0001221073-18-000073.txt : 20181026 0001221073-18-000073.hdr.sgml : 20181026 20181026162459 ACCESSION NUMBER: 0001221073-18-000073 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181026 DATE AS OF CHANGE: 20181026 EFFECTIVENESS DATE: 20181026 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: 181141875 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 09-30-2018 09-30-2018 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 10-26-2018 0 260 496050 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1015683069SHSOLE 306900ABBOTT LABSCOM0028241006018875SHSOLE 887500ABBVIE INCCOM00287Y10982010035SHSOLE 1003500ADAMAS PHARMACEUTICALS INCCOM00548A10622212530SHSOLE 1253000AETNA INC NEWCOM00817Y1084212146SHSOLE 214600ALIBABA GROUP HLDG LTDSPONSORED ADS01609W102307321253SHSOLE 2125300ALLERGAN PLCSHSG0177J10810695932SHSOLE 593200ALPHABET INCCAP STK CL A02079K30531422847SHSOLE 284700ALPHABET INCCAP STK CL C02079K10774536803SHSOLE 680300ALTA MESA RES INC*W EXP 03/28/20202133L11792204100SHSOLE 20410000ALTA MESA RES INCCL A02133L10918257500SHSOLE 5750000ALTRIA GROUP INCCOM02209S1032654200SHSOLE 420000AMAZON COM INCCOM023135106937526SHSOLE 52600AMBAC FINL GROUP INCCOM NEW02313988438419345SHSOLE 1934500AMC NETWORKS INCCL A00164V1034528225SHSOLE 822500AMERICAN WTR WKS CO INC NEWCOM03042010319009211375SHSOLE 21137500AMGEN INCCOM03116210012806803SHSOLE 680300ANADARKO PETE CORPCOM0325111074537600SHSOLE 760000ANTERO RES CORPCOM03674X1063667224830SHSOLE 22483000APOLLO GLOBAL MGMT LLCCL A SHS0376123062227450SHSOLE 745000APOLLO INVT CORPCOM03761U1061261250760SHSOLE 25076000APPLE INCCOM0378331001947388594SHSOLE 8859400APPLIED MATLS INCCOM0382221052688200SHSOLE 820000AQUA AMERICA INCCOM03836W10394827768SHSOLE 2776800ARCHER DANIELS MIDLAND COCOM0394831022014195SHSOLE 419500ARES COML REAL ESTATE CORPCOM04013V108105074972SHSOLE 7497200ARGENX SESPONSORED ADR04016X1013264350SHSOLE 435000ASHFORD HOSPITALITY TR INCCOM SHS04410310921039800SHSOLE 3980000ASSURED GUARANTY LTDCOMG0585R10658014739SHSOLE 1473900AT&T INCCOM00206R102215471855SHSOLE 7185500ATLAS FINANCIAL HOLDINGS INCSHS NEWG062071151317138675SHSOLE 13867500AUTODESK INCCOM0527691067816005SHSOLE 600500AUTONATION INCCOM05329W1023979375SHSOLE 937500AVEO PHARMACEUTICALS INCCOM0535881095927000SHSOLE 2700000AVIS BUDGET GROUPCOM05377410595132970SHSOLE 3297000AVIS BUDGET GROUPCOM05377410538100SHPutSOLE 10000AXIS CAPITAL HOLDINGS LTDSHSG0692U109534193842SHSOLE 9384200BAIDU INCSPON ADR REP A0567521082531330SHSOLE 133000BANK AMER CORPCOM06050510433612629SHSOLE 1262900BERKSHIRE HATHAWAY INC DELCL B NEW084670702886643895SHSOLE 4389500BLACKROCK INCOME TR INCCOM09247F10019534645SHSOLE 3464500BLUE CAP REINS HLDGS LTDCOMG1190F1071469172825SHSOLE 17282500BOEING COCOM0970231054311186SHSOLE 118600BRISTOL MYERS SQUIBB COCOM1101221083897908SHSOLE 790800BROOKDALE SR LIVING INCCOM11246310426031057SHSOLE 3105700BROOKFIELD PROPERTY REIT INCCL