0001221073-11-000014.txt : 20110427
0001221073-11-000014.hdr.sgml : 20110427
20110426214739
ACCESSION NUMBER: 0001221073-11-000014
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110427
DATE AS OF CHANGE: 20110426
EFFECTIVENESS DATE: 20110427
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Clear Harbor Asset Management, LLC
CENTRAL INDEX KEY: 0001511857
IRS NUMBER: 271506486
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14126
FILM NUMBER: 11781521
BUSINESS ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 2006
CITY: NEW YORK
STATE: NY
ZIP: 10170
BUSINESS PHONE: 212-867-7310
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 2006
CITY: NEW YORK
STATE: NY
ZIP: 10170
13F-HR
1
mktc_clear1q11.txt
CLEAR HARBOR ASSET MANAGEMENT, LLC
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2011
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Clear Harbor Asset Management, LLC
Address: 420 Lexington Avenue, Suite 2006
New York, NY 10170
13F File Number: 028-NEW
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Ian Armstrong
Title: Chief Compliance Officer
Phone: 212-867-7310
Signature, Place, and Date of Signing:
/s/ Ian Armstrong New York, NY April 20, 2011
Report Type (Check only one.):
[ X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 166
Form 13F Information Table Value Total: $284,268 (thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional managers with respect to which this report is filed, other
than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3M CO COM 88579Y101 230 2456 SH SOLE 2456 0 0
ABBOTT LABS COM 002824100 792 16140 SH SOLE 16140 0 0
ALASKA AIR GROUP INC COM 011659109 1225 19310 SH SOLE 19310 0 0
ALBANY INTL CORP FRNT 2.250% 3/1 012348AC2 11 12000 PRN SOLE 12000 0 0
ALLSTATE CORP COM 020002101 310 9741 SH SOLE 9741 0 0
AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 282 4847 SH SOLE 4847 0 0
AMERICAN WTR WKS CO INC NEW COM 030420103 6256 223030 SH SOLE 223030 0 0
APACHE CORP COM 037411105 1225 9355 SH SOLE 9355 0 0
APPLE INC COM 037833100 429 1232 SH SOLE 1232 0 0
AQUA AMERICA INC COM 03836W103 662 28928 SH SOLE 28928 0 0
AT&T INC COM 00206R102 1198 39149 SH SOLE 39149 0 0
AUTODESK INC COM 052769106 283 6405 SH SOLE 6405 0 0
AXCELIS TECHNOLOGIES INC COM 054540109 398 150000 SH SOLE 150000 0 0
AXIS CAPITAL HOLDINGS SHS G0692U109 1237 35430 SH SOLE 35430 0 0
BANK OF AMERICA CORPORATION COM 060505104 297 22276 SH SOLE 22276 0 0
BERKLEY W R CORP COM 084423102 2684 83334 SH SOLE 83334 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3965 47415 SH SOLE 47415 0 0
BHP BILLITON LTD SPONSORED ADR 088606108 249 2600 SH SOLE 2600 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 204 7707 SH SOLE 7707 0 0
BROOKS AUTOMATION INC COM 114340102 137 10000 SH SOLE 10000 0 0
CALIFORNIA WTR SVC GROUP COM 130788102 1690 45462 SH SOLE 45462 0 0
CANADIAN NAT RES LTD COM 136385101 217 4400 SH SOLE 4400 0 0
CATERPILLAR INC DEL COM 149123101 8319 74713 SH SOLE 74713 0 0
CENOVUS ENERGY INC COM 15135U109 2004 50899 SH SOLE 50899 0 0
