Chief Compliance Officer

0001221073-20-000136.txt : 20201026 0001221073-20-000136.hdr.sgml : 20201026 20201026101537 ACCESSION NUMBER: 0001221073-20-000136 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201026 DATE AS OF CHANGE: 20201026 EFFECTIVENESS DATE: 20201026 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: 201259409 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 09-30-2020 09-30-2020 false Clear Harbor Asset Management, LLC

420 LEXINGTON AVENUE SUITE 2006 New York NY 10170

13F HOLDINGS REPORT 028-14126 N Ian Armstrong Chief Compliance Officer 212-867-7310 /s/ Ian Armstrong New York NY 10-21-2020 0 785 585624146 INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 246 50 SH SOLE 50 0 0 3M CO COM 88579Y101 310909 1941 SH SOLE 1941 0 0 ABBOTT LABS COM 002824100 1665970 15308 SH SOLE 15308 0 0 ABBVIE INC COM 00287Y109 1351514 15430 SH SOLE 15430 0 0 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 1269 318 SH SOLE 318 0 0 ABERDEEN STD SILVER ETF TR PHYSCL SILVR SHS 003264108 4498 200 SH SOLE 200 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 24859 110 SH SOLE 110 0 0 ACTIVISION BLIZZARD INC COM 00507V109 10281 127 SH SOLE 127 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 86701 21044 SH SOLE 21044 0 0 ADAMIS PHARMACEUTICALS CORP COM NEW 00547W208 783 1000 SH SOLE 1000 0 0 ADECOAGRO S A COM L00849106 1635 350 SH SOLE 350 0 0 ADIENT PLC ORD SHS G0084W101 41904 2418 SH SOLE 2418 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 63756 130 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1000 SH SOLE 1000 0 0 SANDBRIDGE ACQUISITION CORP UNIT 99/99/9999 799793203 9982 1000 SH SOLE 1000 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 23210 2750 SH SOLE 2750 0 0 SANOFI SPONSORED ADR 80105N105 18563 370 SH SOLE 370 0 0 SAP SE SPON ADR 803054204 1168108 7497 SH SOLE 7497 0 0 SCHLUMBERGER LTD COM 806857108 10487 674 SH SOLE 674 0 0 SCHWAB CHARLES CORP COM 808513105 7246 200 SH SOLE 200 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 6625 211 SH SOLE 211 0 0 SCIENCE APPLICATIONS INTL CO COM 808625107 14116 180 SH SOLE 180 0 0 SCORPIO TANKERS INC SHS Y7542C130 322137 29100 SH SOLE 29100 0 0 SEALED AIR CORP NEW COM 81211K100 93144 2400 SH SOLE 2400 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 6709 224 SH SOLE 224 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 41566 700 SH SOLE 700 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 44346 380 SH SOLE 380 0 0 SEMPRA ENERGY COM 816851109 2367 20 SH SOLE 20 0 0 SERVICESOURCE INTL INC COM 81763U100 343980 234000 SH SOLE 234000 0 0 SHERWIN WILLIAMS CO COM 824348106 158160 227 SH SOLE 227 0 0 SIMON PPTY GROUP INC NEW COM 828806109 710057 10978 SH SOLE 10978 0 0 SIRIUS INTERNATIONAL INSURAN COM G8196D101 205074 17740 SH SOLE 17740 0 0 SJW GROUP COM 784305104 697699 11464 SH SOLE 11464 0 0 SL GREEN RLTY CORP COM 78440X101 253458 5466 SH SOLE 5466 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 1077086 40100 SH SOLE 40100 0 0 SMUCKER J M CO COM NEW 832696405 562120 4866 SH SOLE 4866 0 0 SNAP INC CL A 83304A106 31332 1200 SH SOLE 1200 0 0 SOLAR CAP LTD COM 83413U100 2465864 155575 SH SOLE 155575 0 0 SOLAR SR CAP LTD COM 83416M105 32760 2600 SH SOLE 2600 0 0 SOUTH JERSEY INDS INC COM 838518108 19270 1000 SH SOLE 1000 0 0 SOUTHWEST AIRLS CO COM 844741108 590625 15750 SH SOLE 15750 0 0 SPDR GOLD TR GOLD SHS 78463V107 1280223 7228 