A11282X10338619989SHSOLE 1998900CALIFORNIA WTR SVC GROUPCOM130788102361585898SHSOLE 8589800CAMPBELL SOUP COCOM1344291092245900SHSOLE 590000CAPSTEAD MTG CORPCOM NO PAR14067E50628740220SHSOLE 4022000CAREDX INCCOM14167L10334014000SHSOLE 1400000CATALYST PHARMACEUTICALS INCCOM14888U1015416950SHSOLE 1695000CATERPILLAR INC DELCOM149123101498543114SHSOLE 4311400CBS CORP NEWCL B1248572026416117337SHSOLE 11733700CF INDS HLDGS INCCOM1252691003106905SHSOLE 690500CHERRY HILL MTG INVT CORPCOM16465110163135412SHSOLE 3541200CHESAPEAKE UTILS CORPCOM165303108627176386SHSOLE 7638600CHEVRON CORP NEWCOM166764100119910743SHSOLE 1074300CINEDIGM CORPCOM NEW1724062093735590SHSOLE 3559000CISCO SYS INCCOM17275R1022675879SHSOLE 587900CITIGROUP INCCOM NEW1729674248669133431SHSOLE 13343100CITY OFFICE REIT INCCOM17858710135330655SHSOLE 3065500COCA COLA COCOM19121610050410832SHSOLE 1083200COLGATE PALMOLIVE COCOM1941621032614084SHSOLE 408400COMCAST CORP NEWCL A20030N1013409478SHSOLE 947800COMMSCOPE HLDG CO INCCOM20337X109189977652SHSOLE 7765200CONNECTICUT WTR SVC INCCOM207797101651994494SHSOLE 9449400CONSOLIDATED EDISON INCCOM209115104111514520SHSOLE 1452000CORE LABORATORIES N VCOMN22717107379342934SHSOLE 4293400CORPORATE CAP TR INCCOM219880101131092977SHSOLE 9297700CSX CORPCOM12640810391113715SHSOLE 1371500CUI GLOBAL INCCOM NEW12657620619311091152SHSOLE 109115200CVS HEALTH CORPCOM1266501004526398SHSOLE 639800DANAHER CORP DELCOM2358511023703766SHSOLE 376600DEERE & COCOM2441991053462530SHSOLE 253000DELL TECHNOLOGIES INCCOM CL V24703L1035355891SHSOLE 589100DEVON ENERGY CORP NEWCOM25179M103101430859SHSOLE 3085900DIAGEO P L CSPON ADR NEW25243Q2057375370SHSOLE 537000DIGIRAD CORPCOM2538271091410000SHSOLE 1000000DIME CMNTY BANCSHARESCOM25392210824314536SHSOLE 1453600DIREXION SHS ETF TRDAILY SM CAP BEA25490K52112210259SHSOLE 1025900DIREXION SHS ETF TRDRX S&P500BULL25459W8622155000SHSOLE 500000DISCOVER FINL SVCSCOM254709108329244958SHSOLE 4495800DISNEY WALT COCOM DISNEY2546871063813337SHSOLE 333700ECOLAB INCCOM278865100191712771SHSOLE 1277100EMC INS GROUP INCCOM26866410932413500SHSOLE 1350000EMERSON ELEC COCOM2910111043785640SHSOLE 564000ENERGEN CORPCOM29265N1088825120361SHSOLE 12036100ENSCO PLCSHS CLASS AG3157S10611415325SHSOLE 1532500EQT CORPCOM26884L109188453315SHSOLE 5331500EQT MIDSTREAM PARTNERS LPUNIT LTD PARTN26885B1002715700SHSOLE 570000EVEREST RE GROUP LTDCOMG3223R108587628311SHSOLE 2831100EXPRESS SCRIPTS HLDG COCOM30219G1083914101SHSOLE 410100EXXON MOBIL CORPCOM30231G102378448316SHSOLE 4831600EZCORP INCCL A NON VTG30230110669068491SHSOLE 6849100FACEBOOK INCCL A30303M1028735786SHSOLE 578600FEDEX CORPCOM31428X1066232913SHSOLE 291300FIAT CHRYSLER AUTOMOBILES NSHSN3173810248330000SHSOLE 3000000FIFTH THIRD BANCORPCOM31677310028210891SHSOLE 1089100FLEX LTDORDY2573F102111281019982SHSOLE 101998200FS INVT CORPCOM30263510726241135SHSOLE 4113500GALLAGHER ARTHUR J & COCOM363576109299341013SHSOLE 4101300GARRISON CAP