CENTRAL FD CDA LTD CL A 153501101 439 19625 SH SOLE 19625 0 0
CHEMTURA CORP COM NEW 163893209 258 15000 SH SOLE 15000 0 0
CHESAPEAKE UTILS CORP COM 165303108 1441 34613 SH SOLE 34613 0 0
CHEVRON CORP NEW COM 166764100 1692 15737 SH SOLE 15737 0 0
CHINA CERAMICS CO LTD SHS G2113X100 4281 693845 SH SOLE 693845 0 0
CHINA CERAMICS CO LTD *W EXP 11/16/201 G2113X118 346 342848 SH SOLE 342848 0 0
CHINA ELEC MTR INC COM NEW 16890A205 64 38650 SH SOLE 38650 0 0
CHINA GERUI ADV MAT GR LTD SHS G21101103 471 100365 SH SOLE 100365 0 0
CHINA TECHFAITH WIRLS COMM T SPONSORED ADR 169424108 1241 281978 SH SOLE 281978 0 0
CHYRON CORP COM PAR $.01 171605306 46 20000 SH SOLE 20000 0 0
CITIGROUP INC COM 172967101 47 10660 SH SOLE 10660 0 0
COCA COLA CO COM 191216100 323 4865 SH SOLE 4865 0 0
COLGATE PALMOLIVE CO COM 194162103 468 5800 SH SOLE 5800 0 0
COMVERGE INC COM 205859101 1957 419870 SH SOLE 419870 0 0
CONNECTICUT WTR SVC INC COM 207797101 1929 73224 SH SOLE 73224 0 0
CONOCOPHILLIPS COM 20825C104 1983 24837 SH SOLE 24837 0 0
CONSOLIDATED EDISON INC COM 209115104 1861 36700 SH SOLE 36700 0 0
CONSTELLATION ENERGY PRTNR L COM UNIT LLC B 21038E101 26 11500 SH SOLE 11500 0 0
CONSUMER PORTFOLIO SVCS INC COM 210502100 25 23950 SH SOLE 23950 0 0
CORE LABORATORIES N V COM N22717107 4232 41424 SH SOLE 41424 0 0
DELL INC COM 24702R101 1122 77300 SH SOLE 77300 0 0
DELTA NAT GAS INC COM 247748106 1015 32195 SH SOLE 32195 0 0
DHT HOLDINGS INC COM Y2065G105 292 60706 SH SOLE 60706 0 0
DIME CMNTY BANCSHARES COM 253922108 215 14536 SH SOLE 14536 0 0
E M C CORP MASS COM 268648102 319 12020 SH SOLE 12020 0 0
EARTHLINK INC COM 270321102 78 10000 SH SOLE 10000 0 0
ECOLAB INC COM 278865100 276 5414 SH SOLE 5414 0 0
EMERSON ELEC CO COM 291011104 485 8300 SH SOLE 8300 0 0
ENBRIDGE ENERGY PARTNERS L P COM 29250R106 213 3300 SH SOLE 3300 0 0
ENCANA CORP COM 292505104 1666 48244 SH SOLE 48244 0 0
ENERGEN CORP COM 29265N108 9193 145646 SH SOLE 145646 0 0
ENERNOC INC COM 292764107 3817 199730 SH SOLE 199730 0 0
EQT CORP COM 26884L109 3424 68612 SH SOLE 68612 0 0
EXTERRAN HLDGS INC COM 30225X103 1503 63325 SH SOLE 63325 0 0
EXTERRAN PARTNERS LP COM UNITS 30225N105 1984 70810 SH SOLE 70810 0 0
EXXON MOBIL CORP COM 30231G102 7270 86414 SH SOLE 86414 0 0
FLEXTRONICS INTL LTD ORD Y2573F102 9523 1274841 SH SOLE 1274841 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 236 15800 SH SOLE 15800 0 0
FX ENERGY INC COM 302695101 9251 1106609 SH SOLE 1106609 0 0
G WILLI FOOD INTL LTD ORD M52523103 160 20400 SH SOLE 20400 0 0
GAMMON GOLD INC COM 36467T106 870 83220 SH SOLE 83220 0 0
GENCO SHIPPING & TRADING LTD SHS Y2685T107 128 11883 SH SOLE 11883 0 0
GENERAL ELECTRIC CO COM 369604103 1529 76282 SH SOLE 76282 0 0
GENZYME CORP COM 372917104 201 2635 SH SOLE 2635 0 0
GETTY RLTY CORP NEW COM 374297109 1426 62323 SH SOLE 62323 0 0
GRAN TIERRA ENERGY INC COM 38500T101 445 55200 SH SOLE 55200 0 0
GSI TECHNOLOGY COM 36241U106 359 39470 SH SOLE 39470 0 0
HANOVER COMPRESSOR CO NOTE 4.750% 1/1 410768AE5 155 157000 PRN SOLE 157000 0 0
