0001221073-14-000040.txt : 20140515 0001221073-14-000040.hdr.sgml : 20140515 20140514213542 ACCESSION NUMBER: 0001221073-14-000040 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140515 DATE AS OF CHANGE: 20140514 EFFECTIVENESS DATE: 20140515 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: 14843504 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 primary_doc.xml 13F-HR LIVE false true false 0001511857 XXXXXXXX 03-31-2014 03-31-2014 Clear Harbor Asset Management, LLC

420 LEXINGTON AVENUE SUITE 2006 NEW YORK NY 10170

13F HOLDINGS REPORT 028-14126 N Ian Armstrong 212-867-7310 /s/ Ian Armstrong New York NY 04-29-2014 0 214 426922 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 1 800 FLOWERS COMCL A68243Q10614125000SHSOLE 25000003M COCOM88579Y1012341723SHSOLE 172300ABB LTDSPONSORED ADR00037520495637080SHSOLE 3708000ABBOTT LABSCOM00282410046512085SHSOLE 1208500ABBVIE INCCOM00287Y10962212110SHSOLE 1211000ADVANCED PHOTONIX INCCL A00754E107812000SHSOLE 1200000AETNA INC NEWCOM00817Y108266435536SHSOLE 3553600AMERICAN CAP MTG INVT CORPCOM02504A104114360900SHSOLE 6090000AMERICAN CAPITAL AGENCY CORPCOM02503X105191389025SHSOLE 8902500AMERICAN DG ENERGY INCCOM0253981084924423SHSOLE 2442300AMERICAN WTR WKS CO INC NEWCOM03042010312135267288SHSOLE 26728800AMGEN INCCOM0311621002461992SHSOLE 199200APACHE CORPCOM037411105633476365SHSOLE 7636500APACHE CORPCOM0374111053016500SHCallSOLE 1650000APPLE INCCOM037833100686112782SHSOLE 1278200AQUA AMERICA INCCOM03836W10394137549SHSOLE 3754900ARBOR RLTY TR INCCOM0389231081465211657SHSOLE 21165700ARES COML REAL ESTATE CORPCOM04013V108102376282SHSOLE 7628200AT&T INCCOM00206R102208359402SHSOLE 5940200ATHENAHEALTH INCCOM04685W1035693550SHSOLE 355000AUTODESK INCCOM0527691062956005SHSOLE 600500AXIS CAPITAL HOLDINGS LTDSHSG0692U109316569033SHSOLE 6903300BARRICK GOLD CORPCOM06790110818610439SHSOLE 1043900BERKSHIRE HATHAWAY INC DELCL B NEW084670702633150664SHSOLE 5066400BHP BILLITON LTDSPONSORED ADR08860610868410100SHSOLE 1010000BIOSCRIP INCCOM09069N1089213250SHSOLE 1325000BLACKROCK INCOME TR INCCOM09247F10022133834SHSOLE 3383400BOFI HLDG INCCOM05566U1084254960SHSOLE 496000BRISTOL MYERS SQUIBB COCOM1101221084408473SHSOLE 847300CALAMOS ASSET MGMT INCCL A12811R10414611275SHSOLE 1127500CALIFORNIA WTR SVC GROUPCOM1307881022530105674SHSOLE 10567400CATERPILLAR INC DELCOM149123101555155865SHSOLE 5586500CENTRAL FD CDA LTDCL A15350110118713600SHSOLE 1360000CF INDS HLDGS INCCOM12526910012424767SHSOLE 476700CHERRY HILL MTG INVT CORPCOM16465110152728130SHSOLE 2813000CHESAPEAKE UTILS CORPCOM165303108377059693SHSOLE 5969300CHEVRON CORP NEWCOM166764100122810327SHSOLE 1032700CHINA CERAMICS CO LTDSHSG2113X100819496227SHSOLE 49622700CHINA GERUI ADV MAT GR LTDSHSG211011033226965SHSOLE 2696500CHINA TECHFAITH WIRLS COMM TSPONSORED ADR169424108367196425SHSOLE 19642500CISCO SYS INCCOM17275R102112950374SHSOLE 5037400COCA COLA COCOM1912161003609306SHSOLE 930600COLGATE PALMOLIVE COCOM1941621036099384SHSOLE 938400COMSTOCK RES INCCOM NEW20576820348021000SHSOLE 2100000CONNECTICUT WTR SVC