Managing Director

0000891092-18-000156.txt : 20180110 0000891092-18-000156.hdr.sgml : 20180110 20180110123822 ACCESSION NUMBER: 0000891092-18-000156 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180110 DATE AS OF CHANGE: 20180110 EFFECTIVENESS DATE: 20180110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Crow Point Partners, LLC CENTRAL INDEX KEY: 0001384305 IRS NUMBER: 205509493 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12447 FILM NUMBER: 18520950 BUSINESS ADDRESS: STREET 1: 25 RECREATION PARK DRIVE STREET 2: SUITE 206 CITY: HINGHAM STATE: MA ZIP: 02043 BUSINESS PHONE: 781-545-5900 MAIL ADDRESS: STREET 1: 25 RECREATION PARK DRIVE STREET 2: SUITE 206 CITY: HINGHAM STATE: MA ZIP: 02043 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001384305 XXXXXXXX 12-31-2017 12-31-2017 false Crow Point Partners, LLC

25 Recreation Park Drive Suite 206 Hingham MA 02043

13F HOLDINGS REPORT 028-12447 N Peter DeCaprio Managing Director 781-875-3185 /s/ Peter DeCaprio Hingham MA 01-10-2018 0 280 635163 INFORMATION TABLE 2 infotable.xml Adjustable Rate Mortgage Trust 2005-5 6A22 1.8875 25-SEP-2035 BOND 007036LY0 0 78765 PRN SOLE 78765 0 0 Ameriquest Mortgage Securities 2003-11 AF6 5.64 25-DEC-2033 BOND 03072SLU7 0 4995 PRN SOLE 4995 0 0 Banc of America Funding 2006-2 Trust 2A18 5.75 25-MAR-2036 BOND 05949QAZ8 0 16825 PRN SOLE 16825 0 0 Countrywide Home Loans Asset-Backed Certificates Series 2002-S4 A5 5.216 25-OCT-2017 BOND 126671UD6 0 70461 PRN SOLE 70461 0 0 Citigroup Commercial Mortgage Trust 2008-C7 AMA 6.19141 10-DEC-2049 BOND 17313KAJ0 0 0 PRN SOLE 0 0 0 Dash II A1L 1.81 15-SEP-2035 BOND 25513TAA1 0 95919 PRN SOLE 95919 0 0 Equity One Mortgage Pass Through Trust 2003-4 M1 5.869 25-OCT-2034 BOND 294751DF6 0 29217 PRN SOLE 29217 0 0 Fremont Home Loan Trust 2005-B M4 2.03362 25-APR-2035 BOND 35729PJY7 0 93438 PRN SOLE 93438 0 0 GSAMP Trust 2005-SEA2 A1 1.6775 25-JAN-2045 BOND 362341TM1 0 33209 PRN SOLE 33209 0 0 JP Morgan Chase Commercial Mortgage Securities Trust 2012-CIBX A3 3.1388 15-JUN-2045 BOND 46637WAC7 0 307277 PRN SOLE 307277 0 0 Morgan Stanley Capital I Trust 2006-IQ11 AJ 6.247027 15-MAY-2016 BOND 617453AV7 0 68701 PRN SOLE 68701 0 0 Nomura Asset Acceptance Corporation Alternative Loan Trust Series 2005-AR2 2A2 3.673352 25-MAY-2035 BOND 65535VKD9 0 3457 PRN SOLE 3457 0 0 Option One Mortgage Loan Trust 2005-1 A4 2.1275 25-FEB-2035 BOND 68389FGJ7 0 17130 PRN SOLE 17130 0 0 RASC Series 2003-KS4 Trust AI6 3.87 25-JUN-2033 BOND 76110WRQ1 0 