13F-HR 1 mktc_clear2q2012.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, 2012 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 18, 2012 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: 191 Form 13F Information Table Value Total: $288,769 (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 1136 17613 SH SOLE 17613 0 0 ADVANCED PHOTONIX INC CL A 00754E107 80 147546 SH SOLE 147546 0 0 AGL RES INC COM 001204106 594 15328 SH SOLE 15328 0 0 ALBANY INTL CORP FRNT 2.250% 3/1 012348AC2 12 12000 PRN SOLE 12000 0 0 ALLSTATE CORP COM 020002101 346 9866 SH SOLE 9866 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 221 8494 SH SOLE 8494 0 0 AMERICAN RLTY CAP TR INC COM 02917L101 1982 181541 SH SOLE 181541 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 9246 269724 SH SOLE 269724 0 0 ANNALY CAP MGMT INC COM 035710409 1022 60884 SH SOLE 60884 0 0 APACHE CORP COM 037411105 1128 12839 SH SOLE 12839 0 0 APPLE INC COM 037833100 2978 5100 SH SOLE 5100 0 0 AQUA AMERICA INC COM 03836W103 784 31429 SH SOLE 31429 0 0 ASIA ENTN & RESOURCES LTD SHS G0539K108 97 24000 SH SOLE 24000 0 0 AT&T INC COM 00206R102 769 21577 SH SOLE 21577 0 0 ATHENAHEALTH INC COM 04685W103 281 3550 SH SOLE 3550 0 0 AURICO GOLD INC COM 05155C105 111 13800 SH SOLE 13800 0 0 AXCELIS TECHNOLOGIES INC COM 054540109 180 150000 SH SOLE 150000 0 0 AXIS CAPITAL HOLDINGS INV SHS G0692U109 706 21686 SH SOLE 21686 0 0 BAXTER INTL INC COM 071813109 306 5758 SH SOLE 5758 0 0 BERKLEY W R CORP COM 084423102 2331 59884 SH SOLE 59884 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4079 48950 SH SOLE 48950 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 797 12200 SH SOLE 12200 0 0 BIOCLINICA INC COM 09071B100 97 20000 SH SOLE 20000 0 0 BLACKROCK INC COM 09247X101 1041 6132 SH SOLE 6132 0 0 BLACKROCK INCOME TR INC COM 09247F100 100 13309 SH SOLE 13309 0 0 BOFI HLDG INC COM 05566U108 243 12300 SH SOLE 12300 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 299 8324 SH SOLE 8324 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 205 15443 SH SOLE 15443 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 2153 116575 SH SOLE 116575 0 0 CAMAC ENERGY INC COM 131745101 37 59422 SH SOLE 59422 0 0 CASCADE MICROTECH INC COM 147322101 78 17000 SH SOLE 17000 0 0 CATERPILLAR INC DEL COM 149123101 5781 68078 SH SOLE 68078 0 0 CENOVUS ENERGY INC COM 15135U109 1607 50584 SH SOLE 50584 0 0 CENTRAL FD CDA LTD CL A 153501101 315 15900 SH SOLE 15900 0 0 CHARLES RIV LABS INTL INC NOTE 2.250% 6/1 159864AB3 15 15000 PRN SOLE 15000 0 0 CHESAPEAKE UTILS CORP COM 165303108 2457 56205 SH SOLE 56205 0 0 CHEVRON CORP NEW COM 166764100 1447 13717 SH SOLE 13717 0 0 CHIMERA INVT CORP COM 16934Q109 88 37350 SH SOLE 37350 0 0 CHINA CERAMICS CO LTD *W EXP 11/16/201 G2113X118 0 11200 SH SOLE 11200 0 0 CHINA CERAMICS CO LTD SHS G2113X100 4332 1411094 SH SOLE 1411094 0 0 CHINA GERUI ADV MAT GR LTD SHS G21101103 177 61765 SH SOLE 61765 0 0 CHINA TECHFAITH WIRLS COMM T SPONSORED ADR 169424108 667 575070 SH SOLE 575070 0 0 CHYRON CORP COM PAR $.01 171605306 37 