0001221073-21-000009.txt : 20210204 0001221073-21-000009.hdr.sgml : 20210204 20210204095007 ACCESSION NUMBER: 0001221073-21-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210204 DATE AS OF CHANGE: 20210204 EFFECTIVENESS DATE: 20210204 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: 21589279 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 12-31-2020 12-31-2020 false 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 01-27-2021 0 314 696272 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 286 1635 SH SOLE 1635 0 0 ABBOTT LABS COM 002824100 1679 15336 SH SOLE 15336 0 0 ABBVIE INC COM 00287Y109 1634 15253 SH SOLE 15253 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 87 20089 SH SOLE 20089 0 0 AIR PRODS & CHEMS INC COM 009158106 468 1713 SH SOLE 1713 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 974 13151 SH SOLE 13151 0 0 ALLIANCE RESOURCE PARTNERS L UT LTD PART 01877R108 101 22500 SH SOLE 22500 0 0 ALLSTATE CORP COM 020002101 264 2400 SH SOLE 2400 0 0 ALPHABET INC CAP STK CL A 02079K305 4354 2484 SH SOLE 2484 0 0 ALPHABET INC CAP STK CL C 02079K107 7985 4558 SH SOLE 4558 0 0 ALTICE USA INC CL A 02156K103 716 18904 SH SOLE 18904 0 0 AMAZON COM INC COM 023135106 2625 806 SH SOLE 806 0 0 AMBAC FINL GROUP INC COM NEW 023139884 808 52550 SH SOLE 52550 0 0 AMC NETWORKS INC CL A 00164V103 3504 97965 SH SOLE 97965 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 558 35360 SH SOLE 35360 0 0 AMERICAN EXPRESS CO COM 025816109 353 2916 SH SOLE 2916 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 29566 192648 SH SOLE 192648 0 0 AMERISOURCEBERGEN CORP COM 03073E105 456 4664 SH SOLE 4664 0 0 AMGEN INC COM 031162100 1467 6380 SH SOLE 6380 0 0 AMPLIFY ENERGY CORP NEW COM 03212B103 86 65500 SH SOLE 65500 0 0 ANTERO MIDSTREAM CORP COM 03676B102 751 97419 SH SOLE 97419 0 0 ANTERO RESOURCES CORP COM 03674X106 2093 384004 SH SOLE 384004 0 0 ANWORTH MTG ASSET CORP COM 037347101 424 156342 SH SOLE 156342 0 0 APARTMENT INVT & MGMT CO CL A 03748R747 106 20000 SH SOLE 20000 0 0 APPLE INC COM 037833100 32318 243559 SH SOLE 243559 0 0 APPLIED MATLS INC COM 038222105 1090 12630 SH SOLE 12630 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 208 4122 SH SOLE 4122 0 0 ARDMORE SHIPPING CORP COM Y0207T100 75 22900 SH SOLE 22900 0 0 ARES COML REAL ESTATE CORP COM 04013V108 125 10455 SH SOLE 10455 0 0 ARGO GROUP INTL HLDGS LTD COM G0464B107 962 22014 SH SOLE 22014 0 0 ASSURED GUARANTY LTD COM G0585R106 1735 55082 SH SOLE 55082 0 0 AT&T INC COM 00206R102 3514 122194 SH SOLE 122194 0 0 AUTODESK INC COM 052769106 1837 6015 SH SOLE 6015 0 0 AVIS BUDGET GROUP COM 053774105 305 8180 SH SOLE 8180 0 0 AXIS CAP HLDGS LTD SHS G0692U109 272 5395 SH SOLE 5395 0 0 BANK OF NT BUTTERFIELD&SON L SHS NEW G0772R208 271 8701 SH SOLE 8701 0 0 BARRICK GOLD CORP COM 067901108 212 9292 SH SOLE 9292 0 0 BAUSCH HEALTH COS INC COM 071734107 224 10800 SH SOLE 10800 0 0 BED BATH & BEYOND INC COM 075896100 666 