25594 PRN SOLE 25594 0 0 RASC Series 2004-KS2 Trust AI6 4.3 25-MAR-2034 BOND 76110WWG7 0 4871 PRN SOLE 4871 0 0 RAMP Series 2005-RS1 Trust AI6 4.713 25-NOV-2034 BOND 76112BHY9 0 9900 PRN SOLE 9900 0 0 Safeway Inc. EQUITY 786CVR209 0 750000 SH SOLE 0 0 750000 Safeway Inc. EQUITY 786CVR308 0 750000 SH SOLE 0 0 750000 Structured Asset Securities Corporation Mortgage Loan Trust 2006-WF1 M2 1.6675 25-FEB-2036 BOND 863576FJ8 0 400000 PRN SOLE 400000 0 0 SASC 2006-AM1 A4 Mtge BOND 86359XAD5 0 179501 PRN SOLE 179501 0 0 Washington Mutual Mortgage Pass-Through Certificates Series 2003-S12 2A 4.75 25-NOV-2018 BOND 92922FHP6 0 5084 PRN SOLE 5084 0 0 Washington Mutual Mortgage Pass-Through Certificates WMALT Series 2006-7 A1A 6.086 25-SEP-2036 BOND 93935HAA5 0 37375 PRN SOLE 37375 0 0 CROW POINT ALTERNATIVE INC-Y EQUITY 885572552 4780 564287 SH SOLE 503388 0 0 APPLE INC EQUITY 037833100 17 100 SH SOLE 100 0 0 ABIOMED INC EQUITY 003654100 120 631 SH SOLE 631 0 0 ALLIANCEBERNSTEIN HOLDING LP EQUITY 01881G106 140 5564 SH SOLE 5564 0 0 ACA Master Select Fund LP EQUITY ACAMASTER 4028 79721 SH SOLE 79721 0 0 GREENHUNTER WATER WARRANTS EQUITY 395990708 0 96112 SH SOLE 0 0 96112 AECOM EQUITY 00766T100 107 2863 SH SOLE 2863 0 0 ISHARES MSCI ACWI ETF EQUITY 464288257 897 12433 SH SOLE 12433 0 0 ANALOG DEVICES INC EQUITY 032654105 30 341 SH SOLE 341 0 0 AUTOMATIC DATA PROCESSING EQUITY 053015103 195 1666 SH SOLE 1666 0 0 AMERICAN ELECTRIC POWER EQUITY 025537101 20254 275000 SH SOLE 0 0 275000 Ashford Hospitality Prime Inc 5 1/2 Cum Conv Pfd Shs Series B EQUITY 044102507 965 47100 SH SOLE 0 0 47100 Arlington Asset Investment Corp. 6.625 01-MAY-2023 EQUITY 041356304 2460 100040 SH SOLE 0 0 100040 AK STEEL HOLDING CORP EQUITY 001547108 110 19125 SH SOLE 19125 0 0 ALLETE INC EQUITY 018522300 743 10000 SH SOLE 0 0 10000 Alabama Power Company 5 Cum Pfd Registered Shs A EQUITY 010392462 3607 140000 SH SOLE 0 0 140000 AFFILIATED MANAGERS GROUP EQUITY 008252108 101 491 SH SOLE 491 0 0 TD AMERITRADE HOLDING CORP EQUITY 87236Y108 107 2087 SH SOLE 2087 0 0 AMAZON.COM INC EQUITY 023135106 20 17 SH SOLE 17 0 0 AON PLC EQUITY G0408V102 76 564 SH SOLE 564 0 0 PREFERRED APARTMENT COMMUN-A EQUITY 74039L103 5120 250000 SH SOLE 0 0 250000 AMERICAN WATER WORKS CO INC EQUITY 030420103 18324 200000 SH SOLE 0 0 200000 ALIBABA GROUP HOLDING-SP ADR EQUITY 01609W102 31 178 SH SOLE 178 0 0 Bank of America Corp Deposit Shs Repr 1/1000th Non-Cum Pfd Shs Series -CC- EQUITY 060505286 51 1900 SH SOLE 1900 0 0 BreitBurn