27500 SH SOLE 27500 0 0 COCA COLA CO COM 191216100 336 4300 SH SOLE 4300 0 0 COLGATE PALMOLIVE CO COM 194162103 530 5092 SH SOLE 5092 0 0 CONNECTICUT WTR SVC INC COM 207797101 3372 116349 SH SOLE 116349 0 0 CONOCOPHILLIPS COM 20825C104 939 16810 SH SOLE 16810 0 0 CONSOLIDATED EDISON INC COM 209115104 2557 41115 SH SOLE 41115 0 0 CONSUMER PORTFOLIO SVCS INC COM 210502100 26 13768 SH SOLE 13768 0 0 CORE LABORATORIES N V COM N22717107 6396 55185 SH SOLE 55185 0 0 CREXUS INVT CORP COM 226553105 156 15350 SH SOLE 15350 0 0 DELL INC COM 24702R101 669 53450 SH SOLE 53450 0 0 DELTA NAT GAS INC COM 247748106 1786 82190 SH SOLE 82190 0 0 DEPOMED INC COM 249908104 282 49540 SH SOLE 49540 0 0 DHT HOLDINGS INC COM Y2065G105 187 300000 SH SOLE 300000 0 0 DIME CMNTY BANCSHARES COM 253922108 193 14536 SH SOLE 14536 0 0 DOT HILL SYS CORP COM 25848T109 43 37900 SH SOLE 37900 0 0 E M C CORP MASS COM 268648102 562 21935 SH SOLE 21935 0 0 ECOLAB INC COM 278865100 665 9707 SH SOLE 9707 0 0 ELDORADO GOLD CORP NEW COM 284902103 288 23389 SH SOLE 23389 0 0 EMERSON ELEC CO COM 291011104 550 11798 SH SOLE 11798 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 203 6600 SH SOLE 6600 0 0 ENCANA CORP COM 292505104 1057 50809 SH SOLE 50809 0 0 ENERGEN CORP COM 29265N108 6969 154422 SH SOLE 154422 0 0 ENERGY PARTNERS LTD COM NEW 29270U303 1457 86200 SH SOLE 86200 0 0 ENERNOC INC COM 292764107 1449 200070 SH SOLE 200070 0 0 EQT CORP COM 26884L109 4015 74869 SH SOLE 74869 0 0 EQUAL ENERGY LTD COM 29390Q109 808 319400 SH SOLE 319400 0 0 EXETER RES CORP COM 301835104 86 51600 SH SOLE 51600 0 0 EXTERRAN HLDGS INC COM 30225X103 745 58445 SH SOLE 58445 0 0 EXTERRAN PARTNERS LP COM UNITS 30225N105 1321 68710 SH SOLE 68710 0 0 EXXON MOBIL CORP COM 30231G102 10005 116917 SH SOLE 116917 0 0 FIFTH STREET FINANCE CORP COM 31678A103 537 53815 SH SOLE 53815 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 9194 1482939 SH SOLE 1482939 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 0 10000 SH CALL SOLE 10000 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 155 16174 SH SOLE 16174 0 0 FOREST OIL CORP COM PAR $0.01 346091705 0 31 SH SOLE 31 0 0 FOREST OIL CORP COM PAR $0.01 346091705 18 35000 SH CALL SOLE 35000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1096 32176 SH SOLE 32176 0 0 FX ENERGY INC COM 302695101 7348 1234987 SH SOLE 1234987 0 0 GENERAL ELECTRIC CO COM 369604103 3014 144608 SH SOLE 144608 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 429 63300 SH SOLE 63300 0 0 GENERAL MTRS CO COM 37045V100 2 100 SH SOLE 100 0 0 GETTY RLTY CORP NEW COM 374297109 2761 144189 SH SOLE 144189 0 0 GRAN TIERRA ENERGY INC COM 38500T101 259 52736 SH SOLE 52736 0 0 HANOVER COMPRESSOR CO NOTE 4.750% 1/1 410768AE5 186 192000 PRN SOLE 192000 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 636 36065 SH SOLE 36065 0 0 HARVEST NATURAL RESOURCES IN COM 41754V103 220 25717 SH SOLE 25717 0 0 HAWAIIAN HOLDINGS INC COM 419879101 1425 218823 SH SOLE 218823 0 0 HEXCEL CORP NEW COM 428291108 2587 100325 SH SOLE 100325 0 0 