SH SOLE 7228 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 8592 235 SH SOLE 235 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 77919 2663 SH SOLE 2663 0 0 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 594 20 SH SOLE 20 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4315058 12885 SH SOLE 12885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 50625 5500 SH Put SOLE 5500 0 0 SPDR SER TR PORTFOLI S&P1500 78464A805 221174 5409 SH SOLE 5409 0 0 SPDR SER TR PRTFLO S&P500 HI 78468R788 28770 1050 SH SOLE 1050 0 0 SPDR SER TR S&P BIOTECH 78464A870 12257 110 SH SOLE 110 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 126271 3435 SH SOLE 3435 0 0 SPDR SER TR MSCI USA STRTGIC 78468R812 82801 875 SH SOLE 875 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 2237298 24446 SH SOLE 24446 0 0 SPDR SER TR S&P 400 MDCP VAL 78464A839 15187 350 SH SOLE 350 0 0 SPDR SER TR PORTFOLIO AGRGTE 78464A649 53763 1745 SH SOLE 1745 0 0 SPDR SER TR S&P DIVID ETF 78464A763 1892 20 SH SOLE 20 0 0 SPECTRUM BRANDS HLDGS INC NE COM 84790A105 857 15 SH SOLE 15 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 40678 9970 SH SOLE 9970 0 0 SQUARE INC CL A 852234103 40638 250 SH SOLE 250 0 0 STANLEY BLACK & DECKER INC COM 854502101 14841 92 SH SOLE 92 0 0 STARBUCKS CORP COM 855244109 149587 1741 SH SOLE 1741 0 0 STATE STR CORP COM 857477103 2967 50 SH SOLE 50 0 0 STERICYCLE INC COM 858912108 47610 755 SH SOLE 755 0 0 STONECASTLE FINL CORP COM 861780104 274923 14164 SH SOLE 14164 0 0 STRYKER CORPORATION COM 863667101 880363 4225 SH SOLE 4225 0 0 SUNOPTA INC COM 8676EP108 44520 6000 SH SOLE 6000 0 0 SYSCO CORP COM 871829107 211548 3400 SH SOLE 3400 0 0 SYSTEMAX INC COM 871851101 31122 1300 SH SOLE 1300 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 15973720 197036 SH SOLE 197036 0 0 TARGET CORP COM 87612E106 58245 370 SH SOLE 370 0 0 TAYLOR DEVICES INC COM 877163105 38000 4000 SH SOLE 4000 0 0 TCG BDC INC COM 872280102 892782 100200 SH SOLE 100200 0 0 TE CONNECTIVITY LTD REG SHS H84989104 1173 12 SH SOLE 12 0 0 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 630 60 SH SOLE 60 0 0 TENNECO INC CL A VTG COM STK 880349105 41640 6000 SH SOLE 6000 0 0 TEREX CORP NEW COM 880779103 19360 1000 SH SOLE 1000 0 0 TESLA INC COM 88160R101 322616 752 SH SOLE 752 0 0 TEXAS INSTRS INC COM 882508104 14279 100 SH SOLE 100 0 0 THE TRADE DESK INC COM CL A 88339J105 28533 55 SH SOLE 55 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 245044 555 SH SOLE 555 0 0 TILRAY INC COM CL 2 88688T100 9700 2000 SH SOLE 2000 0 0 TITAN INTL INC ILL COM 88830M102 615310 212910 SH SOLE 212910 0 0 TJX COS INC NEW COM 872540109 1113 20 SH SOLE 20 0 0 T-MOBILE US INC COM 872590104 94347 825 SH SOLE 825 0 0 TOLL BROTHERS INC COM 889478103 1098256 22570 SH SOLE 22570 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 264880 2000 SH SOLE 2000 0 0 TRACTOR SUPPLY CO COM 892356106 143340 1000 SH SOLE 1000 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 375875 3100 SH SOLE 3100 0 0 TRANSDIGM GROUP INC COM 893641100 3326 7 SH SOLE 7 0 0 TRAVELCENTERS OF AMERICA INC COM NEW 89421B109 53735 2750 SH SOLE 2750 0 0 TRAVELERS COMPANIES INC COM 89417E109 320242 2960 SH SOLE 2960 0 0 TREX CO INC COM 89531P105 676190 9444 SH SOLE 9444 0 0 TRI POINTE GROUP INC COM 87265H109 6839 377 SH SOLE 377 0 0 TRIMBLE INC COM 896239100 14399520 295678 SH SOLE 295678 0 0 TRUSTCO BK