Energy Partners L.P. 8.625 15-OCT-2020 BOND 106777AB1 0 4180000 PRN SOLE 0 0 4180000 BRAINSTORM CELL THERAPEUTICS EQUITY 10501E201 16 5117 SH SOLE 5117 0 0 BECTON DICKINSON AND CO EQUITY 075887109 138 643 SH SOLE 643 0 0 GENERAL CABLE CORP EQUITY 369300108 62 2100 SH SOLE 2100 0 0 BIG LOTS INC EQUITY 089302103 73 1310 SH SOLE 1310 0 0 SPDR BBG BARC 1-3 MONTH TBIL EQUITY 78468R663 1267 13856 SH SOLE 13856 0 0 TOPBUILD CORP EQUITY 89055F103 45 597 SH SOLE 597 0 0 BLUEBIRD BIO INC EQUITY 09609G100 82 456 SH SOLE 456 0 0 BOX INC - CLASS A EQUITY 10316T104 68 3201 SH SOLE 3201 0 0 BROWN & BROWN INC EQUITY 115236101 65 1250 SH SOLE 1250 0 0 BRITISH AMERICAN TOB-SP ADR EQUITY 110448107 0 1 SH SOLE 1 0 0 BLACKSTONE GROUP LP/THE EQUITY 09253U108 23 700 SH SOLE 700 0 0 CACI INTERNATIONAL INC -CL A EQUITY 127190304 192 1444 SH SOLE 1444 0 0 CARBONITE INC EQUITY 141337105 57 2247 SH SOLE 2247 0 0 AVIS BUDGET GROUP INC EQUITY 053774105 322 7200 SH SOLE 7200 0 0 CBOE GLOBAL MARKETS INC EQUITY 12503M108 76 608 SH SOLE 608 0 0 CROWN CASTLE INTL CORP EQUITY 22822V101 165 1500 SH SOLE 0 0 1500 CONDOR HOSPITALITY TRUST INC EQUITY 20676Y403 4821 475000 SH SOLE 0 0 475000 CERNER CORP EQUITY 156782104 50 729 SH SOLE 729 0 0 CROW POINT DEF RISK GL EQ-I EQUITY 885572560 1208 134361 SH SOLE 75118 0 0 CHURCH & DWIGHT CO INC EQUITY 171340102 25 500 SH SOLE 500 0 0 CHUNGHWA TELECOM LT-SPON ADR EQUITY 17133Q502 5308 150000 SH SOLE 0 0 150000 CITY OFFICE REIT INC EQUITY 178587101 2610 200000 SH SOLE 0 0 200000 CHATHAM LODGING TRUST EQUITY 16208T102 4622 200000 SH SOLE 0 0 200000 Colony NorthStar Inc. 7.125 Cum Red Perp Registered Pfd Shs Series H EQUITY 19625W880 1366 53647 SH SOLE 0 0 53647 COMCAST CORP-CLASS A EQUITY 20030N101 18139 450200 SH SOLE 0 0 450200 CME GROUP INC EQUITY 12572Q105 415 2839 SH SOLE 2839 0 0 CMS ENERGY CORP EQUITY 125896100 28434 600000 SH SOLE 0 0 600000 CENTERPOINT ENERGY INC EQUITY 15189T107 8508 300000 SH SOLE 0 0 300000 Connecticut Light & Power Co 5.28 Cum.Red.Pfd Shs Series 1967 EQUITY 207597782 623 12000 SH SOLE 0 0 12000 CORENERGY INFRASTRUCTURE TRU EQUITY 21870U502 692 18000 SH SOLE 0 0 18000 CORCEPT THERAPEUTICS INC EQUITY 218352102 53 2921 SH SOLE 2921 0 0 COSTCO WHOLESALE CORP EQUITY 22160K105 33 177 SH SOLE 177 0 0 CHESAPEAKE UTILITIES CORP EQUITY 165303108 24 300 SH SOLE 0 0 300 COPART INC EQUITY 217204106 18 406 SH SOLE 406 0 0 ISHARES US CREDIT BOND ETF EQUITY 464288620 399 3566 SH SOLE 3566 0 0 ISHARES 1-3 YEAR CREDIT BOND EQUITY 464288646 