13F-HR 1 mktc_clear2q2011.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: June 30, 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: 028-14126 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 July 22, 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: 158 Form 13F Information Table Value Total: $306,187 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBOTT LABS COM 002824100 857 16140 SH SOLE 16140 0 0 ADVANCED ENERGY INDS COM 007973100 303 20185 SH SOLE 20185 0 0 ADVANCED PHOTONIX INC CL A 00754E107 284 206000 SH SOLE 206000 0 0 ALASKA AIR GROUP INC COM 011659109 1334 19310 SH SOLE 19310 0 0 ALBANY INTL CORP FRNT 2.250% 3/1 012348AC2 12 12000 PRN SOLE 12000 0 0 ALLSTATE CORP COM 020002101 386 12491 SH SOLE 12491 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 7676 255020 SH SOLE 255020 0 0 APACHE CORP COM 037411105 1367 11044 SH SOLE 11044 0 0 APPLE INC COM 037833100 782 2278 SH SOLE 2278 0 0 AQUA AMERICA INC COM 03836W103 718 32094 SH SOLE 32094 0 0 AT&T INC COM 00206R102 580 18304 SH SOLE 18304 0 0 AURICO GOLD INC COM 05155C105 175 16266 SH SOLE 16266 0 0 AUTODESK INC COM 052769106 248 6405 SH SOLE 6405 0 0 AXCELIS TECHNOLOGIES INC COM 054540109 592 350000 SH SOLE 350000 0 0 AXIS CAPITAL HOLDINGS SHS G0692U109 232 7437 SH SOLE 7437 0 0 BANK OF AMERICA CORPORATION COM 060505104 338 30516 SH SOLE 30516 0 0 BAXTER INTL INC COM 071813109 347 5758 SH SOLE 5758 0 0 BERKLEY W R CORP COM 084423102 2637 80513 SH SOLE 80513 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3874 49615 SH SOLE 49615 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 1203 12600 SH SOLE 12600 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 214 7357 SH SOLE 7357 0 0 BROOKS AUTOMATION INC COM 114340102 451 40250 SH SOLE 40250 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 1767 94164 SH SOLE 94164 0 0 CANADIAN NAT RES LTD COM 136385101 210 4950 SH SOLE 4950 0 0 CATERPILLAR INC DEL COM 149123101 10132 93278 SH SOLE 93278 0 0 CENOVUS ENERGY INC COM 15135U109 2234 59229 SH SOLE 59229 0 0 CENTRAL FD CDA LTD CL A 153501101 380 18925 SH SOLE 18925 0 0 CHARLES RIV LABS INTL INC NOTE 2.250% 6/1 159864AB3 16 15000 PRN SOLE 15000 0 0 CHESAPEAKE UTILS CORP COM 165303108 1550 38222 SH SOLE 38222 0 0 CHEVRON CORP NEW COM 166764100 1450 13927 SH SOLE 13927 0 0 CHINA CERAMICS CO LTD SHS G2113X100 3877 851885 SH SOLE 851885 0 0 CHINA CERAMICS CO LTD *W EXP 11/16/201 G2113X118 235 427940 SH SOLE 427940 0 0 CHINA GERUI ADV MAT GR LTD SHS G21101103 683 162900 SH SOLE 162900 0 0 CHINA TECHFAITH WIRLS COMM T SPONSORED ADR 169424108 3717 957967 SH SOLE 957967 0 0 CHYRON CORP COM PAR $.01 171605306 42 20000 SH SOLE 20000 0 0 COCA COLA CO COM 191216100 317 4650 SH SOLE 4650 0 0 COLGATE PALMOLIVE CO COM 194162103 491 5550 SH SOLE 5550 0 0 COMVERGE INC COM 205859101 1408 472515 SH SOLE 472515 0 0 CONNECTICUT WTR SVC INC COM 207797101 2111 82757 SH SOLE 82757 0 0 CONOCOPHILLIPS COM 20825C104 2460 32424 SH SOLE 32424 0 0 CONSOLIDATED EDISON INC COM 209115104 2108 39000 SH SOLE 39000 0 0 CONSUMER PORTFOLIO SVCS INC COM 