0001221073-19-000109.txt : 20191031 0001221073-19-000109.hdr.sgml : 20191031 20191031154350 ACCESSION NUMBER: 0001221073-19-000109 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191031 DATE AS OF CHANGE: 20191031 EFFECTIVENESS DATE: 20191031 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: 191183538 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 false false 0001511857 XXXXXXXX 09-30-2019 09-30-2019 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 10-29-2019 0 262 512179 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1015063078SHSOLE 307800ABBOTT LABSCOM00282410091510935SHSOLE 1093500ABBVIE INCCOM00287Y10976310072SHSOLE 1007200ALASKA AIR GROUP INCCOM0116591094186447SHSOLE 644700ALLERGAN PLCSHSG0177J1088234891SHSOLE 489100ALLSTATE CORPCOM0200021013533246SHSOLE 324600ALPHABET INCCAP STK CL A02079K30535682922SHSOLE 292200ALPHABET INCCAP STK CL C02079K10759194856SHSOLE 485600AMAZON COM INCCOM0231351061554895SHSOLE 89500AMC ENTMT HLDGS INCCL A COM00165C10419818485SHSOLE 1848500AMC NETWORKS INCCL A00164V1033226555SHSOLE 655500AMERICAN WTR WKS CO INC NEWCOM03042010325075201846SHSOLE 20184600AMERISOURCEBERGEN CORPCOM03073E1052593144SHSOLE 314400AMGEN INCCOM03116210012366385SHSOLE 638500ANTERO RES CORPCOM03674X1061087360025SHSOLE 36002500APPLE INCCOM0378331001719476771SHSOLE 7677100APPLIED MATLS INCCOM03822210567913600SHSOLE 1360000AQUA AMERICA INCCOM03836W103254756815SHSOLE 5681500ARES COML REAL ESTATE CORPCOM04013V10877851097SHSOLE 5109700ARLINGTON ASSET INVT CORPCL A NEW04135620530355175SHSOLE 5517500ASHFORD HOSPITALITY TR INCCOM SHS0441031095115500SHSOLE 1550000ASSURED GUARANTY LTDCOMG0585R1063888737SHSOLE 873700AT&T INCCOM00206R1024103108421SHSOLE 10842100AUTODESK INCCOM0527691068876005SHSOLE 600500AVIS BUDGET GROUP INCCOM05377410564222710SHSOLE 2271000AXIS CAPITAL HOLDINGS LTDSHSG0692U109345951851SHSOLE 5185100BAIDU INCSPON ADR REP A056752108155715147SHSOLE 1514700BANK AMER CORPCOM06050510468823572SHSOLE 2357200BED BATH & BEYOND INCCOM07589610012011323SHSOLE 1132300BERKSHIRE HATHAWAY INC DELCL A0846701083121SHSOLE 100BERKSHIRE HATHAWAY INC DELCL B NEW084670702941945277SHSOLE 4527700BG STAFFING INCCOM05544A10924913014SHSOLE 1301400BLACKROCK INCOME TR INCCOM09247F10014423675SHSOLE 2367500BLUE CAP REINS HLDGS LTDCOMG1190F1071873254168SHSOLE 25416800BOEING COCOM09702310520155296SHSOLE 529600BRISTOL MYERS SQUIBB COCOM11012210864912791SHSOLE 1279100BROOKDALE SR LIVING INCCOM11246310423631132SHSOLE 3113200CALIFORNIA WTR SVC GROUPCOM130788102418779113SHSOLE 7911300CAPSTEAD MTG CORPCOM NO PAR14067E5067410000SHSOLE 1000000CATERPILLAR INC DELCOM149123101634350216SHSOLE 5021600CBS CORP NEWCL B124857202327981236SHSOLE 8123600CBS CORP NEWCL B124857202515000SHCallSOLE 1500000CF INDS HLDGS INCCOM12526910071814590SHSOLE 1459000CHANGE HEALTHCARE INCCOM15912K10049240767SHSOLE 4076700CHANGE HEALTHCARE INCUNIT 99/99/999915912K2092966205SHSOLE 620500CHEMOURS