INCCOM36655410371288787SHSOLE 8878700GENERAL ELECTRIC COCOM36960410315613193SHSOLE 1319300GENERAL MTRS COCOM37045V10090428241SHSOLE 2824100GILEAD SCIENCES INCCOM37555810372810615SHSOLE 1061500GOLDMAN SACHS GROUP INCCOM38141G104293813729SHSOLE 1372900GOODYEAR TIRE & RUBR COCOM38255010194045680SHSOLE 4568000GRAN TIERRA ENERGY INCCOM38500T10117156275SHSOLE 5627500GRANITE PT MTG TR INCCOM38741L10727714987SHSOLE 1498700GRAPHIC PACKAGING HLDG COCOM38868910135433645SHSOLE 3364500HARRIS CORP DELCOM413875105277717244SHSOLE 1724400HARTFORD FINL SVCS GROUP INCCOM4165151046145134942SHSOLE 13494200HC2 HLDGS INCCOM40413910718935500SHSOLE 3550000HCA HEALTHCARE INCCOM40412C1017495895SHSOLE 589500HERITAGE INS HLDGS INCCOM42727J10250938043SHSOLE 3804300HERITAGE INS HLDGS INCCOM42727J1022400SHCallSOLE 40000HEXCEL CORP NEWCOM428291108179931075SHSOLE 3107500HIMAX TECHNOLOGIES INCSPONSORED ADR43289P10635662500SHSOLE 6250000HOME DEPOT INCCOM4370761025933312SHSOLE 331200HONEYWELL INTL INCCOM438516106782853081SHSOLE 5308100HUNT COS FIN TR INCCOM44558T100681196363SHSOLE 19636300HUNTSMAN CORPCOM4470111072009374SHSOLE 937400IAC INTERACTIVECORPCOM44919P5085132650SHSOLE 265000ILLINOIS TOOL WKS INCCOM4523081094543699SHSOLE 369900ILLUMINA INCCOM452327109304610217SHSOLE 1021700INFINITY PHARMACEUTICALS INCCOM45665G30320097630SHSOLE 9763000INFORMATION SERVICES GROUP ICOM45675Y104501120435SHSOLE 12043500INSPIRED ENTMT INCCOM45782N10816422419SHSOLE 2241900INTEL CORPCOM458140100109224643SHSOLE 2464300INTELLICHECK INCCOM NEW45817G20131991321862SHSOLE 132186200INTERNATIONAL BUSINESS MACHSCOM4592001013312619SHSOLE 261900INVESCO HIGH INCOME TR IICOM46131F10113610030SHSOLE 1003000INVESCO LTDSHSG491BT10882138105SHSOLE 3810500ISHARES GOLD TRUSTISHARES4642851052579218549SHSOLE 21854900ISHARES INCINTL HIGH YIELD4642862103336537SHSOLE 653700ISHARES TR1 3 YR TREAS BD4642874574625555SHSOLE 555500ISHARES TR20 YR TR BD ETF4642874327926933SHSOLE 693300ISHARES TR3 7 YR TREAS BD4642886617996721SHSOLE 672100ISHARES TRBARCLAYS 7 10 YR464287440149014800SHSOLE 1480000ISHARES TRCHINA LG-CAP ETF464287184710000SHCallSOLE 1000000ISHARES TRCMBS ETF46429B36654511039SHSOLE 1103900ISHARES TRIBONDS DEC19 ETF46434VAU4115246455PRNSOLE 4645500ISHARES TRIBOXX INV CP ETF4642872429998863SHSOLE 886300ISHARES TRMBS ETF4642885882902828SHSOLE 282800ISHARES TRMSCI EMG MKT ETF464287234317200SHCallSOLE 1720000ISHARES TRSH TR CRPORT ETF46428864658011230SHSOLE 1123000ISHARES TRTRS FLT RT BD46434V86061712260SHSOLE 1226000JOHNSON & JOHNSONCOM478160104597643154SHSOLE 4315400JPMORGAN CHASE & COCOM46625H100497347424SHSOLE 4742400KIMBERLY CLARK CORPCOM4943681032492381SHSOLE 238100KRAFT HEINZ COCOM5007541065028968SHSOLE 896800LABORATORY CORP AMER HLDGSCOM NEW50540R4092281455SHSOLE 145500LENNAR CORPCL A5260571042887167SHSOLE 716700LIBERTY GLOBAL PLCSHS CL CG5480U1202229458SHSOLE 945800LIQTECH INTL INCCOM53632A10225441971726SHSOLE 197172600LOWES COS