37475 SH SOLE 37475 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 342 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 10340 44596 SH SOLE 44596 0 0 BG STAFFING INC COM 05544A109 376 27882 SH SOLE 27882 0 0 BK OF AMERICA CORP COM 060505104 1355 44704 SH SOLE 44704 0 0 BLACK STONE MINERALS L P COM UNIT 09225M101 908 135956 SH SOLE 135956 0 0 BLACKROCK INCOME TR INC COM 09247F100 78 12775 SH SOLE 12775 0 0 BOEING CO COM 097023105 813 3799 SH SOLE 3799 0 0 BOOKING HOLDINGS INC COM 09857L108 1615 725 SH SOLE 725 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 2084 33591 SH SOLE 33591 0 0 BROADCOM INC COM 11135F101 532 1216 SH SOLE 1216 0 0 BURFORD CAP LTD ORD SHS G17977110 466 48005 SH SOLE 48005 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 3917 72496 SH SOLE 72496 0 0 CANADIAN SOLAR INC COM 136635109 1062 20725 SH SOLE 20725 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 250 6615 SH SOLE 6615 0 0 CATERPILLAR INC COM 149123101 9137 50200 SH SOLE 50200 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 96 18600 SH SOLE 18600 0 0 CF INDS HLDGS INC COM 125269100 4810 124260 SH SOLE 124260 0 0 CHANGE HEALTHCARE INC COM 15912K100 3769 202100 SH SOLE 202100 0 0 CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 544 8495 SH SOLE 8495 0 0 CHEMOURS CO COM 163851108 415 16744 SH SOLE 16744 0 0 CHEMOURS CO COM 163851108 86 18200 SH Call SOLE 18200 0 0 CHERRY HILL MTG INVT CORP COM 164651101 122 13340 SH SOLE 13340 0 0 CHESAPEAKE UTILS CORP COM 165303108 6621 61185 SH SOLE 61185 0 0 CHEVRON CORP NEW COM 166764100 1696 20089 SH SOLE 20089 0 0 CIGNA CORP NEW COM 125523100 1202 5773 SH SOLE 5773 0 0 CINER RESOURCES LP COM UNIT LTD 172464109 218 17322 SH SOLE 17322 0 0 CISCO SYS INC COM 17275R102 366 8175 SH SOLE 8175 0 0 CITIGROUP INC COM NEW 172967424 2491 40391 SH SOLE 40391 0 0 CITRIX SYS INC COM 177376100 221 1696 SH SOLE 1696 0 0 CLOUDFLARE INC CL A COM 18915M107 1286 16922 SH SOLE 16922 0 0 COCA COLA CO COM 191216100 682 12441 SH SOLE 12441 0 0 COLGATE PALMOLIVE CO COM 194162103 615 7189 SH SOLE 7189 0 0 COMCAST CORP NEW CL A 20030N101 2048 39091 SH SOLE 39091 0 0 COMMSCOPE HLDG CO INC COM 20337X109 773 57701 SH SOLE 57701 0 0 CONOCOPHILLIPS COM 20825C104 277 6915 SH SOLE 6915 0 0 CONSOLIDATED EDISON INC COM 209115104 729 10085 SH SOLE 10085 0 0 COPART INC COM 217204106 1275 10018 SH SOLE 10018 0 0 CSX CORP COM 126408103 733 8073 SH SOLE 8073 0 0 CVS HEALTH CORP COM 126650100 919 13453 SH SOLE 13453 0 0 CVS HEALTH CORP COM 126650100 11 3000 SH Call SOLE 3000 0 0 DANAHER CORPORATION COM 235851102 2221 9999 SH SOLE 9999 0 0 DEERE & CO COM 244199105 903 3355 SH SOLE 3355 0 0 DELL TECHNOLOGIES INC CL C 24703L202 607 8281 SH SOLE 8281 0 0 DELL TECHNOLOGIES INC CL C 24703L202 103 5500 SH Call SOLE 5500 0 0 DIAGEO PLC SPON ADR NEW 25243Q205 2116 13325 SH SOLE 13325 0 0 DIAMONDBACK ENERGY INC COM 25278X109 1775 36682 SH SOLE 36682 0 0 DIME CMNTY BANCSHARES INC COM 253922108 229 14536 