COCOM16385110881354422SHSOLE 5442200CHERRY HILL MTG INVT CORPCOM16465110127320817SHSOLE 2081700CHESAPEAKE UTILS CORPCOM165303108648368014SHSOLE 6801400CHEVRON CORP NEWCOM166764100130210979SHSOLE 1097900CHIASMA INCCOM16706W1028316745SHSOLE 1674500CISCO SYS INCCOM17275R1023867814SHSOLE 781400CITIGROUP INCCOM NEW172967424558780872SHSOLE 8087200COCA COLA COCOM19121610081514974SHSOLE 1497400COLGATE PALMOLIVE COCOM1941621034476084SHSOLE 608400COMCAST CORP NEWCL A20030N1012064578SHSOLE 457800COMMSCOPE HLDG CO INCCOM20337X1091197101776SHSOLE 10177600CONNECTICUT WTR SVC INCCOM207797101409458436SHSOLE 5843600CONOCOPHILLIPSCOM20825C1043486113SHSOLE 611300CONSOLIDATED EDISON INCCOM209115104102410835SHSOLE 1083500CORE LABORATORIES N VCOMN22717107168936223SHSOLE 3622300CSX CORPCOM126408103104415068SHSOLE 1506800CUI GLOBAL INCCOM NEW126576206139164035SHSOLE 16403500CVS HEALTH CORPCOM1266501005188217SHSOLE 821700DANAHER CORPORATIONCOM2358511026054191SHSOLE 419100DEERE & COCOM2441991056633933SHSOLE 393300DEUTSCHE BANK AGNAMEN AKTD1819089824933225SHSOLE 3322500DIAGEO P L CSPON ADR NEW25243Q20512417588SHSOLE 758800DIAMONDBACK ENERGY INCCOM25278X109603367096SHSOLE 6709600DIME CMNTY BANCSHARESCOM25392210831114536SHSOLE 1453600DISCOVER FINL SVCSCOM2547091083213954SHSOLE 395400DISNEY WALT COCOM DISNEY2546871066104678SHSOLE 467800E TRADE FINANCIAL CORPCOM NEW2692464012074737SHSOLE 473700ECOLAB INCCOM278865100283114294SHSOLE 1429400EMERSON ELEC COCOM2910111043755603SHSOLE 560300ENPHASE ENERGY INCCOM29355A1072934131997SHSOLE 13199700ENTERPRISE PRODS PARTNERS LCOM29379210756919920SHSOLE 1992000EQT CORPCOM26884L10946743858SHSOLE 4385800EQUITRANS MIDSTREAM CORPORATCOM29460010140828046SHSOLE 2804600EVEREST RE GROUP LTDCOMG3223R108459917285SHSOLE 1728500EXTENDED STAY AMER INCUNIT 99/99/9999B30224P200115979138SHSOLE 7913800EXXON MOBIL CORPCOM30231G102338047872SHSOLE 4787200EZCORP INCCL A NON VTG30230110631648906SHSOLE 4890600FACEBOOK INCCL A30303M10212837205SHSOLE 720500FEDEX CORPCOM31428X1063992740SHSOLE 274000FIDELITY NATL INFORMATION SVCOM31620M10610317766SHSOLE 776600FIFTH THIRD BANCORPCOM31677310027510062SHSOLE 1006200FIRST TR SR FLOATING RATE 20COM SHS33740K10141146420SHSOLE 4642000FLEX LTDORDY2573F10210067961955SHSOLE 96195500FS KKR CAPITAL CORPCOM30263510728148147SHSOLE 4814700GALLAGHER ARTHUR J & COCOM363576109323436105SHSOLE 3610500GAP INCCOM36476010848627973SHSOLE 2797300GAP INCCOM36476010835000SHCallSOLE 500000GARRISON CAP INCCOM3665541031052152264SHSOLE 15226400GENERAL ELECTRIC COCOM36960410312313751SHSOLE 1375100GENERAL MTRS COCOM37045V10040110698SHSOLE 1069800GILEAD SCIENCES INCCOM3755581035899299SHSOLE 929900GLOBAL SHIP LEASE INC NEWCOM CL AY2718360047462006SHSOLE 6200600GLOBAL WTR RES INCCOM37946310229124577SHSOLE 2457700GRAFTECH INTL LTDCOM3843135081503117400SHSOLE 11740000GRAPHIC PACKAGING HLDG COCOM38868910135824275SHSOLE 2427500GREEN DOT CORPCL A39304D10231612500SHSOLE 1250000GREENLIGHT CAPITAL