INCCOM2077971014437129850SHSOLE 12985000CONOCOPHILLIPSCOM20825C1043655182SHSOLE 518200CONSOLIDATED EDISON INCCOM209115104187034855SHSOLE 3485500CONVERSANT INCCOM21249J1052831100570SHSOLE 10057000CORE LABORATORIES N VCOMN227171071306365806SHSOLE 6580600CROSSROADS SYS INCCOM NEW22765D2098836627SHSOLE 3662700CUI GLOBAL INCCOM NEW1265762062350213657SHSOLE 21365700DANAHER CORP DELCOM2358511022082770SHSOLE 277000DENBURY RES INCCOM NEW24791620858335575SHSOLE 3557500DILLARDS INCCL A254067101165517910SHSOLE 1791000DIME CMNTY BANCSHARESCOM25392210824714536SHSOLE 1453600E M C CORP MASSCOM268648102263996285SHSOLE 9628500EATON CORP PLCSHSG291831035947914SHSOLE 791400ECOLAB INCCOM278865100118310958SHSOLE 1095800EMERSON ELEC COCOM2910111046349489SHSOLE 948900ENERGEN CORPCOM29265N10811861146776SHSOLE 14677600ENERGY XXI BERMUDA LTDUSD UNRS SHSG10082140111647355SHSOLE 4735500ENERNOC INCCOM2927641075383241620SHSOLE 24162000EQT CORPCOM26884L109681970323SHSOLE 7032300EQT MIDSTREAM PARTNERS LPUNIT LTD PARTN26885B1004616550SHSOLE 655000EXETER RES CORPCOM3018351042236100SHSOLE 3610000EXPRESS SCRIPTS HLDG COCOM30219G1083404527SHSOLE 452700EXTERRAN HLDGS INCCOM30225X103230652545SHSOLE 5254500EXTERRAN PARTNERS LPCOM UNITS30225N105164457700SHSOLE 5770000EXXON MOBIL CORPCOM30231G10210567108183SHSOLE 10818300FIFTH STREET FINANCE CORPCOM31678A1032152227524SHSOLE 22752400FLEXTRONICS INTL LTDORDY2573F102106371151216SHSOLE 115121600FORD MTR CO DELCOM PAR $0.0134537086042026924SHSOLE 2692400FTD COS INCCOM30281V10847715000SHSOLE 1500000FX ENERGY INCCOM30269510139851193204SHSOLE 119320400GALLAGHER ARTHUR J & COCOM363576109364776644SHSOLE 7664400GAP INC DELCOM364760108149037187SHSOLE 3718700GENERAL ELECTRIC COCOM3696041033492134863SHSOLE 13486300GENERAL MTRS COCOM37045V100178751915SHSOLE 5191500GETTY RLTY CORP NEWCOM3742971092576136391SHSOLE 13639100GOOGLE INCCL A38259P508452406SHSOLE 40600HALCON RES CORPCOM NEW40537Q2093925000SHCallSOLE 2500000HARTFORD FINL SVCS GROUP INCCOM4165151047599215446SHSOLE 21544600HATTERAS FINL CORPCOM41902R10363833865SHSOLE 3386500HAWAIIAN HOLDINGS INCCOM41987910150235960SHSOLE 3596000HERCULES OFFSHORE INCCOM427093109645140450SHSOLE 14045000HEXCEL CORP NEWCOM428291108407593603SHSOLE 9360300HOLLYFRONTIER CORPCOM436106108136128602SHSOLE 2860200HOME DEPOT INCCOM4370761022232812SHSOLE 281200I D SYSTEMS INCCOM4494891039116100SHSOLE 1610000INTEL CORPCOM45814010036914303SHSOLE 1430300INTERNATIONAL BUSINESS MACHSCOM459200101243812668SHSOLE 1266800INTEVAC INCCOM4611481081107114130SHSOLE 11413000ISHARES1-3 YR CR BD ETF4642886464294068SHSOLE 406800ISHARES20+ YR TR BD ETF4642874324223870SHSOLE 387000ISHARES7-10 Y TR BD ETF4642874405605505SHSOLE 550500ISHARESIBOXX INV CP ETF4642872422882466SHSOLE 246600ISHARES GOLD TRUSTISHARES46428510544535750SHSOLE 3575000JABIL CIRCUIT INCCOM4663131031807100362SHSOLE 10036200JOHNSON & JOHNSONCOM478160104464947325SHSOLE 4732500JOHNSON CTLS INCCOM4783661079660204141SHSOLE 20414100JPMORGAN CHASE & COCOM46625H1002554196SHSOLE 419600KIMBERLY CLARK CORPCOM4943681035054581SHSOLE 458100LIHUA