SH SOLE 14536 0 0 DIREXION SHS ETF TR DRX S&P500BULL 25459W862 217 3000 SH SOLE 3000 0 0 DISCOVER FINL SVCS COM 254709108 2069 22853 SH SOLE 22853 0 0 DISCOVERY INC COM SER A 25470F104 1036 34422 SH SOLE 34422 0 0 DISNEY WALT CO COM 254687106 1652 9117 SH SOLE 9117 0 0 ECOLAB INC COM 278865100 3549 16401 SH SOLE 16401 0 0 EHEALTH INC COM 28238P109 704 9970 SH SOLE 9970 0 0 EMERSON ELEC CO COM 291011104 473 5884 SH SOLE 5884 0 0 ENOVA INTL INC COM 29357K103 241 9725 SH SOLE 9725 0 0 ENPHASE ENERGY INC COM 29355A107 35972 205004 SH SOLE 205004 0 0 ENVESTNET INC COM 29404K106 971 11795 SH SOLE 11795 0 0 ENZO BIOCHEM INC COM 294100102 101 40000 SH SOLE 40000 0 0 EQT CORP COM 26884L109 234 18420 SH SOLE 18420 0 0 EQUITRANS MIDSTREAM CORP COM 294600101 105 13056 SH SOLE 13056 0 0 ESSENTIAL UTILS INC COM 29670G102 3955 83636 SH SOLE 83636 0 0 EVEREST RE GROUP LTD COM G3223R108 3583 15308 SH SOLE 15308 0 0 EVEREST RE GROUP LTD COM G3223R108 37 1000 SH Call SOLE 1000 0 0 EXTENDED STAY AMER INC UNIT 99/99/9999B 30224P200 1061 71668 SH SOLE 71668 0 0 EXXON MOBIL CORP COM 30231G102 1461 35448 SH SOLE 35448 0 0 FACEBOOK INC CL A 30303M102 1933 7075 SH SOLE 7075 0 0 FEDEX CORP COM 31428X106 1679 6469 SH SOLE 6469 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 1473 10412 SH SOLE 10412 0 0 FIFTH THIRD BANCORP COM 316773100 250 9062 SH SOLE 9062 0 0 FIRST SOLAR INC COM 336433107 352 3555 SH SOLE 3555 0 0 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 1753 10438 SH SOLE 10438 0 0 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 472 52495 SH SOLE 52495 0 0 FLEX LTD ORD Y2573F102 16270 904900 SH SOLE 904900 0 0 FRANCO NEV CORP COM 351858105 1107 8830 SH SOLE 8830 0 0 FRONTLINE LTD SHS NEW G3682E192 166 26705 SH SOLE 26705 0 0 GALLAGHER ARTHUR J & CO COM 363576109 3232 26126 SH SOLE 26126 0 0 GENERAL ELECTRIC CO COM 369604103 123 11435 SH SOLE 11435 0 0 GENERAL MTRS CO COM 37045V100 636 15265 SH SOLE 15265 0 0 GLOBAL SHIP LEASE INC NEW COM CL A Y27183600 335 28140 SH SOLE 28140 0 0 GLOBAL WTR RES INC COM 379463102 337 23392 SH SOLE 23392 0 0 GRAFTECH INTL LTD COM 384313508 733 68775 SH SOLE 68775 0 0 GRAPHIC PACKAGING HLDG CO COM 388689101 375 22125 SH SOLE 22125 0 0 GREEN PLAINS INC COM 393222104 186 14100 SH SOLE 14100 0 0 GROUPON INC COM NEW 399473206 1706 44900 SH SOLE 44900 0 0 GRUPO TELEVISA SA SPON ADR REP ORD 40049J206 299 36250 SH SOLE 36250 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 6671 136196 SH SOLE 136196 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 69 5000 SH Call SOLE 5000 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 317 8965 SH SOLE 8965 0 0 HC2 HLDGS INC COM 404139107 166 51000 SH SOLE 51000 0 0 HCA HEALTHCARE INC COM 40412C101 1014 6166 SH SOLE 6166 0 0 HEALTHCARE SERVICES ACQU COR UNIT 11/18/2023 42227K203 102 10000 SH SOLE 10000 0 0 HERITAGE INS HLDGS INC COM 42727J102 415 40924 SH SOLE 40924 0 0 HERSHEY CO COM 427866108 263 1724 SH SOLE 1724 0 0 HEXCEL