0001221073-12-000035.txt : 20120509 0001221073-12-000035.hdr.sgml : 20120509 20120508210621 ACCESSION NUMBER: 0001221073-12-000035 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120509 DATE AS OF CHANGE: 20120508 EFFECTIVENESS DATE: 20120509 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: 12823543 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 mktc_clear1q2012r.txt CLEAR HARBOR ASSET MANAGEMENT, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Clear Harbor Asset Management, LLC Address: 420 Lexington Avenue, Suite 2006 New York, NY 10170 13F File Number: 028-14126 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Ian Armstrong Title: Chief Compliance Officer Phone: 212-867-7310 Signature, Place, and Date of Signing: /s/ Ian Armstrong New York, NY May 08, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 178 Form 13F Information Table Value Total: $301,052 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBOTT LABS COM 002824100 1077 17573 SH SOLE 17573 0 0 AGL RES INC COM 001204106 653 16658 SH SOLE 16658 0 0 ALBANY INTL CORP FRNT 2.250% 3/1 012348AC2 11 12000 PRN SOLE 12000 0 0 ALLSTATE CORP COM 020002101 325 9866 SH SOLE 9866 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 211 8494 SH SOLE 8494 0 0 AMERICAN RLTY CAP TR INC COM 02917L101 622 60555 SH SOLE 60555 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 8783 258109 SH SOLE 258109 0 0 ANNALY CAP MGMT INC COM 035710409 687 43419 SH SOLE 43419 0 0 APACHE CORP COM 037411105 1045 10404 SH SOLE 10404 0 0 APPLE INC COM 037833100 2681 4472 SH SOLE 4472 0 0 AQUA AMERICA INC COM 03836W103 701 31429 SH SOLE 31429 0 0 ASIA ENTN & RESOURCES LTD SHS G0539K108 91 14000 SH SOLE 14000 0 0 AT&T INC COM 00206R102 674 21577 SH SOLE 21577 0 0 AURICO GOLD INC COM 05155C105 127 14300 SH SOLE 14300 0 0 AUTODESK INC COM 052769106 271 6405 SH SOLE 6405 0 0 AXCELIS TECHNOLOGIES INC COM 054540109 258 150000 SH SOLE 150000 0 0 AXIS CAPITAL HOLDINGS SHS G0692U109 503 15150 SH SOLE 15150 0 0 BAXTER INTL INC COM 071813109 344 5758 SH SOLE 5758 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3888 47915 SH SOLE 47915 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 884 12200 SH SOLE 12200 0 0 BIOCLINICA INC COM 09071B100 111 20000 SH SOLE 20000 0 0 BLACKROCK INCOME TR INC COM 09247F100 99 13309 SH SOLE 13309 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 291 8622 SH SOLE 8622 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 239 16253 SH SOLE 16253 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 1823 100099 SH SOLE 100099 0 0 CAMAC ENERGY INC COM 131745101 59 59422 SH SOLE 59422 0 0 CASCADE MICROTECH INC COM 147322101 84 17000 SH SOLE 17000 0 0 CATERPILLAR INC DEL COM 149123101 9829 92273 SH SOLE 92273 0 0 CENOVUS ENERGY INC COM 15135U109 1969 54799 SH SOLE 54799 0 0 CENTRAL FD CDA LTD CL A 153501101 305 13900 SH SOLE 13900 0 0 CHARLES RIV LABS INTL INC NOTE 2.250% 6/1 159864AB3 15 15000 PRN SOLE 15000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 2 30000 SH PUT SOLE 30000 0 0 CHESAPEAKE UTILS CORP COM 165303108 2141 52058 SH SOLE 52058 0 0 CHEVRON CORP NEW COM 