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 1796 958027 SH SOLE 958027 0 0 HUNTSMAN CORP COM 447011107 129 10000 SH SOLE 10000 0 0 INTEL CORP COM 458140100 504 18915 SH SOLE 18915 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1854 9481 SH SOLE 9481 0 0 INTEVAC INC COM 461148108 693 92140 SH SOLE 92140 0 0 ISHARES GOLD TRUST ISHARES 464285105 577 37055 SH SOLE 37055 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 399 3808 SH SOLE 3808 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 117 950 SH SOLE 950 0 0 ISHARES TR HIGH YLD CORP 464288513 38 419 SH SOLE 419 0 0 ISHARES TR S&P AMTFREE MUNI 464288323 11 100 SH SOLE 100 0 0 ITRON INC COM 465741106 995 24125 SH SOLE 24125 0 0 JABIL CIRCUIT INC COM 466313103 2441 120079 SH SOLE 120079 0 0 JOHNSON & JOHNSON COM 478160104 3765 55731 SH SOLE 55731 0 0 JOHNSON CTLS INC COM 478366107 5454 196821 SH SOLE 196821 0 0 JPMORGAN CHASE & CO COM 46625H100 672 18798 SH SOLE 18798 0 0 JPMORGAN CHASE & CO COM 46625H100 0 100 SH CALL SOLE 100 0 0 KIMBERLY CLARK CORP COM 494368103 447 5331 SH SOLE 5331 0 0 KROGER CO COM 501044101 739 31850 SH SOLE 31850 0 0 KULICKE & SOFFA INDS INC COM 501242101 1187 133100 SH SOLE 133100 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 569 6142 SH SOLE 6142 0 0 LIHUA INTL INC COM 532352101 3155 575661 SH SOLE 575661 0 0 LOWES COS INC COM 548661107 420 14783 SH SOLE 14783 0 0 LTX-CREDENCE CORP COM NEW 502403207 766 114263 SH SOLE 114263 0 0 MACQUARIE INFRASTR CO LLC MEMBERSHIP INT 55608B105 233 7000 SH SOLE 7000 0 0 MAG SILVER CORP COM 55903Q104 91 10300 SH SOLE 10300 0 0 MAGNUM HUNTER RES CORP DEL COM 55973B102 65 15478 SH SOLE 15478 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 224 5000 SH SOLE 5000 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 10 500 SH SOLE 500 0 0 MATADOR RES CO COM 576485205 1260 117311 SH SOLE 117311 0 0 MCKESSON CORP COM 58155Q103 507 5410 SH SOLE 5410 0 0 MERCK & CO INC NEW COM 58933Y105 1459 34944 SH SOLE 34944 0 0 MICROSOFT CORP COM 594918104 2166 70814 SH SOLE 70814 0 0 MISSION WEST PPTYS INC COM 605203108 817 94837 SH SOLE 94837 0 0 MOSYS INC COM 619718109 53 16350 SH SOLE 16350 0 0 NEW JERSEY RES COM 646025106 3315 76013 SH SOLE 76013 0 0 NEWFIELD EXPL CO COM 651290108 293 10000 SH SOLE 10000 0 0 NEWMONT MINING CORP COM 651639106 1434 29555 SH SOLE 29555 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 9919 622264 SH SOLE 622264 0 0 NORTHWEST NAT GAS CO COM 667655104 6474 136002 SH SOLE 136002 0 0 NOVARTIS A G SPONSORED ADR 66987V109 253 4530 SH SOLE 4530 0 0 NVIDIA CORP COM 67066G104 38 2750 SH SOLE 2750 0 0 NVIDIA CORP COM 67066G104 18 30000 SH CALL SOLE 30000 0 0 NXSTAGE MEDICAL INC COM 67072V103 184 10955 SH SOLE 10955 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 262 3055 SH SOLE 3055 0 0 OMNIVISION TECHNOLOGIES INC COM 682128103 20 1500 SH SOLE 1500 0 0 OMNIVISION TECHNOLOGIES INC COM 682128103 15 30000 SH CALL SOLE 30000 0 0 ORACLE CORP COM 68389X105 264 8880 SH SOLE 8880 0 0 OSHKOSH CORP COM 688239201 995 47478 SH SOLE 47478 0 0 PARKER HANNIFIN CORP COM 701094104 