1318 12605 SH SOLE 12605 0 0 Capital Southwest Corp. Senior 5.95 Notes EQUITY 140501206 100 4000 SH SOLE 0 0 4000 CYTOSORBENTS CORP EQUITY 23283X206 59 9014 SH SOLE 9014 0 0 BARRACUDA NETWORKS INC EQUITY 068323104 14 500 SH SOLE 500 0 0 COMMVAULT SYSTEMS INC EQUITY 204166102 73 1388 SH SOLE 1388 0 0 CITIGROUP INC EQUITY 172967424 618 8229 SH SOLE 8229 0 0 TABLEAU SOFTWARE INC-CL A EQUITY 87336U105 67 956 SH SOLE 956 0 0 DDR Corp Deposit Shs Repr 1/20th 6.375 Cum Red Pfd Registered Shs A EQUITY 23317H870 166 6500 SH SOLE 0 0 6500 DULUTH HOLDINGS INC - CL B EQUITY 26443V101 41 2310 SH SOLE 2310 0 0 UNITED STATES SHORT OIL FUND EQUITY 912613205 930 16300 SH SOLE 16300 0 0 PHYSICIANS REALTY TRUST EQUITY 71943U104 2703 150000 SH SOLE 0 0 150000 Diana Shipping Inc 8 1/2 Notes 2015-15.5.20 Sr EQUITY Y2066G120 3012 118941 SH SOLE 0 0 118941 DTE Energy Co 5 3/8 Debentures 2016-01.06.76 Series 2016 B EQUITY 233331800 5118 200000 SH SOLE 0 0 200000 DTE Energy Co 5.25 Debentures 2017-01.12.77 Global EQUITY 233331859 3789 150000 SH SOLE 0 0 150000 DYCOM INDUSTRIES INC EQUITY 267475101 76 664 SH SOLE 664 0 0 DOMINION ENERGY INC EQUITY 25746U109 21103 260300 SH SOLE 0 0 260300 Eagle Point Credit Company Inc 7.75 Pfd Registered Shs 2016-30.10.26 Series B EQUITY 269809307 131 5000 SH SOLE 0 0 5000 EURONET WORLDWIDE INC EQUITY 298736109 168 1999 SH SOLE 1999 0 0 ISHARES MSCI EAFE ETF EQUITY 464287465 0 0 SH SOLE 0 0 0 EDISON INTERNATIONAL EQUITY 281020107 31011 485000 SH SOLE 0 0 485000 ELF BEAUTY INC EQUITY 26856L103 43 1898 SH SOLE 1898 0 0 TEMPLETON EMERGING MKTS FND EQUITY 880191101 294 18100 SH SOLE 18100 0 0 EPR Properties 5.75 Series G Cum Redeem Pref EQUITY 26884U505 125 5000 SH SOLE 0 0 5000 EQUITY BANCSHARES INC - CL A EQUITY 29460X109 42 1200 SH SOLE 1200 0 0 EVERSOURCE ENERGY EQUITY 30040W108 31790 505000 SH SOLE 0 0 505000 ETRADE FINANCIAL CORP EQUITY 269246401 540 10864 SH SOLE 10864 0 0 ENTERGY CORP EQUITY 29364G103 8197 101000 SH SOLE 0 0 101000 WF UTILITY & TELECOM-A EQUITY 94985D483 362 17089 SH SOLE 17089 0 0 EATON VANCE LTD DURATION FND EQUITY 27828H105 1067 78545 SH SOLE 78545 0 0 EXACT SCIENCES CORP EQUITY 30063P105 145 2654 SH SOLE 2654 0 0 EXELON CORP EQUITY 30161N101 12419 316001 SH SOLE 0 0 316001 FACEBOOK INC-A EQUITY 30303M102 566 3184 SH SOLE 3184 0 0 FIRST DATA CORP- CLASS A EQUITY 32008D106 31 1834 SH SOLE 1834 0 0 FIRSTENERGY CORP EQUITY 337932107 6090 200000 SH SOLE 0 0 200000 FISERV INC EQUITY 337738108 289 2186 SH SOLE 2186 0 0 FIVE BELOW EQUITY 