INTL INCCOM532352101541110268SHSOLE 11026800LIQTECH INTL INCCOM53632A1021620852594SHSOLE 85259400LORILLARD INCCOM54414710159511000SHSOLE 1100000LOWES COS INCCOM5486611072795710SHSOLE 571000MACQUARIE INFRASTR CO LLCMEMBERSHIP INT55608B1053446000SHSOLE 600000MACYS INCCOM55616P1042374000SHSOLE 400000MAGNUM HUNTER RES CORP DELCOM55973B10210011728SHSOLE 1172800MANITEX INTL INCCOM56342010834020840SHSOLE 2084000MARATHON PETE CORPCOM56585A1023924500SHSOLE 450000MARKET VECTORS ETF TRGOLD MINER ETF57060U1002018500SHSOLE 850000MATADOR RES COCOM5764852052923119361SHSOLE 11936100MAXWELL TECHNOLOGIES INCCOM57776710613610500SHSOLE 1050000MBIA INCCOM55262C10047133680SHSOLE 3368000MCKESSON CORPCOM58155Q1039505380SHSOLE 538000MEDIABISTRO INCCOM58448U1013112856SHSOLE 1285600MEDICAL PPTYS TRUST INCCOM58463J30483165000SHSOLE 6500000MERCK & CO INC NEWCOM58933Y105222039098SHSOLE 3909800MFA FINL INCCOM55272X1021372177050SHSOLE 17705000MICROSOFT CORPCOM594918104400197602SHSOLE 9760200MOSAIC CO NEWCOM61945C103289657919SHSOLE 5791900NEW JERSEY RESCOM646025106466593672SHSOLE 9367200NEWMONT MINING CORPCOM65163910633014070SHSOLE 1407000NORTHERN OIL & GAS INC NEVCOM6655311099650660030SHSOLE 66003000NORTHWEST NAT GAS COCOM6676551045588126966SHSOLE 12696600NOVARTIS A GSPONSORED ADR66987V1093854530SHSOLE 453000NUVEEN NY MUN VALUE FDCOM67062M10516817750SHSOLE 1775000NUVEEN PFD & INCOME TERM FDCOM67075A1062119240SHSOLE 924000OCCIDENTAL PETE CORP DELCOM674599105301131594SHSOLE 3159400OCWEN FINL CORPCOM NEW67574630998125050SHSOLE 2505000ODYSSEY MARINE EXPLORATION ICOM67611810226741167706SHSOLE 116770600ORACLE CORPCOM68389X10548411826SHSOLE 1182600ORBOTECH LTDORDM7525310057137100SHSOLE 3710000OUTERWALL INCCOM6900701073665050SHSOLE 505000OXFORD LANE CAP CORPCOM691543102129877738SHSOLE 7773800PARKER HANNIFIN CORPCOM7010941041005583995SHSOLE 8399500PEABODY ENERGY CORPCOM70454910453332625SHSOLE 3262500PEPSICO INCCOM7134481084054851SHSOLE 485100PETROQUEST ENERGY INCCOM7167481087413000SHSOLE 1300000PFIZER INCCOM717081103107433432SHSOLE 3343200PHILIP MORRIS INTL INCCOM7181721092943590SHSOLE 359000PIEDMONT NAT GAS INCCOM72018610543912400SHSOLE 1240000PIONEER NAT RES COCOM72378710720142107629SHSOLE 10762900PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN7265031052985400SHSOLE 540000PLUM CREEK TIMBER CO INCCOM7292511082195200SHSOLE 520000PNC FINL SVCS GROUP INCCOM6934751057078128SHSOLE 812800POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76971928970SHSOLE 2897000PRINCIPAL FINL GROUP INCCOM74251V10248010444SHSOLE 1044400PROCTER & GAMBLE COCOM742718109145118002SHSOLE 1800200PROFESSIONAL DIVERSITY NET ICOM74312Y10312135095SHSOLE 3509500PROGENICS PHARMACEUTICALS INCOM7431871067819000SHSOLE 1900000PROSHARES TR IIULTSH DJ UBS CRU74347W66829910490SHSOLE 1049000PURECYCLE CORPCOM NEW746228303653107886SHSOLE 10788600QEP RES INCCOM74733V1004546154425SHSOLE 15442500QUALCOMM INCCOM7475251036207860SHSOLE 786000QUESTAR CORPCOM7483561025907248422SHSOLE 24842200RAMBUS INC DELCOM75091710654851000SHSOLE 5100000RIO TINTO PLCSPONSORED ADR76720410058710510SHSOLE 