166764100 1471 13717 SH SOLE 13717 0 0 CHIMERA INVT CORP COM 16934Q109 89 31620 SH SOLE 31620 0 0 CHINA CERAMICS CO LTD *W EXP 11/16/201 G2113X118 1 11200 SH SOLE 11200 0 0 CHINA CERAMICS CO LTD SHS G2113X100 4887 1224821 SH SOLE 1224821 0 0 CHINA GERUI ADV MAT GR LTD SHS G21101103 590 163900 SH SOLE 163900 0 0 CHINA TECHFAITH WIRLS COMM T SPONSORED ADR 169424108 862 574770 SH SOLE 574770 0 0 CHYRON CORP COM PAR $.01 171605306 53 32078 SH SOLE 32078 0 0 COCA COLA CO COM 191216100 318 4300 SH SOLE 4300 0 0 COLGATE PALMOLIVE CO COM 194162103 538 5500 SH SOLE 5500 0 0 COMVERGE INC COM 205859101 809 439929 SH SOLE 439929 0 0 CONNECTICUT WTR SVC INC COM 207797101 3266 115444 SH SOLE 115444 0 0 CONOCOPHILLIPS COM 20825C104 642 8440 SH SOLE 8440 0 0 CONSOLIDATED EDISON INC COM 209115104 2401 41095 SH SOLE 41095 0 0 CONSUMER PORTFOLIO SVCS INC COM 210502100 18 14789 SH SOLE 14789 0 0 CORE LABORATORIES N V COM N22717107 6914 52552 SH SOLE 52552 0 0 CREXUS INVT CORP COM 226553105 120 11630 SH SOLE 11630 0 0 CROSSROADS SYS INC COM NEW 22765D209 148 25450 SH SOLE 25450 0 0 DELL INC COM 24702R101 899 54150 SH SOLE 54150 0 0 DELTA NAT GAS INC COM 247748106 1562 41095 SH SOLE 41095 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 4 40000 SH PUT SOLE 40000 0 0 DEVON ENERGY CORP NEW COM 25179M103 222 3121 SH SOLE 3121 0 0 DIME CMNTY BANCSHARES COM 253922108 212 14536 SH SOLE 14536 0 0 E M C CORP MASS COM 268648102 429 14365 SH SOLE 14365 0 0 ECOLAB INC COM 278865100 608 9857 SH SOLE 9857 0 0 ELDORADO GOLD CORP NEW COM 284902103 283 20639 SH SOLE 20639 0 0 EMERSON ELEC CO COM 291011104 550 10543 SH SOLE 10543 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 204 6600 SH SOLE 6600 0 0 ENCANA CORP COM 292505104 1073 54709 SH SOLE 54709 0 0 ENERGEN CORP COM 29265N108 7860 159912 SH SOLE 159912 0 0 ENERGY PARTNERS LTD COM NEW 29270U303 1243 74819 SH SOLE 74819 0 0 ENERNOC INC COM 292764107 1522 211370 SH SOLE 211370 0 0 EQT CORP COM 26884L109 3329 69059 SH SOLE 69059 0 0 EQUAL ENERGY LTD COM 29390Q109 302 80600 SH SOLE 80600 0 0 EXETER RES CORP COM 301835104 252 91600 SH SOLE 91600 0 0 EXPRESS SCRIPTS INC COM 302182100 217 4000 SH SOLE 4000 0 0 EXTERRAN HLDGS INC COM 30225X103 794 60185 SH SOLE 60185 0 0 EXTERRAN PARTNERS LP COM UNITS 30225N105 1504 69710 SH SOLE 69710 0 0 EXXON MOBIL CORP COM 30231G102 10155 117086 SH SOLE 117086 0 0 FIFTH STREET FINANCE CORP COM 31678A103 447 45790 SH SOLE 45790 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 9616 1329984 SH SOLE 1329984 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 6 10000 SH CALL SOLE 0 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 214 17174 SH SOLE 17174 0 0 FX ENERGY INC COM 302695101 6762 1243042 SH SOLE 1243042 0 0 GENERAL ELECTRIC CO COM 369604103 2899 144428 SH SOLE 144428 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 513 45800 SH SOLE 45800 0 0 GENERAL MTRS CO COM 37045V100 3 100 SH SOLE 100 0 0 GETTY RLTY CORP NEW COM 374297109 2231 143204 SH SOLE 143204 0 0 GRAN TIERRA ENERGY INC COM 38500T101 248 39391 SH SOLE 39391 0 0 HANOVER COMPRESSOR CO NOTE 4.750% 1/1 410768AE5 188 192000 