RE LTDCLASS AG4095J10990285862SHSOLE 8586200HARTFORD FINL SVCS GROUP INCCOM416515104588697105SHSOLE 9710500HAWAIIAN ELEC INDUSTRIESCOM4198701003657993SHSOLE 799300HCA HEALTHCARE INCCOM40412C1016035010SHSOLE 501000HERITAGE INS HLDGS INCCOM42727J10257038095SHSOLE 3809500HERSHEY COCOM4278661082651712SHSOLE 171200HERTZ GLOBAL HLDGS INCCOM42806J10615911500SHSOLE 1150000HEXCEL CORP NEWCOM428291108270732955SHSOLE 3295500HILL INTERNATIONAL INCCOM43146610121471575SHSOLE 7157500HIMAX TECHNOLOGIES INCSPONSORED ADR43289P10610546450SHSOLE 4645000HOME DEPOT INCCOM437076102293312642SHSOLE 1264200HONEYWELL INTL INCCOM438516106914954072SHSOLE 5407200HUNT COS FIN TR INCCOM44558T100616183431SHSOLE 18343100ICF INTL INCCOM44925C1032112500SHSOLE 250000ILLINOIS TOOL WKS INCCOM4523081095793699SHSOLE 369900ILLUMINA INCCOM452327109345711362SHSOLE 1136200INFINITY PHARMACEUTICALS INCCOM45665G3033635120SHSOLE 3512000INFORMATION SERVICES GROUP ICOM45675Y104299120435SHSOLE 12043500INTEL CORPCOM458140100125024261SHSOLE 2426100INTELLICHECK INCCOM NEW45817G20169951401805SHSOLE 140180500INTERNATIONAL BUSINESS MACHSCOM4592001013682529SHSOLE 252900INVESCO HIGH INCOME TR IICOM46131F10115110510SHSOLE 1051000ISHARES GOLD TRUSTISHARES4642851053840272324SHSOLE 27232400ISHARES TR20 YR TR BD ETF4642874329146388SHSOLE 638800ISHARES TR3 7 YR TREAS BD464288661135810711SHSOLE 1071100ISHARES TRBARCLAYS 7 10 YR464287440181816162SHSOLE 1616200ISHARES TRCMBS ETF46429B36656010470SHSOLE 1047000ISHARES TRCORE US AGGBD ET4642872262302034SHSOLE 203400ISHARES TRIBONDS DEC19 ETF46434VAU4111244755PRNSOLE 4475500ISHARES TRIBOXX INV CP ETF464287242133510472SHSOLE 1047200ISHARES TRMBS ETF4642885883162921SHSOLE 292100ISHARES TRMSCI EMG MKT ETF4642872342045000SHSOLE 500000ISHARES TRNATIONAL MUN ETF4642884143252845SHSOLE 284500ISHARES TRRUSSELL 2000 ETF464287655428SHSOLE 2800ISHARES TRRUSSELL 2000 ETF4642876555111500SHPutSOLE 1150000ISHARES TRSH TR CRPORT ETF46428864661911542SHSOLE 1154200ISHARES TRTRS FLT RT BD46434V86057411425SHSOLE 1142500ISHARES US ETF TRINT RT HDG C B46431W7053173415SHSOLE 341500JOHNSON & JOHNSONCOM478160104539641703SHSOLE 4170300JOHNSON CTLS INTL PLCSHSG51502105367683756SHSOLE 8375600JPMORGAN CHASE & COCOM46625H100611651965SHSOLE 5196500KELLOGG COCOM4878361086059400SHSOLE 940000KIMBERLY CLARK CORPCOM4943681033382381SHSOLE 238100KKR & CO INCCL A48251W10458221670SHSOLE 2167000KONTOOR BRANDS INCCOM50050N10352014803SHSOLE 1480300L3HARRIS TECHNOLOGIES INCCOM502431109346116587SHSOLE 1658700LABORATORY CORP AMER HLDGSCOM NEW50540R4093992373SHSOLE 237300LENNAR CORPCL A5260571044237567SHSOLE 756700LIQTECH INTL INCCOM53632A2014404557444SHSOLE 55744400LOWES COS INCCOM548661107127411585SHSOLE 1158500MACQUARIE INFRASTRUCTURE CORCOM55608B105323281887SHSOLE 8188700MAGNOLIA OIL & GAS CORPCL A55966310944740251SHSOLE 4025100MAIDEN HOLDINGS LTDSHSG5753U112206275219SHSOLE 27521900MARATHON PETE CORPCOM56585A1022233679SHSOLE 367900MARLIN