0001221073-13-000031.txt : 20130419 0001221073-13-000031.hdr.sgml : 20130419 20130418211849 ACCESSION NUMBER: 0001221073-13-000031 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130419 DATE AS OF CHANGE: 20130418 EFFECTIVENESS DATE: 20130419 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: 13770255 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_clear1q2013.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, 2013 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 April 17, 2013 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: 196 Form 13F Information Table Value Total: $341,791 (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 420 11890 SH SOLE 11890 0 0 0 ABBVIE INC COM 00287Y109 485 11890 SH SOLE 11890 0 0 0 ADVANCED PHOTONIX INC CL A 00754E107 8 17000 SH SOLE 17000 0 0 0 AETNA INC NEW COM 00817Y108 1249 24426 SH SOLE 24426 0 0 0 AGL RES INC COM 001204106 528 12578 SH SOLE 12578 0 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 11076 267279 SH SOLE 267279 0 0 0 AMGEN INC COM 031162100 204 1992 SH SOLE 1992 0 0 0 ANADARKO PETE CORP COM 032511107 200 2290 SH SOLE 2290 0 0 0 APACHE CORP COM 037411105 3098 40148 SH SOLE 40148 0 0 0 APACHE CORP COM 037411105 52 10000 SH CALL SOLE 100 0 0 0 APPLE INC COM 037833100 5297 11966 SH SOLE 11966 0 0 0 AQUA AMERICA INC COM 03836W103 980 31180 SH SOLE 31180 0 0 0 ARENA PHARMACEUTICALS INC COM 040047102 82 10000 SH SOLE 10000 0 0 0 ASIA ENTN & RESOURCES LTD SHS G0539K108 108 25000 SH SOLE 25000 0 0 0 AT&T INC COM 00206R102 479 13055 SH SOLE 13055 0 0 0 ATHENAHEALTH INC COM 04685W103 344 3550 SH SOLE 3550 0 0 0 AUTODESK INC COM 052769106 235 5705 SH SOLE 5705 0 0 0 AXIS CAPITAL HOLDINGS INV SHS G0692U109 2708 65075 SH SOLE 65075 0 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5386 51690 SH SOLE 51690 0 0 0 BGC PARTNERS INC CL A 05541T101 741 178038 SH SOLE 178038 0 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 780 11400 SH SOLE 11400 0 0 0 BLACKROCK INCOME TR INC COM 09247F100 96 13309 SH SOLE 13309 0 0 0 BOFI HLDG INC COM 05566U108 436 12140 SH SOLE 12140 0 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 343 8324 SH SOLE 8324 0 0 0 BURGER KING WORLDWIDE INC COM 121220107 25 20000 SH PUT SOLE 200 0 0 0 CALAMOS ASSET MGMT INC CL A 12811R104 396 33673 SH SOLE 33673 0 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 2235 112324 SH 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