PRN SOLE 192000 0 0 HARVEST NATURAL RESOURCES IN COM 41754V103 514 72541 SH SOLE 72541 0 0 HAWAIIAN HOLDINGS INC COM 419879101 1167 223203 SH SOLE 223203 0 0 HEXCEL CORP NEW COM 428291108 2445 101825 SH SOLE 101825 0 0 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 772 374980 SH SOLE 374980 0 0 HUNTSMAN CORP COM 447011107 140 10000 SH SOLE 10000 0 0 INTEGRATED SILICON SOLUTION COM 45812P107 1874 167910 SH SOLE 167910 0 0 INTEL CORP COM 458140100 360 12809 SH SOLE 12809 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1992 9546 SH SOLE 9546 0 0 INTEVAC INC COM 461148108 1016 119540 SH SOLE 119540 0 0 ISHARES GOLD TRUST ISHARES 464285105 435 26715 SH SOLE 26715 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 351 3340 SH SOLE 3340 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 109 900 SH SOLE 900 0 0 ISHARES TR HIGH YLD CORP 464288513 38 419 SH SOLE 419 0 0 ITRON INC COM 465741106 1140 25100 SH SOLE 25100 0 0 JABIL CIRCUIT INC COM 466313103 2578 102619 SH SOLE 102619 0 0 JOHNSON & JOHNSON COM 478160104 3535 53597 SH SOLE 53597 0 0 JOHNSON CTLS INC COM 478366107 6634 204245 SH SOLE 204245 0 0 JOHNSON CTLS INC UNIT 99/99/9999 478366602 32 200 SH SOLE 200 0 0 JPMORGAN CHASE & CO COM 46625H100 444 9653 SH SOLE 9653 0 0 KIMBERLY CLARK CORP COM 494368103 394 5331 SH SOLE 5331 0 0 KROGER CO COM 501044101 269 11120 SH SOLE 11120 0 0 KRONOS WORLDWIDE INC COM 50105F105 217 8700 SH SOLE 8700 0 0 KULICKE & SOFFA INDS INC COM 501242101 1914 154000 SH SOLE 154000 0 0 KULICKE & SOFFA INDS INC COM 501242101 1 20000 SH PUT SOLE 20000 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 239 2607 SH SOLE 2607 0 0 LIHUA INTL INC COM 532352101 3907 679531 SH SOLE 679531 0 0 LINEAR TECHNOLOGY CORP COM 535678106 297 8816 SH SOLE 8816 0 0 LOWES COS INC COM 548661107 464 14783 SH SOLE 14783 0 0 LTX-CREDENCE CORP COM NEW 502403207 1188 165178 SH SOLE 165178 0 0 MACQUARIE INFRASTR CO LLC MEMBERSHIP INT 55608B105 231 7000 SH SOLE 7000 0 0 MAG SILVER CORP COM 55903Q104 104 10300 SH SOLE 10300 0 0 MAGNUM HUNTER RES CORP DEL COM 55973B102 75 11728 SH SOLE 11728 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 248 5000 SH SOLE 5000 0 0 MERCK & CO INC NEW COM 58933Y105 1012 26344 SH SOLE 26344 0 0 MICROSOFT CORP COM 594918104 1969 61044 SH SOLE 61044 0 0 MIPS TECHNOLOGIES INC COM 604567107 174 31900 SH SOLE 31900 0 0 MISSION WEST PPTYS INC COM 605203108 965 97837 SH SOLE 97837 0 0 MONTPELIER RE HOLDINGS LTD SHS G62185106 324 16764 SH SOLE 16764 0 0 MOSYS INC COM 619718109 65 16350 SH SOLE 16350 0 0 NEW JERSEY RES COM 646025106 3169 71112 SH SOLE 71112 0 0 NEWMONT MINING CORP COM 651639106 234 4555 SH SOLE 4555 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 12439 599747 SH SOLE 599747 0 0 NORTHWEST NAT GAS CO COM 667655104 5934 130712 SH SOLE 130712 0 0 NOVARTIS A G SPONSORED ADR 66987V109 251 4530 SH SOLE 4530 0 0 NXSTAGE MEDICAL INC COM 67072V103 228 11855 SH SOLE 11855 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 272 2855 SH SOLE 2855 0 0 ORACLE CORP COM 68389X105 228 7820 SH SOLE 7820 0 0 OSHKOSH CORP COM 688239201 2594 111943 SH SOLE 111943 0 