0001144204-18-002215.txt : 20180116 0001144204-18-002215.hdr.sgml : 20180116 20180116112056 ACCESSION NUMBER: 0001144204-18-002215 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180116 DATE AS OF CHANGE: 20180116 EFFECTIVENESS DATE: 20180116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SOLARIS ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001364739 IRS NUMBER: 202458685 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11942 FILM NUMBER: 18527863 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 582 4500 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001364739 XXXXXXXX 12-31-2017 12-31-2017 false SOLARIS ASSET MANAGEMENT LLC

645 Madison Avenue New York NY 10022

13F HOLDINGS REPORT 028-11942 N Stephen B. Wells 212-582-4500 /s/ Stephen B. Wells New York NY 01-16-2018 0 242 176473 INFORMATION TABLE 2 infotable.xml 3M CO Common 88579Y101 94 400 SH SOLE 400 0 0 ABTECH HOLDINGS INC Common 00400H108 1 35000 SH SOLE 35000 0 0 ABTECH HOLDINGS INC RESTRICTED Common 00400H108 15 925711 SH SOLE 925711 0 0 ADOBE SYSTEMS INC Common 00724F101 5435 31016 SH SOLE 31016 0 0 AETNA INC Common 00817Y108 5807 32193 SH SOLE 32193 0 0 ALEXANDRIA REAL ESTATE REIT 015271109 246 1885 SH SOLE 1885 0 0 ALKERMES PLC Common G01767105 3 50 SH SOLE 50 0 0 ALLEGION PUB LTD Common G0176J109 28 350 SH SOLE 350 0 0 ALPHA BANK AE (EUR) Common X0085P9V0 0 140 SH SOLE 140 0 0 ALPHA BANK AE SPONS ADR Common 02071M507 1 2000 SH SOLE 2000 0 0 ALPHABET INC CL A Common 02079K305 24 23 SH SOLE 23 0 0 ALPHABET INC CL C Common 02079K107 4777 4565 SH SOLE 4565 0 0 ALPHA-EN CORP Common 02072E108 3 1000 SH SOLE 1000 0 0 ALTRIA GROUP INC Common 02209S103 54 750 SH SOLE 750 0 0 AMAZON.COM INC Common 023135106 5770 4934 SH SOLE 4934 0 0 AMERICAN ASSETS TRUSTS INC REIT 024013104 30 775 SH SOLE 775 0 0 AMERICAN HOME 4 RENT PFD SER E Preferred 02665T884 65 2550 SH SOLE 2550 0 0 AMERICAN HOMES PFD SER D Preferred 02665T702 89 3249 SH SOLE 3249 0 0 AMERICAN INTERNATIONAL GROUP Common 026874784 3673 61645 SH SOLE 61645 0 0 AMERICAN TOWER REIT INC Reit 03027X100 495 3471 SH SOLE 3471 0 0 AMERIS BANCORP Common 03076K108 150 3112 SH SOLE 3112 0 0 ANNALY CAPITAL MGMT PFD SER F Preferred 035710870 129 5000 SH SOLE 5000 0 0 APACHE CORP Common 037411105 79 1875 SH SOLE 1875 0 0 APPLE INC Common 037833100 6987 41289 SH SOLE 41289 0 0 ARKEMA SPONSORED ADR Common 041232109 15 122 SH SOLE 122 0 0 BAIDU COM INC SPON ADR Common 056752108 49 210 SH SOLE 210 0 0 BANCORPSOUTH BANC Common 05971J102 279 8880 SH SOLE 8880 0 0 BANK OF AMERICA CORP Common 060505104 74 2501 SH SOLE 2501 0 0 BANK OF AMERICA PFD 6.25 SER I Preferred 060505740 51 1937 SH SOLE 1937 0 0 BANNER CORPORATION NEW Common 06652V208 68 1225 SH SOLE 1225 0 0 BANYAN CORP OREGON NEW Common 06682M509 0 4 SH SOLE 4 0 0 BAR HARBOR BANKSHARE common 066849100 26 958 SH SOLE 958 0 0 BEAVER COAL LTD Ltd Partner 