BUSINESS SVCS CORPCOM5711571062449672SHSOLE 967200MARVELL TECHNOLOGY GROUP LTDORDG5876H10544917965SHSOLE 1796500MATADOR RES COCOM5764852051939117284SHSOLE 11728400MBIA INCCOM55262C10035938913SHSOLE 3891300MCDONALDS CORPCOM5801351012681250SHSOLE 125000MCKESSON CORPCOM58155Q1039857206SHSOLE 720600MDC PARTNERS INCCL A SUB VTG55269710410838352SHSOLE 3835200MEDLEY MGMT INCCL A COM58503T106419119640SHSOLE 11964000MERCK & CO INCCOM58933Y105305336273SHSOLE 3627300META FINL GROUP INCCOM59100U10837211395SHSOLE 1139500MICRON TECHNOLOGY INCCOM595112103305671312SHSOLE 7131200MICROSOFT CORPCOM594918104518237276SHSOLE 3727600MONDELEZ INTL INCCL A6092071054197577SHSOLE 757700MORGAN STANLEYCOM NEW6174464482325435SHSOLE 543500MORGAN STANLEY EM MKTS DM DECOM61747710423235263SHSOLE 3526300NAVIOS MARITIME CONTAINERS LCOM UNIT RP LPY621511088040000SHSOLE 4000000NET 1 UEPS TECHNOLOGIES INCCOM NEW64107N2068423500SHSOLE 2350000NEW JERSEY RESCOM6460251066240137982SHSOLE 13798200NEWMONT GOLDCORP CORPORATIONCOM6516391062075448SHSOLE 544800NEXTERA ENERGY INCCOM65339F1012331000SHSOLE 100000NORFOLK SOUTHERN CORPCOM6558441083612011SHSOLE 201100NORTHROP GRUMMAN CORPCOM666807102209557SHSOLE 55700NORTHWEST NAT HLDG COCOM66765N105513872018SHSOLE 7201800NUVEEN EMERGING MKTS DEBT 20COM67077P10119622473SHSOLE 2247300NUVEEN INT DUR QUAL MUN TRMCOM67067710348135166SHSOLE 3516600NVIDIA CORPCOM67066G1042481427SHSOLE 142700OAKTREE SPECIALTY LENDING COCOM67401P1081579304785SHSOLE 30478500OCCIDENTAL PETE CORPCOM6745991052245040SHSOLE 504000OCULAR THERAPEUTIX INCCOM67576A1003812500SHSOLE 1250000ORACLE CORPCOM68389X1054588319SHSOLE 831900PARKER HANNIFIN CORPCOM7010941041113061627SHSOLE 6162700PATTERSON UTI ENERGY INCCOM70348110174086515SHSOLE 8651500PEPSICO INCCOM7134481087615552SHSOLE 555200PERMA-FIX ENVIRONMENTAL SVCSCOM NEW71415720310222550SHSOLE 2255000PFIZER INCCOM717081103145740552SHSOLE 4055200PHILIP MORRIS INTL INCCOM7181721092132806SHSOLE 280600PIERIS PHARMACEUTICALS INCCOM720795103611179191SHSOLE 17919100PIONEER NAT RES COCOM723787107831266087SHSOLE 6608700PNC FINL SVCS GROUP INCCOM693475105160911483SHSOLE 1148300PROCTER & GAMBLE COCOM742718109246119785SHSOLE 1978500PROVENTION BIO INCCOM74374N10210615500SHSOLE 1550000PURE ACQUISITION CORP*W EXP 04/17/20274621Q1144846000SHSOLE 4600000PURE ACQUISITION CORPCL A74621Q10630830093SHSOLE 3009300PURECYCLE CORPCOM NEW74622830399997221SHSOLE 9722100PUTNAM PREMIER INCOME TRSH BEN INT7468531006512325SHSOLE 1232500PVH CORPCOM69365610090010200SHSOLE 1020000QEP RES INCCOM74733V10024867095SHSOLE 6709500QORVO INCCOM74736K101347446863SHSOLE 4686300QUALCOMM INCCOM747525103178723421SHSOLE 2342100RAYTHEON COCOM NEW75511150715908103SHSOLE 810300RESIDEO TECHNOLOGIES INCCOM76118Y10425617843SHSOLE 1784300ROPER TECHNOLOGIES INCCOM77669610687817246262SHSOLE 24626200S&P GLOBAL INCCOM78409V104411216785SHSOLE 1678500SALESFORCE COM INCCOM79466L3028375638SHSOLE 563800SANOFIRIGHT 