1051000ROPER INDS INC NEWCOM77669610650143375577SHSOLE 37557700SANDSTORM GOLD LTDCOM NEW80013R20626246706SHSOLE 4670600SANOFIRIGHT 12/31/202080105N1131033635SHSOLE 3363500SCHLUMBERGER LTDCOM806857108120012311SHSOLE 1231100SCORPIO TANKERS INCSHSY7542C10613213273SHSOLE 1327300SEAGATE TECHNOLOGY PLCSHSG7945M107156527867SHSOLE 2786700SELECT INCOME REITCOM SH BEN INT81618T100125641498SHSOLE 4149800SIGMA ALDRICH CORPCOM826552101010999SHSOLE 1099900SILICON MOTION TECHNOLOGY COSPONSORED ADR82706C10818010700SHSOLE 1070000SKYWORKS SOLUTIONS INCCOM83088M10282722030SHSOLE 2203000SMUCKER J M COCOM NEW8326964056987182SHSOLE 718200SOLAR CAP LTDCOM83413U100108349735SHSOLE 4973500SOLAR SR CAP LTDCOM83416M1052084121786SHSOLE 12178600SOUTH JERSEY INDS INCCOM838518108377567298SHSOLE 6729800SOUTHWESTERN ENERGY COCOM8454671092485400SHSOLE 540000SPDR GOLD TRUSTGOLD SHS78463V10711489288SHSOLE 928800SPDR S&P 500 ETF TRTR UNIT78462F1033892081SHSOLE 208100SPDR S&P 500 ETF TRTR UNIT78462F1030600SHPutSOLE 60000SPDR SERIES TRUSTINTR TRM CORP BD78464A3752437135SHSOLE 713500SPECTRANETICS CORPCOM84760C10788229110SHSOLE 2911000SPECTRUM PHARMACEUTICALS INCCOM84763A1087910066SHSOLE 1006600STILLWATER MNG COCOM86074Q10246331250SHSOLE 3125000STRYKER CORPCOM8636671012212714SHSOLE 271400TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR87403910080640274SHSOLE 4027400TEREX CORP NEWCOM88077910344610070SHSOLE 1007000TICC CAPITAL CORPCOM87244T10960261580SHSOLE 6158000TITAN INTL INC ILLCOM88830M1022191115395SHSOLE 11539500TRADE STR RESIDENTIAL INCCOM NEW89255N2031376181485SHSOLE 18148500TRIMBLE NAVIGATION LTDCOM89623910013643350995SHSOLE 35099500TWO HBRS INVT CORPCOM90187B1013704361371SHSOLE 36137100UNI PIXEL INCCOM NEW9045722031801235125SHSOLE 23512500UNI PIXEL INCCOM NEW90457220302500SHCallSOLE 250000UNION PAC CORPCOM907818108225512018SHSOLE 1201800UNITED TECHNOLOGIES CORPCOM9130171094343713SHSOLE 371300UNITEDHEALTH GROUP INCCOM91324P10284410300SHSOLE 1030000UNWIRED PLANET INC NEWCOM91531F103230105800SHSOLE 10580000URS CORP NEWCOM90323610791319400SHSOLE 1940000US BANCORP DELCOM NEW90297330449922830SHSOLE 2283000V F CORPCOM91820410864310389SHSOLE 1038900VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF92204287462910671SHSOLE 1067100VANGUARD SCOTTSDALE FDSMORTG-BACK SEC92206C77188617125SHSOLE 1712500VECTREN CORPCOM92240G101157940095SHSOLE 4009500VERIZON COMMUNICATIONS INCCOM92343V104126126517SHSOLE 2651700VIVUS INCCOM92855110043172500SHSOLE 7250000VODAFONE GROUP PLC NEWSPNSR ADR NO PAR92857W308125634131SHSOLE 3413100W & T OFFSHORE INCCOM92922P106115666790SHSOLE 6679000WALGREEN COCOM93142210975311403SHSOLE 1140300WALTER INVT MGMT CORPCOM93317W10289530000SHSOLE 3000000WEST CORPCOM9523552042159005SHSOLE 900500WESTERN DIGITAL CORPCOM9581021058118830SHSOLE 883000WILLIAMS CLAYTON ENERGY INCCOM9694901017316465SHSOLE 646500WISDOMTREE TRASIA LC DBT FD97717X8423286750SHSOLE 675000WISDOMTREE TRJAPN HEDGE EQT97717W85192519530SHSOLE 1953000XEROX CORPCOM9841211032735242060SHSOLE 24206000YORK WTR COCOM98718410875937225SHSOLE 3722500