074799107 8 8 SH SOLE 8 0 0 BERKSHIRE HATHAWAY INC-CL A Common 084670108 298 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC-CL B Common 084670702 99 500 SH SOLE 500 0 0 BK OF AMERICA 6.25 SER CC Preferred 060505286 327 11900 SH SOLE 11900 0 0 BOEING CO Common 097023105 111 375 SH SOLE 375 0 0 BRISTOL-MYERS SQUIBB CO Common 110122108 135 2200 SH SOLE 2200 0 0 BROADCOM LIMITED Common Y09827109 4219 16421 SH SOLE 16421 0 0 CANOPY GROWTH CORP Common 138035100 4 155 SH SOLE 155 0 0 CEDAR FAIR L.P. REIT 150185106 61 945 SH SOLE 945 0 0 CENTRAL PACIFIC FINANCIAL CORP Common 154760409 186 6225 SH SOLE 6225 0 0 CERNER CORP Common 156782104 4076 60482 SH SOLE 60482 0 0 CHENIERE ENERGY PARTNERS Ltd Partner 16411Q101 12 400 SH SOLE 400 0 0 CHEVRONTEXACO CORP Common 166764100 76 610 SH SOLE 610 0 0 CHUBB LTD Common H1467J104 4146 28370 SH SOLE 28370 0 0 CIMAREX ENERGY CO Common 171798101 670 5494 SH SOLE 5494 0 0 CINTAS CORP Common 172908105 5263 33772 SH SOLE 33772 0 0 CITIBANK PFD 6.30 SER S Preferred 172967317 333 12373 SH SOLE 12373 0 0 CITIGROUP PFD K Preferred 172967341 315 11050 SH SOLE 11050 0 0 CITIGROUP PFD N Preferred 173080201 133 4850 SH SOLE 4850 0 0 COMCAST CORP-CL A Common 20030N101 244 6100 SH SOLE 6100 0 0 CONOCOPHILLIPS Common 20825C104 4361 79454 SH SOLE 79454 0 0 CONSTELLATION BRANDS INC-A Common 21036P108 3 12 SH SOLE 12 0 0 COPART INC Common 217204106 58 1350 SH SOLE 1350 0 0 CORE LABORATORIES N.V. Common N22717107 33 305 SH SOLE 305 0 0 CORNING INC Common 219350105 915 28615 SH SOLE 28615 0 0 COTT CORP Common 22163N106 343 20560 SH SOLE 20560 0 0 CRACKER BARREL OLD COUNTRY Common 22410J106 64 400 SH SOLE 400 0 0 CRESTWOOD EQUITY LP Ltd Partner 226344208 55 2150 SH SOLE 2150 0 0 CROWN CASTLE INTL CORP Common 22822V101 273 2462 SH SOLE 2462 0 0 CUBESMART REIT 229663109 39 1350 SH SOLE 1350 0 0 CURTISS-WRIGHT CORP Common 231561101 141 1155 SH SOLE 1155 0 0 CUSTOMERS BANC INC PFD SER E Preferred 23204G605 308 11596 SH SOLE 11596 0 0 CUSTOMERS BANCORP PFD C Preferred 23204G407 27 1000 SH SOLE 1000 0 0 CUSTOMERS BANCORP SER D Preferred 23204G506 120 4500 SH SOLE 4500 0 0 CYRUSONE INC Common 23283R100 190 3193 SH SOLE 3193 0 0 DARDEN RESTAURANTS INC Common 237194105 787 8192 SH SOLE 8192 0 0 DCP MIDSTREAM LP Ltd Partner 23311P100 42 1150 SH SOLE 1150 0 0 DELUXE CORP Common 248019101 4268 55540 SH SOLE 55540 0 0 DIGITAL REAL 6.625 PFD Preferred 253868848 97 3500 SH SOLE 3500 0 0 DILLARDS CAPITAL TRUST Preferred 25406P200 864 33413 SH SOLE 33413 0 0 DISCOVER FINL SVCS Common 254709108 5021 65282 SH SOLE 65282 0 0 DOWDUPONT INC Common 26078J100 2121 29784 SH SOLE 29784 0 0 DPS IBERIABANK CORP PFD Preferred 450828207 338 11901 SH SOLE 11901 0 0 DUKE REALITY CORP REIT 264411505 34 1250 SH SOLE 1250 0 0 EBIX INC Common 278715206 351 4430 SH SOLE 4430 0 0 ECHOSTAR CORP Common 278768106 42 700 SH SOLE 700 0 0 ENABLE MIDSTREAM