6109 79461 SH SOLE 79461 0 0 PEPSICO INC COM 713448108 323 4567 SH SOLE 4567 0 0 PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 226 193450 SH SOLE 193450 0 0 PETROQUEST ENERGY INC COM 716748108 75 14975 SH SOLE 14975 0 0 PFIZER INC COM 717081103 1346 58515 SH SOLE 58515 0 0 PHILIP MORRIS INTL INC COM 718172109 313 3590 SH SOLE 3590 0 0 PIEDMONT NAT GAS INC COM 720186105 380 11800 SH SOLE 11800 0 0 PIONEER NAT RES CO COM 723787107 13526 153336 SH SOLE 153336 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 218 2700 SH SOLE 2700 0 0 PLUM CREEK TIMBER CO INC COM 729251108 206 5200 SH SOLE 5200 0 0 PNC FINL SVCS GROUP INC COM 693475105 473 7746 SH SOLE 7746 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 274 10444 SH SOLE 10444 0 0 PROCTER & GAMBLE CO COM 742718109 1117 18229 SH SOLE 18229 0 0 PURECYCLE CORP COM NEW 746228303 231 107636 SH SOLE 107636 0 0 QEP RES INC COM 74733V100 5229 174487 SH SOLE 174487 0 0 QUESTAR CORP COM 748356102 5133 246056 SH SOLE 246056 0 0 REALNETWORKS INC COM NEW 75605L708 156 18000 SH SOLE 18000 0 0 RESEARCH IN MOTION LTD COM 760975102 163 22000 SH SOLE 22000 0 0 RGC RES INC COM 74955L103 808 44958 SH SOLE 44958 0 0 ROPER INDS INC NEW COM 776696106 38812 393715 SH SOLE 393715 0 0 SCHLUMBERGER LTD COM 806857108 858 13212 SH SOLE 13212 0 0 SEALED AIR CORP NEW COM 81211K100 405 26223 SH SOLE 26223 0 0 SIRIUS XM RADIO INC COM 82967N108 19 10310 SH SOLE 10310 0 0 SMUCKER J M CO COM NEW 832696405 581 7699 SH SOLE 7699 0 0 SOLAR CAP LTD COM 83413U100 433 19430 SH SOLE 19430 0 0 SOUTH JERSEY INDS INC COM 838518108 3083 60493 SH SOLE 60493 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2599 16747 SH SOLE 16747 0 0 SPECTRANETICS CORP COM 84760C107 335 29360 SH SOLE 29360 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 570 36650 SH SOLE 36650 0 0 STAR BULK CARRIERS CORP COM Y8162K105 79 109920 SH SOLE 109920 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 674 48300 SH SOLE 48300 0 0 TARGET CORP COM 87612E106 1055 17690 SH SOLE 17690 0 0 TEXAS INSTRS INC COM 882508104 273 9518 SH SOLE 9518 0 0 TICC CAPITAL CORP COM 87244T109 429 44239 SH SOLE 44239 0 0 TRANSATLANTIC PETROLEUM LTD SHS G89982105 148 137000 SH SOLE 137000 0 0 TRIMBLE NAVIGATION LTD COM 896239100 9053 196758 SH SOLE 196758 0 0 TRUSTCO BK CORP N Y COM 898349105 58 10560 SH SOLE 10560 0 0 U S AIRWAYS GROUP INC COM 90341W108 520 39014 SH SOLE 39014 0 0 UNI PIXEL INC COM NEW 904572203 364 54150 SH SOLE 54150 0 0 UNION PAC CORP COM 907818108 1454 12188 SH SOLE 12188 0 0 UNITED TECHNOLOGIES CORP COM 913017109 269 3556 SH SOLE 3556 0 0 VECTREN CORP COM 92240G101 1497 50695 SH SOLE 50695 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 2508 88992 SH SOLE 88992 0 0 VOYAGER OIL & GAS INC COM 92911K100 50 28375 SH SOLE 28375 0 0 WALGREEN CO COM 931422109 403 13615 SH SOLE 13615 0 0 WEBMEDIABRANDS INC COM 94770W100 97 154426 SH SOLE 154426 0 0 XYLEM INC COM 98419M100 11 45000 SH PUT SOLE 45000 0 0 YAHOO INC COM 984332106 22 138200 SH PUT SOLE 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