HARVEST NATURAL RESOURCES IN COM 41754V103 463 30370 SH SOLE 30370 0 0
HAWAIIAN HOLDINGS INC COM 419879101 1693 281721 SH SOLE 281721 0 0
HEWLETT PACKARD CO COM 428236103 1264 30850 SH SOLE 30850 0 0
HEXCEL CORP NEW COM 428291108 2038 103525 SH SOLE 103525 0 0
HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 231 97511 SH SOLE 97511 0 0
INTEGRATED SILICON SOLUTION COM 45812P107 2172 234319 SH SOLE 234319 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 777 4766 SH SOLE 4766 0 0
INTEVAC INC COM 461148108 1647 132540 SH SOLE 132540 0 0
IRELAND BK SPONSORED ADR 46267Q103 79 45000 SH SOLE 45000 0 0
ITRON INC COM 465741106 1401 24820 SH SOLE 24820 0 0
JABIL CIRCUIT INC COM 466313103 1661 81283 SH SOLE 81283 0 0
JOHNSON & JOHNSON COM 478160104 2435 41089 SH SOLE 41089 0 0
JOHNSON CTLS INC COM 478366107 7189 172927 SH SOLE 172927 0 0
KIT DIGITAL INC COM NEW 482470200 376 31200 SH SOLE 31200 0 0
KULICKE & SOFFA INDS INC COM 501242101 1661 177700 SH SOLE 177700 0 0
KVH INDS INC COM 482738101 266 17606 SH SOLE 17606 0 0
LIHUA INTL INC COM 532352101 474 54000 SH SOLE 54000 0 0
LTX-CREDENCE CORP COM NEW 502403207 1175 128743 SH SOLE 128743 0 0
MACQUARIE INFRASTR CO LLC MEMBERSHIP INT 55608B105 215 9000 SH SOLE 9000 0 0
MAG SILVER CORP COM 55903Q104 123 10300 SH SOLE 10300 0 0
MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 301 5000 SH SOLE 5000 0 0
MAXYGEN INC COM 577776107 52 10000 SH SOLE 10000 0 0
MEMC ELECTR MATLS INC COM 552715104 236 18200 SH SOLE 18200 0 0
MERCK & CO INC NEW COM 58933Y105 348 10533 SH SOLE 10533 0 0
MICRON TECHNOLOGY INC COM 595112103 229 20000 SH SOLE 20000 0 0
MICROSOFT CORP COM 594918104 3876 152854 SH SOLE 152854 0 0
MILLER PETE INC COM 600577100 387 77300 SH SOLE 77300 0 0
MISSION WEST PPTYS INC COM 605203108 638 97087 SH SOLE 97087 0 0
MOLSON COORS BREWING CO CL B 60871R209 234 5000 SH SOLE 5000 0 0
MONTPELIER RE HOLDINGS LTD SHS G62185106 448 25350 SH SOLE 25350 0 0
MOSAIC CO COM 61945A107 205 2600 SH SOLE 2600 0 0
MOSYS INC COM 619718109 86 14350 SH SOLE 14350 0 0
NEW JERSEY RES COM 646025106 2743 63871 SH SOLE 63871 0 0
NEWMONT MINING CORP COM 651639106 295 5405 SH SOLE 5405 0 0
NICOR INC COM 654086107 1966 36611 SH SOLE 36611 0 0
NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 336 7375 SH SOLE 7375 0 0
NORFOLK SOUTHERN CORP COM 655844108 249 3600 SH SOLE 3600 0 0
NORTHERN OIL & GAS INC NEV COM 665531109 14033 525573 SH SOLE 525573 0 0
NORTHWEST NAT GAS CO COM 667655104 5845 126716 SH SOLE 126716 0 0
NOVARTIS A G SPONSORED ADR 66987V109 222 4080 SH SOLE 4080 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 303 2904 SH SOLE 2904 0 0
OSHKOSH CORP COM 688239201 5670 160262 SH SOLE 160262 0 0
PARKER HANNIFIN CORP COM 701094104 8353 88224 SH SOLE 88224 0 0
PENNICHUCK CORP COM NEW 708254206 2044 71730 SH SOLE 71730 0 0
PEPSICO INC COM 713448108 235 3652 SH SOLE 3652 0 0
PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 276 182950 SH SOLE 182950 0 0
PETROQUEST ENERGY INC COM 716748108 117 12525 SH SOLE 12525 0 0