PARTNERS LP Ltd Partner 292480100 51 3555 SH SOLE 3555 0 0 ENERGY TRANSFER EQUITY Ltd Partner 29273V100 119 6900 SH SOLE 6900 0 0 ENLINK MIDSTREAM PARTNERS LP Ltd Partner 29336U107 45 2900 SH SOLE 2900 0 0 ENTERPRISE PRODUCTS PARTNERS Ltd Partner 293792107 9 325 SH SOLE 325 0 0 EOG RESOURCES INC Common 26875P101 26 238 SH SOLE 238 0 0 EPIRUS BIOPHARMA Common 29428P107 0 91 SH SOLE 91 0 0 EQT MIDSTREAM PARTNERS LP Ltd Partner 26885B100 58 800 SH SOLE 800 0 0 EQUINIX INC Common 29444U700 291 642 SH SOLE 642 0 0 ESSEX PROPERTY TRUST INC REIT 297178105 294 1220 SH SOLE 1220 0 0 EXACT SCIENCES CORP Common 30063P105 94 1785 SH SOLE 1785 0 0 EXCELSIOR VENTURE PTNRS III Ltd Partner 001867850 15 200 SH SOLE 200 0 0 EXTRA SPACE STORAGE REIT 30225T102 45 510 SH SOLE 510 0 0 EXXON MOBIL CORP Common 30231G102 25 300 SH SOLE 300 0 0 FACEBOOK INC CL A Common 30303M102 5328 30194 SH SOLE 30194 0 0 FIFTH THIRD BANCORP Common 316773605 158 5550 SH SOLE 5550 0 0 FINANCIAL SECTOR SPDR ETF 81369Y605 843 30188 SH SOLE 30188 0 0 FIRST INDUSTRIAL TRUST INC REIT 32054K103 569 18068 SH SOLE 18068 0 0 GENERAL ELECTRIC CO Common 369604103 591 33869 SH SOLE 33869 0 0 GENERAL MOTORS CO Common 37045V100 34 837 SH SOLE 837 0 0 GENERAL MOTORS CO 19 WTS WARRANTS EXP 07/10/19 Warrant 37045V126 9 399 SH SOLE 399 0 0 GIYANI METALS CORP Common 37637H105 0 200 SH SOLE 200 0 0 GOLDMAN SACHS 6.30 SER N Preferred 38148B504 162 5820 SH SOLE 5820 0 0 GREEN PLAINS PARTNERS LLP Ltd Partner 393221106 2 100 SH SOLE 100 0 0 GREENBRIER COMPANIES INC Common 393657101 65 1225 SH SOLE 1225 0 0 GW PHARMACEUTICALS PLC Common 36197T103 33 250 SH SOLE 250 0 0 HESS CORP Common 42809H107 601 12665 SH SOLE 12665 0 0 HEXCEL CORP NEW Common 428291108 82 1325 SH SOLE 1325 0 0 HOPE BANCORP INC Common 43940T109 57 3100 SH SOLE 3100 0 0 HUBSPOT INC Common 443573100 453 5125 SH SOLE 5125 0 0 HUNTINGTON BANC PFD SER C Preferred 446150872 430 16527 SH SOLE 16527 0 0 I SHARES MSCI GERMANY ETF ETF 464286806 362 10971 SH SOLE 10971 0 0 IAC INTERACTIVE Common 44919P508 4719 38595 SH SOLE 38595 0 0 IBERIABANK CORP Common 450828108 93 1200 SH SOLE 1200 0 0 ILLINOIS TOOL WKS INC Common 452308109 8 50 SH SOLE 50 0 0 INFORM WORLDWDE HLDG NEW Common 45666X305 0 1 SH SOLE 1 0 0 ING GROEP NV 6.375 PFD Preferred 456837608 1236 48089 SH SOLE 48089 0 0 INTL BUSINESS MACHINES CORP Common 459200101 790 5150 SH SOLE 5150 0 0 IONIS PHARMACEUTICAL Common 462222100 34 675 SH SOLE 675 0 0 IRON MOUNTAIN INC Common 46284V101 214 5663 SH SOLE 5663 0 0 ISHARES 1-3 YEAR CREDIT BOND ETF ETF 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0 0 JOHNSON & JOHNSON Common 478160104 225 1609 SH SOLE 1609 0 0 JP MORGAN CHASE ALERIAN MLP ETF ETF 46625H365 35 1256 SH SOLE 1256 0 0 JPMORGAN CHASE & CO Common 46625H100 53 500 SH SOLE 500 0 0 KILROY REALTY CORP REIT 49427F108 108 1450 SH SOLE 1450 0 0 KIMCO REALTY CORP REIT 