210502100 29 23950 SH SOLE 23950 0 0 CORE LABORATORIES N V COM N22717107 5783 50944 SH SOLE 50944 0 0 DELL INC COM 24702R101 942 55450 SH SOLE 55450 0 0 DELTA NAT GAS INC COM 247748106 1080 33995 SH SOLE 33995 0 0 DEVON ENERGY CORP NEW COM 25179M103 246 3120 SH SOLE 3120 0 0 DHT HOLDINGS INC COM Y2065G105 219 56500 SH SOLE 56500 0 0 DIME CMNTY BANCSHARES COM 253922108 218 14536 SH SOLE 14536 0 0 DOW CHEM CO COM 260543103 240 6600 SH SOLE 6600 0 0 E M C CORP MASS COM 268648102 335 12020 SH SOLE 12020 0 0 EARTHLINK INC COM 270321102 78 10000 SH SOLE 10000 0 0 ECOLAB INC COM 278865100 383 6744 SH SOLE 6744 0 0 EMERSON ELEC CO COM 291011104 474 8300 SH SOLE 8300 0 0 ENCANA CORP COM 292505104 1709 55444 SH SOLE 55444 0 0 ENERGEN CORP COM 29265N108 9225 160721 SH SOLE 160721 0 0 ENERGY PARTNERS LTD COM NEW 29270U303 286 19000 SH SOLE 19000 0 0 ENERNOC INC COM 292764107 3923 246705 SH SOLE 246705 0 0 EQT CORP COM 26884L109 3769 70557 SH SOLE 70557 0 0 EQUAL ENERGY LTD COM 29390Q109 176 25600 SH SOLE 25600 0 0 EXTERRAN HLDGS INC COM 30225X103 1313 65530 SH SOLE 65530 0 0 EXTERRAN PARTNERS LP COM UNITS 30225N105 1812 70610 SH SOLE 70610 0 0 EXXON MOBIL CORP COM 30231G102 9535 116268 SH SOLE 116268 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 8938 1354196 SH SOLE 1354196 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 224 16000 SH SOLE 16000 0 0 FX ENERGY INC COM 302695101 11324 1248484 SH SOLE 1248484 0 0 G WILLI FOOD INTL LTD ORD M52523103 139 19625 SH SOLE 19625 0 0 GENERAL ELECTRIC CO COM 369604103 2893 150689 SH SOLE 150689 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 738 46000 SH SOLE 46000 0 0 GETTY RLTY CORP NEW COM 374297109 2094 82933 SH SOLE 82933 0 0 GRAN TIERRA ENERGY INC COM 38500T101 326 48850 SH SOLE 48850 0 0 GSI TECHNOLOGY COM 36241U106 290 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 739 60939 SH SOLE 60939 0 0 HAWAIIAN HOLDINGS INC COM 419879101 779 131888 SH SOLE 131888 0 0 HEWLETT PACKARD CO COM 428236103 2025 54665 SH SOLE 54665 0 0 HEXCEL CORP NEW COM 428291108 2285 102325 SH SOLE 102325 0 0 INTEGRATED SILICON SOLUTION COM 45812P107 2117 219849 SH SOLE 219849 0 0 INTEL CORP COM 458140100 215 9544 SH SOLE 9544 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1657 9496 SH SOLE 9496 0 0 INTEVAC INC COM 461148108 1231 121040 SH SOLE 121040 0 0 ISHARES GOLD TRUST ISHARES 464285105 251 17275 SH SOLE 17275 0 0 ITRON INC COM 465741106 1232 25220 SH SOLE 25220 0 0 JABIL CIRCUIT INC COM 466313103 2138 102921 SH SOLE 102921 0 0 JOHNSON & JOHNSON COM 478160104 3513 52198 SH SOLE 52198 0 0 JOHNSON CTLS INC COM 478366107 8368 197347 SH SOLE 197347 0 0 KIT DIGITAL INC COM NEW 482470200 395 33198 SH SOLE 33198 0 0 KULICKE & SOFFA INDS INC COM 501242101 2478 217000 SH SOLE 217000 0 0 LIHUA INTL INC COM 532352101 3138 523019 SH SOLE 523019 0 0 LOWES COS INC COM 548661107 370 15527 SH SOLE 15527 0 0 LTX-CREDENCE CORP COM NEW 502403207 1170 128744 SH SOLE 128744 0 0 MACQUARIE INFRASTR CO LLC MEMBERSHIP INT 55608B105 250 9000 SH SOLE 9000 0 0 MAG SILVER CORP COM 55903Q104 100 10300 SH SOLE 