CORP N Y COM 898349105 15660 3000 SH SOLE 3000 0 0 TWITTER INC COM 90184L102 1001250 22500 SH SOLE 22500 0 0 TWO HBRS INVT CORP COM NEW 90187B408 4836 950 SH SOLE 950 0 0 TYSON FOODS INC CL A 902494103 17368 292 SH SOLE 292 0 0 UBER TECHNOLOGIES INC COM 90353T100 385046 10555 SH SOLE 10555 0 0 UGI CORP NEW COM 902681105 3298 100 SH SOLE 100 0 0 UNDER ARMOUR INC CL A 904311107 1909 170 SH SOLE 170 0 0 UNDER ARMOUR INC CL C 904311206 1486 151 SH SOLE 151 0 0 UNILEVER N V N Y SHS NEW 904784709 113008 1871 SH SOLE 1871 0 0 UNION PAC CORP COM 907818108 3419435 17369 SH SOLE 17369 0 0 UNITED AIRLS HLDGS INC COM 910047109 47781 1375 SH SOLE 1375 0 0 UNITED INS HLDGS CORP COM 910710102 177588 29305 SH SOLE 29305 0 0 UNITED PARCEL SERVICE INC CL B 911312106 58987 354 SH SOLE 354 0 0 UNITED STATES STL CORP NEW COM 912909108 22020 3000 SH SOLE 3000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2385976 7653 SH SOLE 7653 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 14459 80 SH SOLE 80 0 0 UNIVERSAL ELECTRS INC COM 913483103 37740 1000 SH SOLE 1000 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 373888 73600 SH SOLE 73600 0 0 URBAN EDGE PPTYS COM 91704F104 2430 250 SH SOLE 250 0 0 URSTADT BIDDLE PPTYS INC COM 917286106 1686 200 SH SOLE 200 0 0 US BANCORP DEL COM NEW 902973304 103069 2875 SH SOLE 2875 0 0 UTZ BRANDS INC COM CL A 918090101 8055 450 SH SOLE 450 0 0 V F CORP COM 918204108 9133 130 SH SOLE 130 0 0 VANECK MERK GOLD TR GOLD TRUST 921078101 614226 33400 SH SOLE 33400 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 8710 50 SH SOLE 50 0 0 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 1929 101 SH SOLE 101 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 1914 32 SH SOLE 32 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 379852 9700 SH SOLE 9700 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 7169374 81267 SH SOLE 81267 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 415 5 SH SOLE 5 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 4189 72 SH SOLE 72 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 75374 245 SH SOLE 245 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 106066 678 SH SOLE 678 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 117565 667 SH SOLE 667 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 627 6 SH SOLE 6 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 815218 8042 SH SOLE 8042 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6099994 35817 SH SOLE 35817 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1263 16 SH SOLE 16 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1513 35 SH SOLE 35 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 948 9 SH SOLE 9 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 13108 250 SH SOLE 250 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 681 14 SH SOLE 14 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 112896 1400 SH SOLE 1400 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 102075 1500 SH SOLE 1500 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5565190 110311 SH SOLE 110311 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 1237899 22810 SH SOLE 22810 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 10421 81 SH SOLE 81 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 4131 101 SH SOLE 101 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 25088 310 SH SOLE 