49446R109 142 7800 SH SOLE 7800 0 0 KORNIT DIGITAL LTD Common M6372Q113 7 455 SH SOLE 455 0 0 LAMAR ADVERTISING CO - A REIT 512816109 491 6610 SH SOLE 6610 0 0 LAS VEGAS SANDS CORP Common 517834107 489 7035 SH SOLE 7035 0 0 LIBERTY BROADBAND CL C Common 530307305 38 443 SH SOLE 443 0 0 LIBERTY MEDIA CORP Common 531229607 40 1000 SH SOLE 1000 0 0 LIFE STORAGE INC REIT 53223X107 112 1260 SH SOLE 1260 0 0 LILLY ELI & CO Common 532457108 382 4525 SH SOLE 4525 0 0 LIVANOVA PLC Common G5509L101 93 1165 SH SOLE 1165 0 0 LOCKHEED MARTIN CORP Common 539830109 13 40 SH SOLE 40 0 0 LUMENTUM HOLDINGS IN Common 55024U109 23 465 SH SOLE 465 0 0 MAGELLAN MIDSTREAM PARTNERS Ltd Partner 559080106 440 6200 SH SOLE 6200 0 0 MAIDEN HOLDINGS 7.125 SER C Preferred G5753U138 975 39918 SH SOLE 39918 0 0 MAIDEN HOLDINGS 8.25 PERCENT SERIES A Preferred G5753U120 1656 67043 SH SOLE 67043 0 0 MAIDEN HOLDINGS NA LTD Preferred 56029Q408 472 19305 SH SOLE 19305 0 0 MERCK & CO. INC. Common 58933Y105 103 1825 SH SOLE 1825 0 0 MERIT MED SYS INC Common 589889104 60 1395 SH SOLE 1395 0 0 MICROCHIP TECHNOLOGY INC Common 595017104 46 525 SH SOLE 525 0 0 MICROSOFT CORP Common 594918104 4698 54926 SH SOLE 54926 0 0 MOTORS LIQ CO GUC TR Common 62010U101 1 102 SH SOLE 102 0 0 NATIONAL BANK OF GREECE-ADR Common 633643804 0 133 SH SOLE 133 0 0 NATIONAL FUEL GAS CO Common 636180101 198 3600 SH SOLE 3600 0 0 NEW YORK TIMES CO CL A Common 650111107 6 300 SH SOLE 300 0 0 NICE SYSTEMS LTD SPONS ADR Common 653656108 4728 51447 SH SOLE 51447 0 0 NOBLE MIDSTREAM PARTNERS LP Ltd Partner 65506L105 6 125 SH SOLE 125 0 0 NQ MOBILE INC F ADR Common 64118U108 24 6000 SH SOLE 6000 0 0 NU SKIN ASIA PACIFIC INC CL A Common 67018T105 118 1725 SH SOLE 1725 0 0 NUCOR CORP Common 670346105 2377 37383 SH SOLE 37383 0 0 NXP SEMICONDUCTORS NV Common N6596X109 45 385 SH SOLE 385 0 0 OMNICELL INC Common 68213N109 58 1200 SH SOLE 1200 0 0 ON SEMICONDUCTER CORP Common 682189105 29 1400 SH SOLE 1400 0 0 ONEOK INC Common 682680103 268 5009 SH SOLE 5009 0 0 OUTFRONT MEDIA INC Common 69007J106 3 150 SH SOLE 150 0 0 PARTNERRE PFD SER G Preferred G68603136 1703 63459 SH SOLE 63459 0 0 PARTNERRE PFD SER H Preferred G68603144 671 23387 SH SOLE 23387 0 0 PARTNERRE PFD SER I Preferred G68603151 1125 42842 SH SOLE 42842 0 0 PAYCHEX INC Common 704326107 490 7200 SH SOLE 7200 0 0 PAYPAL HOLDINGS INCO Common 70450Y103 2108 28631 SH SOLE 28631 0 0 PENNYMAC MTGE PFD SERIES A Preferred 70931T301 200 7925 SH SOLE 7925 0 0 PEPSICO INC Common 713448108 55 460 SH SOLE 460 0 0 PERNOD RICARD SA ADR F Common 714264207 18 565 SH SOLE 565 0 0 PFIZER INC Common 717081103 563 15535 SH SOLE 15535 0 0 PIMCO ETF ETF 72201R783 1931 19217 SH SOLE 19217 0 0 PIONEER NATURAL RESOURCES CO Common 723787107 11 61 SH SOLE 61 0 0 PNC FINL SVCS GROUP INC Common 693475105 5331 36949 SH SOLE 36949 0 0 POWERSHARES DYN BLDG & CONST ETF 73935X666 