CORP NEW COM 428291108 1593 32855 SH SOLE 32855 0 0 HILL INTL INC COM 431466101 147 76389 SH SOLE 76389 0 0 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 302 40890 SH SOLE 40890 0 0 HOME DEPOT INC COM 437076102 4183 15749 SH SOLE 15749 0 0 HONEYWELL INTL INC COM 438516106 11919 56037 SH SOLE 56037 0 0 HOUGHTON MIFFLIN HARCOURT CO COM 44157R109 562 168740 SH SOLE 168740 0 0 ILLINOIS TOOL WKS INC COM 452308109 714 3503 SH SOLE 3503 0 0 ILLUMINA INC COM 452327109 4058 10967 SH SOLE 10967 0 0 INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 499 21410 SH SOLE 21410 0 0 INFORMATION SVCS GROUP INC COM 45675Y104 207 62985 SH SOLE 62985 0 0 INTEL CORP COM 458140100 1104 22165 SH SOLE 22165 0 0 INTELLICHECK INC COM NEW 45817G201 17110 1500204 SH SOLE 1500204 0 0 ISHARES GOLD TRUST ISHARES 464285105 5773 318399 SH SOLE 318399 0 0 ISHARES INC CORE MSCI EMKT 46434G103 370 5965 SH SOLE 5965 0 0 ISHARES TR 0-5 YR TIPS ETF 46429B747 210 2015 SH SOLE 2015 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 1764 13266 SH SOLE 13266 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 2212 18437 SH SOLE 18437 0 0 ISHARES TR IBONDS DEC21 ETF 46434VBK5 1401 56240 PRN SOLE 56240 0 0 ISHARES TR IBONDS DEC22 ETF 46434VBA7 1459 57075 PRN SOLE 57075 0 0 ISHARES TR IBONDS DEC23 ETF 46434VAX8 236 9000 PRN SOLE 9000 0 0 ISHARES TR IBOXX INV CP ETF 464287242 1643 11892 SH SOLE 11892 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 579 10502 SH SOLE 10502 0 0 ISHARES TR MBS ETF 464288588 315 2861 SH SOLE 2861 0 0 ISHARES TR MSCI INDIA ETF 46429B598 362 8990 SH SOLE 8990 0 0 ISHARES TR NATIONAL MUN ETF 464288414 309 2639 SH SOLE 2639 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 5 24 SH SOLE 24 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 22 22500 SH Put SOLE 22500 0 0 ISHARES TR TRS FLT RT BD 46434V860 438 8710 SH SOLE 8710 0 0 ISHARES U S ETF TR INT RT HDG C B 46431W705 331 3465 SH SOLE 3465 0 0 JOHNSON & JOHNSON COM 478160104 6751 42894 SH SOLE 42894 0 0 JPMORGAN CHASE & CO COM 46625H100 6029 47448 SH SOLE 47448 0 0 KELLOGG CO COM 487836108 766 12315 SH SOLE 12315 0 0 KIMBERLY-CLARK CORP COM 494368103 302 2240 SH SOLE 2240 0 0 KIRKLANDS INC COM 497498105 1362 76190 SH SOLE 76190 0 0 KKR & CO INC COM 48251W104 679 16775 SH SOLE 16775 0 0 KRAFT HEINZ CO COM 500754106 1953 56342 SH SOLE 56342 0 0 KROGER CO COM 501044101 630 19822 SH SOLE 19822 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 3731 19737 SH SOLE 19737 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 635 3118 SH SOLE 3118 0 0 LAM RESEARCH CORP COM 512807108 924 1956 SH SOLE 1956 0 0 LAUREATE EDUCATION INC CL A 518613203 293 20125 SH SOLE 20125 0 0 LEAP THERAPEUTICS INC COM 52187K101 86 38000 SH SOLE 38000 0 0 LEIDOS HOLDINGS INC COM 525327102 1175 11173 SH SOLE 11173 0 0 LENNAR CORP CL A 526057104 661 8677 SH SOLE 8677 0 0 LIBERTY GLOBAL PLC SHS CL C G5480U120 613 25922 SH SOLE 25922 0 0 LIQTECH INTL INC COM 53632A201 