PFIZER INC COM 717081103 1207 59430 SH SOLE 59430 0 0
PHILIP MORRIS INTL INC COM 718172109 374 5700 SH SOLE 5700 0 0
PIEDMONT NAT GAS INC COM 720186105 358 11800 SH SOLE 11800 0 0
PIONEER NAT RES CO COM 723787107 14253 139848 SH SOLE 139848 0 0
PRECISION DRILLING CORP COM 2010 74022D308 702 51861 SH SOLE 51861 0 0
PRINCIPAL FINL GROUP INC COM 74251V102 335 10444 SH SOLE 10444 0 0
PROCTER & GAMBLE CO COM 742718109 735 11933 SH SOLE 11933 0 0
PURECYCLE CORP COM NEW 746228303 399 101211 SH SOLE 101211 0 0
QEP RES INC COM 74733V100 6050 149223 SH SOLE 149223 0 0
QUESTAR CORP COM 748356102 2938 168383 SH SOLE 168383 0 0
RAM ENERGY RESOURCES INC COM 75130P109 1551 745495 SH SOLE 745495 0 0
REPUBLIC AWYS HLDGS INC COM 760276105 132 20455 SH SOLE 20455 0 0
RGC RES INC COM 74955L103 661 19279 SH SOLE 19279 0 0
ROPER INDS INC NEW COM 776696106 34418 398077 SH SOLE 398077 0 0
SCHLUMBERGER LTD COM 806857108 390 4182 SH SOLE 4182 0 0
SCORPIO TANKERS INC SHS Y7542C106 835 80934 SH SOLE 80934 0 0
SEALED AIR CORP NEW COM 81211K100 223 8350 SH SOLE 8350 0 0
SHENGKAI INNOVATIONS INC COM 82321P104 541 137744 SH SOLE 137744 0 0
SILVER STD RES INC COM 82823L106 201 6400 SH SOLE 6400 0 0
SIRIUS XM RADIO INC COM 82967N108 23 14090 SH SOLE 14090 0 0
SMUCKER J M CO COM NEW 832696405 573 8031 SH SOLE 8031 0 0
SONDE RES CORP COM 835426107 181 50000 SH SOLE 50000 0 0
SOUTH JERSEY INDS INC COM 838518108 2614 46697 SH SOLE 46697 0 0
SOUTHWESTERN ENERGY CO COM 845467109 228 5300 SH SOLE 5300 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 1196 8549 SH SOLE 8549 0 0
SPECTRANETICS CORP COM 84760C107 160 34010 SH SOLE 34010 0 0
SPECTRUM PHARMACEUTICALS INC COM 84763A108 328 36854 SH SOLE 36854 0 0
SPRINT NEXTEL CORP COM SER 1 852061100 186 40000 SH SOLE 40000 0 0
STAR BULK CARRIERS CORP COM Y8162K105 321 133809 SH SOLE 133809 0 0
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 203 16684 SH SOLE 16684 0 0
TERRA NOVA RTY CORP COM 88102D103 121 14000 SH SOLE 14000 0 0
TEXAS INSTRS INC COM 882508104 433 12518 SH SOLE 12518 0 0
TOWER SEMICONDUCTOR LTD ORD M87915100 82 60000 SH SOLE 60000 0 0
TRAVELERS COMPANIES INC COM 89417E109 368 6180 SH SOLE 6180 0 0
TRIMBLE NAVIGATION LTD COM 896239100 12923 255689 SH SOLE 255689 0 0
TUCOWS INC COM 898697107 30 35598 SH SOLE 35598 0 0
U S AIRWAYS GROUP INC COM 90341W108 421 48314 SH SOLE 48314 0 0
UNION PAC CORP COM 907818108 688 6995 SH SOLE 6995 0 0
UNITED TECHNOLOGIES CORP COM 913017109 332 3920 SH SOLE 3920 0 0
USA TECHNOLOGIES INC *W EXP 12/31/201 90328S179 37 72800 SH SOLE 72800 0 0
VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 294 3676 SH SOLE 3676 0 0
VECTREN CORP COM 92240G101 1488 54695 SH SOLE 54695 0 0
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 762 26505 SH SOLE 26505 0 0
WEBMEDIABRANDS INC COM 94770W100 134 95550 SH SOLE 95550 0 0
YORK WTR CO COM 987184108 558 32075 SH SOLE 32075 0 0
YUHE INTERNATIONAL INC COM 988432100 349 52459 SH SOLE 52459 0 0
ZORAN CORP COM 98975F101 1276 122850 SH SOLE 122850 0 0