12/31/202080105N113915635SHSOLE 1563500SAP SESPON ADR8030542048767433SHSOLE 743300SCORPIO TANKERS INCSHSY7542C13060020154SHSOLE 2015400SJW GROUPCOM7843051044306300SHSOLE 630000SL GREEN RLTY CORPCOM78440X1014986097SHSOLE 609700SMUCKER J M COCOM NEW8326964055084617SHSOLE 461700SOLAR CAP LTDCOM83413U1003927190176SHSOLE 19017600SOUTH JERSEY INDS INCCOM8385181083529107222SHSOLE 10722200SPDR GOLD TRUSTGOLD SHS78463V1078576171SHSOLE 617100SPDR S&P 500 ETF TRTR UNIT78462F103358612083SHSOLE 1208300SPDR S&P 500 ETF TRTR UNIT78462F103125000SHPutSOLE 500000STEMLINE THERAPEUTICS INCCOM85858C10725624625SHSOLE 2462500STONECASTLE FINL CORPCOM86178010432714764SHSOLE 1476400STRYKER CORPCOM8636671015172389SHSOLE 238900SUNCOKE ENERGY INCCOM86722A103627111125SHSOLE 11112500TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADS87403910010467225199SHSOLE 22519900TARGET HOSPITALITY CORP*W EXP 03/15/20287615L1152225000SHSOLE 2500000TECOGEN INC NEWCOM NEW87876P2011446607382SHSOLE 60738200TESLA INCCOM88160R1012701120SHSOLE 112000TITAN INTL INC ILLCOM88830M102496183525SHSOLE 18352500TOLL BROTHERS INCCOM889478103130731840SHSOLE 3184000TRAVELERS COMPANIES INCCOM89417E1092761857SHSOLE 185700TREX CO INCCOM89531P1055706272SHSOLE 627200TRIMBLE INCCOM89623910012261315930SHSOLE 31593000TWO HBRS INVT CORPCOM NEW90187B4081929146901SHSOLE 14690100UNION PACIFIC CORPCOM907818108251415522SHSOLE 1552200UNITED INS HLDGS CORPCOM91071010237026449SHSOLE 2644900UNITED TECHNOLOGIES CORPCOM9130171097815723SHSOLE 572300UNITEDHEALTH GROUP INCCOM91324P10214286573SHSOLE 657300VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835551665334SHSOLE 6533400VANGUARD INDEX FDSMCAP VL IDXVIP9229085127216382SHSOLE 638200VANGUARD INDEX FDSTOTAL STK MKT922908769440729186SHSOLE 2918600VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775461292423SHSOLE 9242300VANGUARD SCOTTSDALE FDSMORTG-BACK SEC92206C771112721165SHSOLE 2116500VERISK ANALYTICS INCCOM92345Y1063712349SHSOLE 234900VERIZON COMMUNICATIONS INCCOM92343V1045198594SHSOLE 859400VERMILION ENERGY INCCOM92372510524314581SHSOLE 1458100VERSO CORPCL A92531L20746437500SHSOLE 3750000VIACOM INC NEWCL B92553P20136415150SHSOLE 1515000VORNADO RLTY TRSH BEN INT9290421094687354SHSOLE 735400WALGREENS BOOTS ALLIANCE INCCOM931427108406973574SHSOLE 7357400WELLS FARGO CO NEWCOM949746101111822161SHSOLE 2216100WESTERN ASSET EMRG MKT DEBTCOM95766A10136025917SHSOLE 2591700WESTERN ASSET GLOBAL CP DEFICOM95790C10775443283SHSOLE 4328300WESTERN ASSET HGH YLD DFNDFDCOM95768B10746230494SHSOLE 3049400WESTERN DIGITAL CORPCOM958102105253842556SHSOLE 4255600WESTROCK COCOM96145D105190952382SHSOLE 5238200WIDEPOINT CORPCOM9675901001650000SHSOLE 5000000WISDOMTREE TREUROPE HEDGED EQ97717X7013395036SHSOLE 503600WISDOMTREE TRJAPN HEDGE EQT97717W8513286506SHSOLE 650600XAI OCTAGON FLOATNG RATE ALTCOM98400T10627530720SHSOLE 3072000YETI HLDGS INCCOM98585X10438613800SHSOLE 1380000YORK WTR COCOM987184108139631975SHSOLE 3197500