9823 1227822 SH SOLE 1227822 0 0 LIQUIDIA CORPORATION COM NEW 53635D202 149 50375 SH SOLE 50375 0 0 LORAL SPACE & COM INC COM 543881106 493 23503 SH SOLE 23503 0 0 LOWES COS INC COM 548661107 1752 10915 SH SOLE 10915 0 0 LUMENT FINANCE TRUST INC COM 55025L108 509 155548 SH SOLE 155548 0 0 MACQUARIE INFRASTRUCTURE COR COM 55608B105 319 8507 SH SOLE 8507 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 375 8825 SH SOLE 8825 0 0 MARRONE BIO INNOVATIONS INC COM 57165B106 90 72204 SH SOLE 72204 0 0 MASTERCARD INCORPORATED CL A 57636Q104 797 2233 SH SOLE 2233 0 0 MATADOR RES CO COM 576485205 704 58380 SH SOLE 58380 0 0 MCKESSON CORP COM 58155Q103 1103 6342 SH SOLE 6342 0 0 MDC PARTNERS INC. CL A SUB VTG 552697104 466 185507 SH SOLE 185507 0 0 MERCK & CO. INC COM 58933Y105 3392 41466 SH SOLE 41466 0 0 META FINL GROUP INC COM 59100U108 501 13705 SH SOLE 13705 0 0 MFA FINL INC COM 55272X102 3843 987900 SH SOLE 987900 0 0 MICRON TECHNOLOGY INC COM 595112103 3025 40231 SH SOLE 40231 0 0 MICROSOFT CORP COM 594918104 9705 43633 SH SOLE 43633 0 0 MONDELEZ INTL INC CL A 609207105 445 7603 SH SOLE 7603 0 0 MONEYGRAM INTL INC COM NEW 60935Y208 217 39650 SH SOLE 39650 0 0 MORGAN STANLEY COM NEW 617446448 319 4650 SH SOLE 4650 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 265 42088 SH SOLE 42088 0 0 MULTIPLAN CORPORATION *W EXP 02/13/202 62548M118 260 173317 SH SOLE 173317 0 0 MULTIPLAN CORPORATION COM 62548M100 440 55130 SH SOLE 55130 0 0 NET 1 UEPS TECHNOLOGIES INC COM NEW 64107N206 98 20000 SH SOLE 20000 0 0 NEW JERSEY RES CORP COM 646025106 3894 109534 SH SOLE 109534 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 1719 172981 SH SOLE 172981 0 0 NEW YORK MTG TR INC COM PAR $.02 649604501 3415 925500 SH SOLE 925500 0 0 NEWMONT CORP COM 651639106 932 15567 SH SOLE 15567 0 0 NEWMONT CORP COM 651639106 10 10000 SH Call SOLE 10000 0 0 NORFOLK SOUTHN CORP COM 655844108 478 2011 SH SOLE 2011 0 0 NORTHWEST NAT HLDG CO COM 66765N105 346 7532 SH SOLE 7532 0 0 NUVEEN INT DUR QUAL MUN TRM COM 670677103 475 32241 SH SOLE 32241 0 0 NUVEEN MUN 2021 TARGET TERM COM 670687102 110 11143 SH SOLE 11143 0 0 NVIDIA CORPORATION COM 67066G104 628 1202 SH SOLE 1202 0 0 OAKTREE SPECIALTY LENDING CO COM 67401P108 1519 272655 SH SOLE 272655 0 0 OCEANEERING INTL INC COM 675232102 134 16900 SH SOLE 16900 0 0 OPKO HEALTH INC COM 68375N103 40 10100 SH SOLE 10100 0 0 ORACLE CORP COM 68389X105 574 8868 SH SOLE 8868 0 0 ORBITAL ENERGY GROUP INC COM 68559A109 342 156020 SH SOLE 156020 0 0 OTIS WORLDWIDE CORP COM 68902V107 223 3304 SH SOLE 3304 0 0 PACIFIC ETHANOL INC COM 69423U305 194 35750 SH SOLE 35750 0 0 PARKER-HANNIFIN CORP COM 701094104 16327 59936 SH SOLE 59936 0 0 PATTERSON-UTI ENERGY INC COM 703481101 333 63255 SH SOLE 63255 0 0 PEPSICO INC COM 713448108 869 5863 SH SOLE 5863 0 0 PERKINELMER INC COM 714046109 502 3500 SH SOLE 3500 0 0 PERMA-FIX ENVIRONMENTAL SVCS COM NEW 714157203 119 19910 SH SOLE 19910 0 0 PFIZER INC COM 