9 250 SH SOLE 250 0 0 POWERSHARES S&P INFO TECH ETF 73937B860 1850 24198 SH SOLE 24198 0 0 POWERSHARES S&P SC FINANCIAL ETF 73937B803 219 4018 SH SOLE 4018 0 0 POWERSHARES S&P SM CAP HC ETF 73937B886 597 6062 SH SOLE 6062 0 0 POWERSHARES S&P SMALLCAP IND ETF 73937B878 29 455 SH SOLE 455 0 0 POWERSHARES SENIOR LOAN ETF 73936Q769 1898 82378 SH SOLE 82378 0 0 PROLOGIS INC Common 74340W103 244 3785 SH SOLE 3785 0 0 PTC INC Common 69370C100 90 1475 SH SOLE 1475 0 0 QUALITY CARE PROPERTIES REIT 747545101 2 125 SH SOLE 125 0 0 RAYTHEON CO Common 755111507 4589 24428 SH SOLE 24428 0 0 REGENERON PHARMACEUTICALS INC Common 75886F107 47 125 SH SOLE 125 0 0 RELX PLC SPONSORED ADR Common 759530108 3 143 SH SOLE 143 0 0 REPLIGEN CORP Common 759916109 63 1737 SH SOLE 1737 0 0 ROYAL DUTCH SHELL F ADR Common 780259107 71 1034 SH SOLE 1034 0 0 S&P SELECT SECTOR SPDR - INDU ETF 81369Y704 247 3258 SH SOLE 3258 0 0 S&P SPDR TR ETF 78462F103 1230 4608 SH SOLE 4608 0 0 SELECT SECTOR SPDR TR - ENERGY ETF 81369Y506 951 13159 SH SOLE 13159 0 0 SINA CORPORATION Common G81477104 123 1225 SH SOLE 1225 0 0 SOLAREDGE TECHNOLOGIES INC Common 83417M104 68 1800 SH SOLE 1800 0 0 SPECTRA ENERGY PARTNERS LP Ltd Partner 84756N109 8 200 SH SOLE 200 0 0 STAR GAS PARTNERS LP Ltd Partner 85512C105 17 1613 SH SOLE 1613 0 0 SUN COMMUNITIES INC Reit 866674104 606 6536 SH SOLE 6536 0 0 SUNOCO INC Common 86765K109 20 700 SH SOLE 700 0 0 TALLGRASS ENERGY PARTNERS LP Ltd Partner 874697105 25 550 SH SOLE 550 0 0 TC PIPELINES Ltd Partner 87233Q108 27 500 SH SOLE 500 0 0 TECHNOLOGY SELECT SECT SPDR ETF 81369Y803 152 2375 SH SOLE 2375 0 0 TELEFLEX INC Common 879369106 6528 26236 SH SOLE 26236 0 0 TEXAS CAPITAL BANCSHARES INC Common 88224Q107 125 1404 SH SOLE 1404 0 0 THOR INDS INC Common 885160101 753 4995 SH SOLE 4995 0 0 TIME WARNER INC Common 887317303 3345 36565 SH SOLE 36565 0 0 UNION PACIFIC CORP Common 907818108 5086 37924 SH SOLE 37924 0 0 URSTADT BIDDLE - CL A REIT 917286205 72 3324 SH SOLE 3324 0 0 URSTADT BIDDLE PROPERTIES REIT 917286106 980 57802 SH SOLE 57802 0 0 US BANCORP Common 902973304 3 50 SH SOLE 50 0 0 VALLEY NATIONAL BANK PFD A Preferred 919794206 59 2118 SH SOLE 2118 0 0 VANECK VECTORS VIETNAM ETF 92189F817 5 283 SH SOLE 283 0 0 VANGUARD GLOBAL EX US REAL EST ETF 922042676 537 8871 SH SOLE 8871 0 0 VANGUARD GROWTH ETF ETF 922908736 259 1840 SH SOLE 1840 0 0 VANGUARD INTERMEDIATE TERM GOV ETF ETF 92206C706 110 1718 SH SOLE 1718 0 0 VANGUARD MID-CAP GROWTH ETF ETF 922908538 54 425 SH SOLE 425 0 0 VANGUARD SHORT TERM COR BD ETF ETF 92206C409 238 3000 SH SOLE 3000 0 0 VECTOR GROUP LTD Common 92240M108 546 24385 SH SOLE 24385 0 0 VERINT SYSTEMS INC Common 92343X100 180 4300 SH SOLE 4300 0 0 VODAFONE GROUP F Common 92857W308 23 715 SH SOLE 715 0 0 VYCOR MEDICAL INC Common 92921M203 0 500 SH SOLE 500 0 0 W.P. 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