10300 0 0 MAGNUM HUNTER RES CORP DEL COM 55973B102 79 11728 SH SOLE 11728 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 269 5000 SH SOLE 5000 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 302 20000 SH SOLE 20000 0 0 MERCK & CO INC NEW COM 58933Y105 892 25055 SH SOLE 25055 0 0 MICRON TECHNOLOGY INC COM 595112103 156 20000 SH SOLE 20000 0 0 MICROSOFT CORP COM 594918104 1493 57383 SH SOLE 57383 0 0 MILLER ENERGY RES INC COM 600527105 530 82800 SH SOLE 82800 0 0 MISSION WEST PPTYS INC COM 605203108 864 98287 SH SOLE 98287 0 0 MONTPELIER RE HOLDINGS LTD SHS G62185106 293 16224 SH SOLE 16224 0 0 MOSYS INC COM 619718109 95 16350 SH SOLE 16350 0 0 NEW JERSEY RES COM 646025106 3235 70904 SH SOLE 70904 0 0 NEWMONT MINING CORP COM 651639106 290 5405 SH SOLE 5405 0 0 NICOR INC COM 654086107 1942 35011 SH SOLE 35011 0 0 NORFOLK SOUTHERN CORP COM 655844108 277 3600 SH SOLE 3600 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 13013 592028 SH SOLE 592028 0 0 NORTHWEST NAT GAS CO COM 667655104 6148 134089 SH SOLE 134089 0 0 NOVARTIS A G SPONSORED ADR 66987V109 249 4080 SH SOLE 4080 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 306 2904 SH SOLE 2904 0 0 OSHKOSH CORP COM 688239201 6428 195097 SH SOLE 195097 0 0 PARKER HANNIFIN CORP COM 701094104 9171 100138 SH SOLE 100138 0 0 PENNICHUCK CORP COM NEW 708254206 2419 84130 SH SOLE 84130 0 0 PEPSICO INC COM 713448108 256 3652 SH SOLE 3652 0 0 PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 276 194450 SH SOLE 194450 0 0 PETROQUEST ENERGY INC COM 716748108 124 17525 SH SOLE 17525 0 0 PFIZER INC COM 717081103 1267 61057 SH SOLE 61057 0 0 PHILIP MORRIS INTL INC COM 718172109 214 3200 SH SOLE 3200 0 0 PIEDMONT NAT GAS INC COM 720186105 364 11800 SH SOLE 11800 0 0 PIONEER NAT RES CO COM 723787107 13983 155198 SH SOLE 155198 0 0 PLUM CREEK TIMBER CO INC COM 729251108 446 10800 SH SOLE 10800 0 0 PRECISION DRILLING CORP COM 2010 74022D308 777 53359 SH SOLE 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0 0 SOUTH JERSEY INDS INC COM 838518108 3247 59107 SH SOLE 59107 0 0 SOUTHWESTERN ENERGY CO COM 845467109 232 5300 SH SOLE 5300 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1225 8449 SH SOLE 8449 0 0 SPECTRANETICS CORP COM 84760C107 226 36010 SH SOLE 36010 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 345 36754 SH SOLE 36754 0 0 STAR BULK CARRIERS CORP COM Y8162K105 247 120320 SH SOLE 120320 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 213 16532 SH SOLE 16532 0 0 TARGET CORP COM 87612E106 520 10851 SH SOLE 10851 0 0 TEXAS INSTRS INC COM 882508104 413 12328 SH SOLE 12328 0 0 TRAVELERS COMPANIES INC COM 89417E109 306 5180 SH SOLE 5180 0 0 TRIMBLE NAVIGATION LTD COM 896239100 10900 266774 SH SOLE 266774 0 0 U S AIRWAYS GROUP INC COM 90341W108 991 110814 SH SOLE 110814 0 0 UNI PIXEL INC COM NEW 904572203 264 35000 SH SOLE 35000 0 0 UNION PAC CORP COM 907818108 1336 12513 SH SOLE 12513 0 0 UNITED TECHNOLOGIES CORP COM 913017109 353 3920 SH SOLE 3920 0 0 USA TECHNOLOGIES INC *W EXP 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