717081103 1468 39889 SH SOLE 39889 0 0 PG&E CORP COM 69331C108 909 72989 SH SOLE 72989 0 0 PHILIP MORRIS INTL INC COM 718172109 237 2867 SH SOLE 2867 0 0 PIERIS PHARMACEUTICALS INC COM 720795103 418 167103 SH SOLE 167103 0 0 PIMCO MUN INCOME FD II COM 72200W106 358 25000 SH SOLE 25000 0 0 PIONEER MUN HIGH INCOME TR COM SHS 723763108 373 30000 SH SOLE 30000 0 0 PIONEER NAT RES CO COM 723787107 7736 67929 SH SOLE 67929 0 0 PNC FINL SVCS GROUP INC COM 693475105 295 1983 SH SOLE 1983 0 0 PORTMAN RIDGE FIN CORP COM 73688F102 540 282498 SH SOLE 282498 0 0 PPG INDS INC COM 693506107 202 1400 SH SOLE 1400 0 0 PRA GROUP INC COM 69354N106 303 7632 SH SOLE 7632 0 0 PROCTER AND GAMBLE CO COM 742718109 3512 25240 SH SOLE 25240 0 0 PROVENTION BIO INC COM 74374N102 276 16300 SH SOLE 16300 0 0 PURE CYCLE CORP COM NEW 746228303 989 88071 SH SOLE 88071 0 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 60 12850 SH SOLE 12850 0 0 QORVO INC COM 74736K101 7687 46234 SH SOLE 46234 0 0 QUALCOMM INC COM 747525103 2230 14641 SH SOLE 14641 0 0 RAVEN INDS INC COM 754212108 314 9500 SH SOLE 9500 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 3372 47158 SH SOLE 47158 0 0 RECRO PHARMA INC COM 75629F109 133 46682 SH SOLE 46682 0 0 ROPER TECHNOLOGIES INC COM 776696106 101196 234744 SH SOLE 234744 0 0 S&P GLOBAL INC COM 78409V104 5433 16527 SH SOLE 16527 0 0 SALESFORCE COM INC COM 79466L302 1311 5893 SH SOLE 5893 0 0 SAP SE SPON ADR 803054204 987 7567 SH SOLE 7567 0 0 SCHLUMBERGER LTD COM 806857108 228 10424 SH SOLE 10424 0 0 SCHLUMBERGER LTD COM 806857108 28 6500 SH Call SOLE 6500 0 0 SCORPIO TANKERS INC SHS Y7542C130 251 22420 SH SOLE 22420 0 0 SEAPORT GLOBAL ACQUISITN COR UNIT 99/99/9999 812227205 157 15000 SH SOLE 15000 0 0 SERVICESOURCE INTL INC COM 81763U100 412 234000 SH SOLE 234000 0 0 SIMON PPTY GROUP INC NEW COM 828806109 894 10478 SH SOLE 10478 0 0 SIRIUS INTERNATIONAL INSURAN COM G8196D101 199 15940 SH SOLE 15940 0 0 SJW GROUP COM 784305104 944 13607 SH SOLE 13607 0 0 SL GREEN RLTY CORP COM 78440X101 265 4450 SH SOLE 4450 0 0 SMUCKER J M CO COM NEW 832696405 535 4626 SH SOLE 4626 0 0 SOLAR CAP LTD COM 83413U100 2736 156282 SH SOLE 156282 0 0 SOUTHWEST AIRLS CO COM 844741108 743 15950 SH SOLE 15950 0 0 SPARTACUS ACQUISITION CORP *W EXP 10/31/202 84677L117 42 37500 SH SOLE 37500 0 0 SPARTACUS ACQUISITION CORP CL A 84677L109 121 12000 SH SOLE 12000 0 0 SPDR GOLD TR GOLD SHS 78463V107 1343 7528 SH SOLE 7528 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4177 11172 SH SOLE 11172 0 0 SPDR SER TR PORTFOLI S&P1500 78464A805 250 5422 SH SOLE 5422 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 1992 21771 SH SOLE 21771 0 0 STONECASTLE FINL CORP COM 861780104 273 14164 SH SOLE 14164 0 0 STRYKER CORPORATION COM 863667101 1035 4225 SH SOLE 4225 0 0 SUNOPTA INC COM 8676EP108 176 15100 SH SOLE 15100 0 0 SYSCO CORP COM 871829107 252 3400 SH SOLE 3400 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 21423 196466 SH