0 PARKER HANNIFIN CORP COM 701094104 8958 105954 SH SOLE 105954 0 0 PEPSICO INC COM 713448108 417 6280 SH SOLE 6280 0 0 PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 308 193450 SH SOLE 193450 0 0 PETROQUEST ENERGY INC COM 716748108 89 14475 SH SOLE 14475 0 0 PFIZER INC COM 717081103 1321 58320 SH SOLE 58320 0 0 PHILIP MORRIS INTL INC COM 718172109 284 3200 SH SOLE 3200 0 0 PIEDMONT NAT GAS INC COM 720186105 367 11800 SH SOLE 11800 0 0 PIONEER NAT RES CO COM 723787107 17045 152743 SH SOLE 152743 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 212 2700 SH SOLE 2700 0 0 PLUM CREEK TIMBER CO INC COM 729251108 216 5200 SH SOLE 5200 0 0 PNC FINL SVCS GROUP INC COM 693475105 756 11721 SH SOLE 11721 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 308 10444 SH SOLE 10444 0 0 PROCTER & GAMBLE CO COM 742718109 927 13799 SH SOLE 13799 0 0 PURECYCLE CORP COM NEW 746228303 241 107636 SH SOLE 107636 0 0 QEP RES INC COM 74733V100 5079 166532 SH SOLE 166532 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 13 50000 SH PUT SOLE 50000 0 0 QUESTAR CORP COM 748356102 4589 238287 SH SOLE 238287 0 0 RGC RES INC COM 74955L103 827 44958 SH SOLE 44958 0 0 ROPER INDS INC NEW COM 776696106 41694 420473 SH SOLE 420473 0 0 SCHLUMBERGER LTD COM 806857108 478 6832 SH SOLE 6832 0 0 SCORPIO TANKERS INC SHS Y7542C106 488 69175 SH SOLE 69175 0 0 SEALED AIR CORP NEW COM 81211K100 522 27038 SH SOLE 27038 0 0 SIGMA ALDRICH CORP COM 826552101 0 10999 SH SOLE 10999 0 0 SIRIUS XM RADIO INC COM 82967N108 24 10310 SH SOLE 10310 0 0 SMUCKER J M CO COM NEW 832696405 611 7514 SH SOLE 7514 0 0 SOUTH JERSEY INDS INC COM 838518108 2971 59382 SH SOLE 59382 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1999 12329 SH SOLE 12329 0 0 SPECTRANETICS CORP COM 84760C107 316 30360 SH SOLE 30360 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 463 36650 SH SOLE 36650 0 0 SPRINT NEXTEL CORP COM SER 1 852061100 136 47600 SH SOLE 47600 0 0 STAR BULK CARRIERS CORP COM Y8162K105 98 109920 SH SOLE 109920 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 315 20616 SH SOLE 20616 0 0 TEXAS INSTRS INC COM 882508104 367 10918 SH SOLE 10918 0 0 TICC CAPITAL CORP COM 87244T109 352 36099 SH SOLE 36099 0 0 TRANSATLANTIC PETROLEUM LTD SHS G89982105 348 272214 SH SOLE 272214 0 0 TRIMBLE NAVIGATION LTD COM 896239100 14513 266689 SH SOLE 266689 0 0 TRUSTCO BK CORP N Y COM 898349105 60 10560 SH SOLE 10560 0 0 U S AIRWAYS GROUP INC COM 90341W108 387 51014 SH SOLE 51014 0 0 UNI PIXEL INC COM NEW 904572203 261 48500 SH SOLE 48500 0 0 UNION PAC CORP COM 907818108 1310 12188 SH SOLE 12188 0 0 UNITED TECHNOLOGIES CORP COM 913017109 295 3556 SH SOLE 3556 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 407 7607 SH SOLE 7607 0 0 VECTREN CORP COM 92240G101 1553 53430 SH SOLE 53430 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 2380 86002 SH SOLE 86002 0 0 VOYAGER OIL & GAS INC COM 92911K100 81 33375 SH SOLE 33375 0 0 WEBMEDIABRANDS INC COM 94770W100 103 98725 SH SOLE 98725 0 0 WILLIAMS CLAYTON ENERGY INC COM 969490101 701 8820 SH SOLE 8820 0 0 YORK WTR CO COM 987184108 599 34650 SH SOLE 34650 0 0