INCCOM548661107113511585SHSOLE 1158500MACQUARIE INFRASTRUCTURE CORCOM55608B105333386011SHSOLE 8601100MAGNOLIA OIL & GAS CORPCL A55966310955242001SHSOLE 4200100MARATHON PETE CORPCOM56585A10273110455SHSOLE 1045500MARVELL TECHNOLOGY GROUP LTDORDG5876H10544926645SHSOLE 2664500MATADOR RES COCOM5764852054157144074SHSOLE 14407400MATLIN & PARTNERS ACQUISITIO*W EXP 05/28/20257682V1141625000SHSOLE 2500000MCDONALDS CORPCOM5801351012561462SHSOLE 146200MCKESSON CORPCOM58155Q10310598685SHSOLE 868500MERCK & CO INCCOM58933Y105263937718SHSOLE 3771800MICRON TECHNOLOGY INCCOM5951121036042164283SHSOLE 16428300MICROSOFT CORPCOM594918104365033704SHSOLE 3370400MONDELEZ INTL INCCL A6092071052826883SHSOLE 688300MONROE CAP CORPCOM61033510149938989SHSOLE 3898900MORGAN STANLEY EM MKTS DM DECOM61747710421834593SHSOLE 3459300MYLAN N VSHS EURON5946510936411730SHSOLE 1173000NABRIVA THERAPEUTICS PLCSHSG63637105443212500SHSOLE 21250000NEW JERSEY RESCOM6460251066410139354SHSOLE 13935400NGL ENERGY PARTNERS LPCOM UNIT REPST62913M10715414700SHSOLE 1470000NORFOLK SOUTHERN CORPCOM6558441083302011SHSOLE 201100NORTHWEST NAT GAS COCOM667655104587787090SHSOLE 8709000NOVAVAX INCCOM6700021043619500SHSOLE 1950000NUVEEN CONNECTICUT QLTY MUNCOM67060D10718516499SHSOLE 1649900NUVEEN INT DUR QUAL MUN TRMCOM67067710325621366SHSOLE 2136600NUVEEN NY MUN VALUE FDCOM67062M10514015400SHSOLE 1540000NVIDIA CORPCOM67066G1042981435SHSOLE 143500OAKTREE SPECIALTY LENDING COCOM67401P108496112020SHSOLE 11202000OBSIDIAN ENERGY LTDCOM674482104147186290SHSOLE 18629000OCCIDENTAL PETE CORP DELCOM6745991054045888SHSOLE 588800ORACLE CORPCOM68389X10577216104SHSOLE 1610400PARKER HANNIFIN CORPCOM701094104934363687SHSOLE 6368700PATTERSON UTI ENERGY INCCOM7034811012922191090SHSOLE 19109000PEPSICO INCCOM7134481083963509SHSOLE 350900PERMA-FIX ENVIRONMENTAL SVCSCOM NEW7141572038823660SHSOLE 2366000PFIZER INCCOM717081103172339693SHSOLE 3969300PHILIP MORRIS INTL INCCOM7181721092352590SHSOLE 259000PIONEER NAT RES COCOM7237871071086270709SHSOLE 7070900PNC FINL SVCS GROUP INCCOM693475105220718446SHSOLE 1844600PROCTER AND GAMBLE COCOM742718109103111585SHSOLE 1158500PUMA BIOTECHNOLOGY INCCOM74587V10744110891SHSOLE 1089100PURE ACQUISITION CORP*W EXP 04/17/20274621Q1146450000SHSOLE 5000000PURE ACQUISITION CORPCL A74621Q106970100000SHSOLE 10000000PURECYCLE CORPCOM NEW74622830394299486SHSOLE 9948600PUTNAM PREMIER INCOME TRSH BEN INT74685310011723585SHSOLE 2358500PVH CORPCOM6936561004043350SHSOLE 335000QEP RES INCCOM74733V10078484828SHSOLE 8482800QORVO INCCOM74736K101355450070SHSOLE 5007000QUALCOMM INCCOM747525103102216164SHSOLE 1616400REDHILL BIOPHARMA LTDSPONSORED ADS75746810332338806SHSOLE 3880600RITE AID CORPCOM767754104116110000SHSOLE 11000000ROPER TECHNOLOGIES INCCOM77669610671661270071SHSOLE 27007100S&P GLOBAL INCCOM78409V104301917039SHSOLE 1703900SALESFORCE COM INCCOM79466L3026404543SHSOLE 454300SANOFIRIGHT 12/31/202080105N1131733635SHSOLE 3363500SCORPIO TANKERS