SOLE 196466 0 0 TCG BDC INC COM 872280102 1064 103700 SH SOLE 103700 0 0 TESLA INC COM 88160R101 488 692 SH SOLE 692 0 0 TESLA INC COM 88160R101 5 100 SH Put SOLE 100 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 261 560 SH SOLE 560 0 0 THIRD PT REINS LTD COM G8827U100 320 33650 SH SOLE 33650 0 0 TITAN INTL INC ILL COM 88830M102 1036 213110 SH SOLE 213110 0 0 TOLL BROTHERS INC COM 889478103 1049 24130 SH SOLE 24130 0 0 TOLL BROTHERS INC COM 889478103 4 3000 SH Call SOLE 3000 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 309 2000 SH SOLE 2000 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 559 3850 SH SOLE 3850 0 0 TRAVELERS COMPANIES INC COM 89417E109 440 3135 SH SOLE 3135 0 0 TREX CO INC COM 89531P105 791 9444 SH SOLE 9444 0 0 TRIMBLE INC COM 896239100 19640 294143 SH SOLE 294143 0 0 U S GLOBAL INVS INC CL A 902952100 61 11250 SH SOLE 11250 0 0 UBER TECHNOLOGIES INC COM 90353T100 494 9685 SH SOLE 9685 0 0 UNION PAC CORP COM 907818108 3943 18938 SH SOLE 18938 0 0 UNITED INS HLDGS CORP COM 910710102 113 19705 SH SOLE 19705 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2684 7653 SH SOLE 7653 0 0 UNIVERSAL TECHNICAL INST INC COM 913915104 475 73600 SH SOLE 73600 0 0 VANECK MERK GOLD TR GOLD TRUST 921078101 619 33400 SH SOLE 33400 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 348 9650 SH SOLE 9650 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 9090 103073 SH SOLE 103073 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1101 9257 SH SOLE 9257 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8322 42757 SH SOLE 42757 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 7165 122776 SH SOLE 122776 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 1311 24250 SH SOLE 24250 0 0 VERISK ANALYTICS INC COM 92345Y106 490 2362 SH SOLE 2362 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 599 10198 SH SOLE 10198 0 0 VERMILION ENERGY INC COM 923725105 86 19237 SH SOLE 19237 0 0 VIACOMCBS INC CL B 92556H206 1148 30809 SH SOLE 30809 0 0 VIRTU FINL INC CL A 928254101 617 24525 SH SOLE 24525 0 0 VISA INC COM CL A 92826C839 944 4316 SH SOLE 4316 0 0 VONTIER CORPORATION COM 928881101 301 9000 SH SOLE 9000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1315 32971 SH SOLE 32971 0 0 WELLS FARGO CO NEW COM 949746101 6352 210467 SH SOLE 210467 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 368 26464 SH SOLE 26464 0 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 793 43833 SH SOLE 43833 0 0 WESTERN ASSET HIGH YIELD DEF COM 95768B107 366 23706 SH SOLE 23706 0 0 WESTERN DIGITAL CORP. COM 958102105 1394 25164 SH SOLE 25164 0 0 WESTROCK CO COM 96145D105 1462 33596 SH SOLE 33596 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 258 3893 SH SOLE 3893 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 236 4329 SH SOLE 4329 0 0 YORK WTR CO COM 987184108 1427 30625 SH SOLE 30625 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 671 1745 SH SOLE 1745 0 0