464285204 364233 10530 SH DFND 10530 0 0 ISHARES SILVER TR ISHARES 46428Q109 700963 31833 SH DFND 31833 0 0 ISHARES TR GL TIMB FORE ETF 464288174 1004753 13811 SH DFND 13811 0 0 JOHNSON & JOHNSON COM 478160104 3301785 18691 SH DFND 18691 0 0 JP MORGAN CHASE & CO COM 46625H100 342089 2551 SH DFND 2551 0 0 JP MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 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24532 SH DFND 24532 0 0 PENSKE AUTOMOTIVE GRP INC COM 70959W103 24814505 215910 SH DFND 215910 0 0 PEPSICO INC COM 713448108 380109 2104 SH DFND 2104 0 0 PERKINELMER INC COM 714046109 341436 2435 SH DFND 2435 0 0 PERMIAN BASIN RTY TR UNIT BEN INT 714236106 94366166 3744689 SH DFND 3744689 0 0 PFIZER INC COM 717081103 2608731 50912 SH DFND 50912 0 0 PHILIP MORRIS INTL INC COM 718172109 2312041 22844 SH DFND 22844 0 0 PIMCO DYNAMIC INCOME FD SHS 72201Y101 2831894 153241 SH DFND 153241 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 463655 4700 SH DFND 4700 0 0 PIMCO INCOME STRATEGY FD COM 72201H108 833635 102791 SH DFND 102791 0 0 PIMCO INCOME STRATEGY FD II COM 72201J104 1983210 280511 SH DFND 280511 0 0 PIMCO MUN INCOME FD II COM 72200W106 136052 15050 SH DFND 15050 0 0 PIMCO NEW YORK MUN INCOME FD COM 72200T103 310244 34357 SH DFND 34357 0 0 POTLATCHDELTIC CORP COM 737630103 5789495 131609 SH DFND 131609 0 0 PROSHARES TR II SHT VIX ST TRM 74347W130 44535655 758958 SH DFND 758958 0 0 QUALCOMM INC COM 747525103 385889 3510 SH DFND 3510 0 0 QUEST DIAGNOSTICS INC COM 74834L100 750912 4800 SH DFND 4800 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 1252320 130450 SH DFND 130450 0 0 RAYONIER INC COM 754907103 4419796 134096 SH DFND 134096 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1261298 12498 SH DFND 12498 0 0 RENN FUND INC COM 759720105 865032 477918 SH DFND 477918 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 1207298 73392 SH DFND 73392 0 0 RIO TINTO PLC SPONSORED ADR 767204100 384480 5400 SH DFND 5400 0 0 RITCHIE BROS AUCTIONEERS COM 767744105 1852873 32040 SH DFND 32040 0 0 ROCKWELL AUTOMATION INC COM 773903109 1242260 4823 SH DFND 4823 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 1919169 38826 SH DFND 38826 0 0 ROYAL GOLD INC COM 780287108 15627093 138636 SH DFND 138636 0 0 ROYALTY PHARMA PLC SHS CLASS A G7709Q104 15803258 399880 SH DFND 399880 0 0 ROYCE MICRO-CAP TR INC COM 780915104 1246340 143588 SH DFND 143588 0 0 RUMBLE INC COM CL A 78137L105 375237 63065 SH DFND 63065 0 0 S&P GLOBAL INC COM 78409V104 13513345 40346 SH DFND 40346 0 0 SABINE ROYALTY TR UNIT BEN INT 785688102 1592576 18638 SH DFND 18638 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 138867 12160 SH DFND 12160 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 174132 10225 SH DFND 10225 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 33495755 6368014 SH DFND 6368014 0 0 SANOFI SPONSORED ADR 80105N105 629590 13000 SH DFND 13000 0 0 SCHLUMBERGER LTD COM STK 806857108 294030 5500 SH DFND 5500 0 0 SCIENCE APPLICATNS INTL CP COM 808625107 47261457 426048 SH DFND 426048 0 0 SCRIPPS E W CO OHIO CL A NEW 811054402 369320 28000 SH DFND 28000 0 0 SEABOARD CORP DEL COM 811543107 890950 236 SH DFND 236 0 0 SEALED AIR CORP NEW COM 81211K100 1834836 36785 SH DFND 36785 0 0 SITIO ROYALTIES CORP CLASS A COM 82983N108 62948645 2181929 SH DFND 2181929 0 0 SONOCO PRODUCTS COM 835495102 1268839 20900 SH DFND 20900 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 697560 4112 SH DFND 4112 0 0 SPDR SER TR OILGAS EQUIP 78468R549 1867794 23421 SH DFND 23421 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 705120 24000 SH DFND 24000 0 0 SPROTT INC COM NEW 852066208 9192810 275812 SH DFND 275812 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 232946 