310 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 148984 635 SH SOLE 635 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 28031 90 SH SOLE 90 0 0 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 1121 11 SH SOLE 11 0 0 VANGUARD WORLD FDS MATERIALS ETF 92204A801 1346 10 SH SOLE 10 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 282 7 SH SOLE 7 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 1144 7 SH SOLE 7 0 0 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1420 11 SH SOLE 11 0 0 VAPOTHERM INC COM 922107107 69600 2400 SH SOLE 2400 0 0 VASTA PLATFORM LTD CL A G9440A109 80375 5209 SH SOLE 5209 0 0 VERISK ANALYTICS INC COM 92345Y106 436590 2356 SH SOLE 2356 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 714698 12014 SH SOLE 12014 0 0 VERMILION ENERGY INC COM 923725105 39601 17007 SH SOLE 17007 0 0 VIACOMCBS INC CL B 92556H206 978081 34919 SH SOLE 34919 0 0 VIEWRAY INC COM 92672L107 14000 4000 SH SOLE 4000 0 0 VIRTU FINL INC CL A 928254101 228788 9943 SH SOLE 9943 0 0 VISA INC COM CL A 92826C839 855072 4276 SH SOLE 4276 0 0 VMWARE INC CL A COM 928563402 10775 75 SH SOLE 75 0 0 WABTEC COM 929740108 2475 40 SH SOLE 40 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 288464 8031 SH SOLE 8031 0 0 WALMART INC COM 931142103 171110 1223 SH SOLE 1223 0 0 WASTE MGMT INC DEL COM 94106L109 39610 350 SH SOLE 350 0 0 WELBILT INC COM 949090104 6160 1000 SH SOLE 1000 0 0 WELLS FARGO CO NEW COM 949746101 5091490 216567 SH SOLE 216567 0 0 WELLTOWER INC COM 95040Q104 27545 500 SH SOLE 500 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 319297 25917 SH SOLE 25917 0 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 741607 44783 SH SOLE 44783 0 0 WESTERN ASSET HIGH INCOME OP COM 95766K109 490 100 SH SOLE 100 0 0 WESTERN ASSET HIGH YIELD DEF COM 95768B107 411837 29354 SH SOLE 29354 0 0 WESTERN ASSET MUN HIGH INCOM COM 95766N103 7450 1000 SH SOLE 1000 0 0 WESTERN DIGITAL CORP. COM 958102105 1093546 29919 SH SOLE 29919 0 0 WESTPAC BANKING CORP SPONSORED ADR 961214301 7489 622 SH SOLE 622 0 0 WESTROCK CO COM 96145D105 1113278 32046 SH SOLE 32046 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 103955 3645 SH SOLE 3645 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 11006 225 SH SOLE 225 0 0 WILLIAMS COS INC COM 969457100 31794 1618 SH SOLE 1618 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 242863 3933 SH SOLE 3933 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 215110 4390 SH SOLE 4390 0 0 WISDOMTREE TR US QTLY DIV GRT 97717X669 4957 100 SH SOLE 100 0 0 WISDOMTREE TR INTL QULTY DIV 97717X131 74181 2275 SH SOLE 2275 0 0 WISDOMTREE TR EUROPE SMCP DV 97717W869 10634 200 SH SOLE 200 0 0 WISDOMTREE TR EM EX ST-OWNED 97717X578 27778 825 SH SOLE 825 0 0 WORLD GOLD TR SPDR GLD MINIS 98149E204 25154 1338 SH SOLE 1338 0 0 XCEL ENERGY INC COM 98389B100 10697 155 SH SOLE 155 0 0 XPENG INC ADS 98422D105 5419 270 SH SOLE 270 0 0 XPO LOGISTICS INC COM 983793100 16932 200 SH SOLE 200 0 0 XYLEM INC COM 98419M100 29442 350 SH SOLE 350 0 0 YELP INC CL A 985817105 20090 1000 SH SOLE 1000 0 0 YORK WTR CO COM 987184108 1299802 30750 SH SOLE 30750 0 0 YUM BRANDS INC COM 988498101 69114 757 SH SOLE 757 0 0 YUM CHINA HLDGS INC COM 98850P109 40083 757 SH SOLE 757 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 440543 1745 SH SOLE 1745 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 54150 398 SH SOLE 398 0 0