33829M101 46 673 SH SOLE 673 0 0 First Republic Bank Deposit Shs Repr 1/40th Non Cum Perp Pfd Shs Series H EQUITY 33616C811 126 5000 SH SOLE 0 0 5000 GE CAPITAL MTG SERVICES INC. BOND 36157RD85 0 2512 PRN SOLE 2512 0 0 GLOBUS MEDICAL INC - A EQUITY 379577208 55 1320 SH SOLE 1320 0 0 GENERAL MOTORS CO EQUITY 37045V100 77 1858 SH SOLE 1858 0 0 Georgia Power Co 5 Notes 2017-01.10.77 Global Series 2017A EQUITY 373334440 1265 50000 SH SOLE 0 0 50000 GreenHunter Resources Inc 10 Cum Pfd Shs Series C EQUITY 39530A203 4 61786 SH SOLE 0 0 61786 Gastar Exploration Inc Cum Pfd Shs Series B EQUITY 36729P306 1132 56900 SH SOLE 0 0 56900 GREAT PLAINS ENERGY INC EQUITY 391164100 9998 310000 SH SOLE 0 0 310000 ETFMG PRIME CYBER SECURITY E EQUITY 26924G201 186 5846 SH SOLE 5846 0 0 HD SUPPLY HOLDINGS INC EQUITY 40416M105 479 11900 SH SOLE 11900 0 0 HERTZ GLOBAL HOLDINGS INC EQUITY 42806J106 142 6200 SH SOLE 6200 0 0 HUBSPOT INC EQUITY 443573100 530 5947 SH SOLE 5947 0 0 INSTALLED BUILDING PRODUCTS EQUITY 45780R101 128 1685 SH SOLE 1685 0 0 INTERCONTINENTAL EXCHANGE IN EQUITY 45866F104 435 6170 SH SOLE 6170 0 0 IDACORP INC EQUITY 451107106 2290 25000 SH SOLE 0 0 25000 INTEGRATED DEVICE TECH INC EQUITY 458118106 53 1763 SH SOLE 1763 0 0 ISHARES CORE S&P SMALL-CAP E EQUITY 464287804 564 7296 SH SOLE 7296 0 0 IMAX CORP EQUITY 45245E109 103 4438 SH SOLE 4438 0 0 IMMUNE DESIGN CORP EQUITY 45252L103 23 5574 SH SOLE 5574 0 0 SUMMIT HOTEL PROPERTIES INC EQUITY 866082100 1926 125000 SH SOLE 0 0 125000 INTRA-CELLULAR THERAPIES INC EQUITY 46116X101 22 1448 SH SOLE 1448 0 0 ISHARES RUSSELL 3000 ETF EQUITY 464287689 281 1768 SH SOLE 1768 0 0 Just Energy Group PFD A EQUITY 48213W200 7933 315000 SH SOLE 0 0 315000 JACK HENRY & ASSOCIATES INC EQUITY 426281101 32 274 SH SOLE 274 0 0 SPDR BBG BARC HIGH YIELD BND EQUITY 78464A417 716 19538 SH SOLE 19538 0 0 POWERSHARES KBW BANK EQUITY 73937B746 498 8972 SH SOLE 8972 0 0 KIMCO Realty Corp. 5.25 Class M Cum Red Pref EQUITY 49446R711 250 10000 SH SOLE 0 0 10000 KIMBELL ROYALTY PARTNERS LP EQUITY 49435R102 3408 213000 SH SOLE 0 0 213000 LUMENTUM HOLDINGS INC EQUITY 55024U109 95 1941 SH SOLE 1941 0 0 Legg Mason Inc. 6 3/8 Notes 2016-15.3.56 EQUITY 524901501 11 400 SH SOLE 400 0 0 LANDMARK INFRASTRUCTURE PART EQUITY 51508J108 184 10000 SH SOLE 0 0 10000 LOCKHEED MARTIN CORP EQUITY 539830109 956 2967 SH SOLE 2967 0 0 ALLIANT ENERGY CORP EQUITY 018802108 25084 588000 SH SOLE 0 0 588000 LOGMEIN INC EQUITY 54142L109 46 399 SH SOLE 399 0 0 LIPOCINE INC