16521 SH DFND 16521 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1349213 3528 SH DFND 3528 0 0 STAR BULK CARRIERS CORP SHS PAR Y8162K204 898786 46739 SH DFND 46739 0 0 STRYKER CORP COM 863667101 488980 2000 SH DFND 2000 0 0 SUNCOR ENERGY INC COM 867224107 1842847 58079 SH DFND 58079 0 0 TEJON RANCH CO DEL COM 879080109 19029116 1010038 SH DFND 1010038 0 0 TELEFLEX INC COM 879369106 570740 2286 SH DFND 2286 0 0 TEXAS PACIFIC LAND CORP COM 88262P102 3359934449 1433278 SH DFND 1433278 0 0 THE SAINT JOE CO COM 790148100 26430382 683839 SH DFND 683839 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 1230440 19000 SH DFND 19000 0 0 TRI POINTE HOMES INC COM 87265H109 1805312 97112 SH DFND 97112 0 0 UNION PACIFIC CORP COM 907818108 704038 3400 SH DFND 3400 0 0 VAIL RESORTS INC COM 91879Q109 366344 1537 SH DFND 1537 0 0 VALMONT INDS INC COM 920253101 727474 2200 SH DFND 2200 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 1524261 42756 SH DFND 42756 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 623644 21760 SH DFND 21760 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189H607 1289624 4241 SH DFND 4241 0 0 VANGUARD BD INDEX FDS VANGUARD ULTRA 92203C303 5119177 104473 SH DFND 104473 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 822194 6188 SH DFND 6188 0 0 VANGUARD INDEX FDS S&P500 ETF SHS 922908363 1268689 3611 SH DFND 3611 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 527493 2759 SH DFND 2759 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 8110719 140275 SH DFND 140275 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1744258 23198 SH DFND 23198 0 0 VERISK ANALYTICS INC CL A 92345Y106 1234940 7000 SH DFND 7000 0 0 VERIZON COMMUNICATIONS COM 92343V104 504911 12815 SH DFND 12815 0 0 VIATRIS INC COM 92556V106 213674 19198 SH DFND 19198 0 0 VIMEO INC COMMON STOCK 92719V100 44285 12911 SH DFND 12911 0 0 VIPER ENERGY PARTNERS LP COM UNT RP INT 92763M105 68389541 2151291 SH DFND 2151291 0 0 VISA INC COM COM CL A 92826C839 901471 4339 SH DFND 4339 0 0 W P CAREY INC COM 92936U109 1031580 13200 SH DFND 13200 0 0 WARNER BROS DISCOVERY INC COM SERIES A 934423104 1717425 181163 SH DFND 181163 0 0 WENDYS COMPANY COM 95058W100 28194649 1245897 SH DFND 1245897 0 0 WEST FRASER TIMBER LTD COM 952845105 34900238 482781 SH DFND 482781 0 0 WEYERHAEUSER CO COM NEW 962166104 28579532 921920 SH DFND 921920 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 134804731 3449456 SH DFND 3449456 0 0 WILLIAMS COS INC COM 969457100 4638341 140983 SH DFND 140983 0 0 WESTERN ASSET / CLAYMORE INF COM 95766R104 242091 26516 SH DFND 26516 0 0 GRAYSCALE BASIC ATTENTION TOKEN TR 38963U108 1462 2089 SH DFND 2089 0 0 GRAYSCALE BITCOIN CASH TRUST BCH 38963P109 72175 195067 SH DFND 195067 0 0 GRAYSCALE BITCOIN TRUST BTC 389637109 131098159 15814012 SH DFND 15814012 0 0 GRAYSCALE DECENTRALAND TRUST 38964P108 1347 691 SH DFND 691 0 0 GRAYSCALE DIGITAL LARGE CAP FUND G40705108 187973 49079 SH DFND 49079 0 0 GRAYSCALE ETHEREUM CLASSIC TRUST 38963Q107 171675 56103 SH DFND 56103 0 0 GRAYSCALE ETHEREUM TR ETH SHS 389638107 27108 5695 SH DFND 5695 0 0 GRAYSCALE LITECOIN TRUST LTC SHS 38963W104 308248 146785 SH DFND 146785 0 0 GRAYSCALE ZCASH TR ZEC COM 38964G108 27266 15492 SH DFND 15492 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25460G880 216000 9000 SH Call DFND 9000 0 0 DIREXION SHS ETF TR DLY JR GOLD 2X 25460G807 215000 8600 SH Call DFND 8600 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06747R477 3020400 83900 SH Call DFND 83900 0 0 PROSHARES TR II ULTRA VIX SHORT 74347Y839 928000 46400 SH Call DFND 46400 0 0 PROSHARES TR II VIX SH TRM FUTRS 74347Y854 1068000 44500 SH Call DFND 44500 0 0 UNITED STS OIL FD LP UNITS 91232N207 250000 2500 SH Call DFND 2500 0 0