INCSHSY7542C106366228920SHSOLE 22892000SMUCKER J M COCOM NEW8326964056406008SHSOLE 600800SOLAR CAP LTDCOM83413U1004234207161SHSOLE 20716100SOLAR SR CAP LTDCOM83416M105144490541SHSOLE 9054100SOLARIS OILFIELD INFRSTR INCCOM CL A83418M10315211100SHSOLE 1110000SOUTH JERSEY INDS INCCOM8385181083602114829SHSOLE 11482900SPDR GOLD TRUSTGOLD SHS78463V1077096093SHSOLE 609300SPDR S&P 500 ETF TRTR UNIT78462F10326229709SHSOLE 970900SPDR S&P 500 ETF TRTR UNIT78462F10317022500SHPutSOLE 2250000SPECTRUM PHARMACEUTICALS INCCOM84763A10812610042SHSOLE 1004200SPIRIT MTA REITCOM SHS BEN IN84861U10547643295SHSOLE 4329500SPIRIT RLTY CAP INC NEWCOM84860W1029211400SHSOLE 1140000STATE STR CORPCOM8574771032994388SHSOLE 438800STONECASTLE FINL CORPCOM86178010430215094SHSOLE 1509400STRYKER CORPCOM8636671013952389SHSOLE 238900SYNERGY PHARMACEUTICALS DELCOM NEW871639308387276270SHSOLE 27627000TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR8740391008394224507SHSOLE 22450700TECOGEN INC NEWCOM NEW87876P2012385660582SHSOLE 66058200TITAN INTL INC ILLCOM88830M1021184186231SHSOLE 18623100TOLL BROTHERS INCCOM889478103104534395SHSOLE 3439500TOLL BROTHERS INCCOM8894781033100SHCallSOLE 10000TRAVELERS COMPANIES INCCOM89417E1092261865SHSOLE 186500TRIMBLE INCCOM89623910012326329935SHSOLE 32993500UNION PAC CORPCOM907818108210014566SHSOLE 1456600UNITED INS HLDGS CORPCOM91071010244721950SHSOLE 2195000UNITED TECHNOLOGIES CORPCOM9130171094273436SHSOLE 343600UNITEDHEALTH GROUP INCCOM91324P1028633265SHSOLE 326500VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835349244751SHSOLE 4475100VANGUARD INDEX FDSMCAP VL IDXVIP9229085125565337SHSOLE 533700VANGUARD INDEX FDSTOTAL STK MKT922908769259218760SHSOLE 1876000VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775185639158SHSOLE 3915800VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874159431187SHSOLE 3118700VANGUARD SCOTTSDALE FDSMORTG-BACK SEC92206C771113122345SHSOLE 2234500VANGUARD WORLD FDSCONSUM DIS ETF92204A108175410715SHSOLE 1071500VERISK ANALYTICS INCCOM92345Y1062412098SHSOLE 209800VERIZON COMMUNICATIONS INCCOM92343V104120921428SHSOLE 2142800VERMILION ENERGY INCCOM92372510551418953SHSOLE 1895300VERSO CORPCL A92531L2072378000SHSOLE 800000WALGREENS BOOTS ALLIANCE INCCOM931427108517568327SHSOLE 6832700WELLS FARGO CO NEWCOM9497461014117920SHSOLE 792000WESTERN ASSET EMRG MKT DEBTCOM95766A10133125897SHSOLE 2589700WESTERN ASSET GLOBAL CP DEFICOM95790C10765142033SHSOLE 4203300WESTERN DIGITAL CORPCOM9581021058297153625SHSOLE 15362500WESTERN DIGITAL CORPCOM9581021052300SHCallSOLE 30000WESTROCK COCOM96145D105208650199SHSOLE 5019900WIDEPOINT CORPCOM9675901002450000SHSOLE 5000000WISDOMTREE TREUROPE HEDGED EQ97717X7014918348SHSOLE 834800WISDOMTREE TRJAPN HEDGE EQT97717W851396176145SHSOLE 7614500XAI OCTAGON FLOATNG RATE ALTCOM98400T10628730640SHSOLE 3064000YATRA ONLINE INCORD SHSG9833810910424773SHSOLE 2477300YORK WTR COCOM987184108102032375SHSOLE 3237500