EQUITY 53630X104 23 6412 SH SOLE 6412 0 0 ISHARES IBOXX INVESTMENT GRA EQUITY 464287242 2817 23206 SH SOLE 23206 0 0 MID-AMERICA APARTMENT COMM EQUITY 59522J103 47 469 SH SOLE 469 0 0 MASTERCARD INC - A EQUITY 57636Q104 14571 96009 SH SOLE 1009 0 95000 Medley LLC 6 7/8 Notes 2016-15.08.26 EQUITY 58503Y105 2922 120000 SH SOLE 0 0 120000 MONDELEZ INTERNATIONAL INC-A EQUITY 609207105 176 4096 SH SOLE 4096 0 0 Maiden Holdings Ltd 6.7 Red Pfd Registered Shs Series D EQUITY G5753U146 126 5000 SH SOLE 0 0 5000 MDU RESOURCES GROUP INC EQUITY 552690109 13 500 SH SOLE 0 0 500 MGM RESORTS INTERNATIONAL EQUITY 552953101 77 2296 SH SOLE 2296 0 0 MIMECAST LTD EQUITY G14838109 228 7787 SH SOLE 7787 0 0 ETFMG ALTERNATIVE HARVEST EQUITY 26924G508 84 2632 SH SOLE 4000 0 0 MARKETAXESS HOLDINGS INC EQUITY 57060D108 36 176 SH SOLE 176 0 0 MFS MULTIMARKET INC TRUST EQUITY 552737108 1024 169216 SH SOLE 169216 0 0 MONMOUTH REAL ESTATE INV COR EQUITY 609720404 2030 116024 SH SOLE 0 0 116024 MOBILEIRON INC EQUITY 60739U204 38 9705 SH SOLE 9705 0 0 MARATHON PETROLEUM CORP EQUITY 56585A102 58 867 SH SOLE 867 0 0 MICROSOFT CORP EQUITY 594918104 49 573 SH SOLE 573 0 0 MORGAN STANLEY EQUITY 617446448 175 3323 SH SOLE 3323 0 0 M & T BANK CORP 5 Series A EQUITY 55261F609 1053 1022 SH SOLE 0 0 1022 MATADOR RESOURCES CO EQUITY 576485205 58 1838 SH SOLE 1838 0 0 ARCELORMITTAL-NY REGISTERED EQUITY 03938L203 389 11889 SH SOLE 11889 0 0 MULESOFT INC -A EQUITY 625207105 58 2488 SH SOLE 2488 0 0 NEUROCRINE BIOSCIENCES INC EQUITY 64125C109 145 1918 SH SOLE 1918 0 0 NASDAQ INC EQUITY 631103108 150 1956 SH SOLE 1956 0 0 NEXTERA ENERGY INC EQUITY 65339F101 31270 200000 SH SOLE 0 0 200000 NEW RELIC INC EQUITY 64829B100 113 1976 SH SOLE 1976 0 0 NEWTEK BUSINESS SERVICES COR EQUITY 652526203 555 30000 SH SOLE 0 0 30000 NETFLIX INC EQUITY 64110L106 579 3007 SH SOLE 3007 0 0 NEW JERSEY RESOURCES CORP EQUITY 646025106 16 400 SH SOLE 0 0 400 NEKTAR THERAPEUTICS EQUITY 640268108 33 539 SH SOLE 539 0 0 Navios Maritime Holdings Inc 8 5/8 Cum Red Perp Pfd Shs Sponsored American Deposit Receipt Repr 1/100th 8 5/8 CRPP-H EQUITY 63938Y308 944 59000 SH SOLE 0 0 59000 NORTHROP GRUMMAN CORP EQUITY 666807102 153 495 SH SOLE 495 0 0 SERVICENOW INC EQUITY 81762P102 33 249 SH SOLE 249 0 0 NuStar Energy LP Cum Red Perp Pfd Units Series A EQUITY 67058H201 840 35000 SH SOLE 0 0 35000 NSTAR Electric Company 4.78 Pfd Shs EQUITY 67021C305 909 8830 SH SOLE 0 0 8830 NUTANIX INC - 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