The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
Agfiq US Market Neutral Anti-Beta Fund | AGFIQ US MK ANTI | 00110G408 | 2,067 | 84,907 | SH | SOLE | 49,907 | 0 | 35,000 | ||
Agrofresh Solutions Warrants Exp 07/31/20 | *W EXP 07/31/202 | 00856G117 | 0 | 3,700 | SH | OTR | 3,700 | 0 | 0 | ||
Agrofresh Solutions Warrants Exp 07/31/20 | *W EXP 07/31/202 | 00856G117 | 1 | 58,791 | SH | SOLE | 55,591 | 0 | 3,200 | ||
Alibaba Group ADR | SPONSORED ADS | 01609W102 | 3,176 | 14,725 | SH | SOLE | 13,725 | 0 | 1,000 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 169 | 119 | SH | OTR | 119 | 0 | 0 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 3,997 | 2,819 | SH | SOLE | 2,637 | 0 | 182 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 21 | 15 | SH | OTR | 15 | 0 | 0 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 800 | 566 | SH | SOLE | 481 | 0 | 85 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 70 | 10,100 | SH | OTR | 10,100 | 0 | 0 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 1,050 | 151,665 | SH | SOLE | 145,465 | 0 | 6,200 | ||
American Express Co. | COM | 025816109 | 169 | 1,775 | SH | OTR | 1,775 | 0 | 0 | ||
American Express Co. | COM | 025816109 | 2,778 | 29,185 | SH | SOLE | 27,345 | 0 | 1,840 | ||
Appian Corp | CL A | 03782L101 | 249 | 4,850 | SH | SOLE | 2,350 | 0 | 2,500 | ||
Apple | COM | 037833100 | 1,195 | 3,275 | SH | SOLE | 3,275 | 0 | 0 | ||
Arch Capital Group Ltd | ORD | G0450A105 | 679 | 23,710 | SH | SOLE | 20,710 | 0 | 3,000 | ||
Baxter International | COM | 071813109 | 4 | 50 | SH | OTR | 50 | 0 | 0 | ||
Baxter International | COM | 071813109 | 1,456 | 16,865 | SH | SOLE | 16,440 | 0 | 425 | ||
Biogen Inc | COM | 09062X103 | 214 | 800 | SH | SOLE | 800 | 0 | 0 | ||
Blackstone Group Inc Class A | COM CL A | 09260D107 | 57 | 1,000 | SH | OTR | 1,000 | 0 | 0 | ||
Blackstone Group Inc Class A | COM CL A | 09260D107 | 5,256 | 92,761 | SH | SOLE | 88,586 | 0 | 4,175 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 129 | 5,225 | SH | OTR | 5,225 | 0 | 0 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 2,559 | 103,561 | SH | SOLE | 94,646 | 0 | 8,915 | ||
Boeing | COM | 097023105 | 2,080 | 11,348 | SH | SOLE | 11,348 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 9 | 450 | SH | OTR | 450 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 942 | 45,370 | SH | SOLE | 43,445 | 0 | 1,925 | ||
Bristol-Myers Squibb | COM | 110122108 | 31 | 525 | SH | OTR | 525 | 0 | 0 | ||
Bristol-Myers Squibb | COM | 110122108 | 1,092 | 18,573 | SH | SOLE | 14,943 | 0 | 3,630 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 193 | 5,867 | SH | OTR | 5,867 | 0 | 0 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 5,320 | 161,691 | SH | SOLE | 151,500 | 0 | 10,191 | ||
Brookfield Real Assets I | SHS BEN INT | 112830104 | 294 | 17,650 | SH | SOLE | 17,650 | 0 | 0 | ||
Brookfield Renewable LP | PARTNERSHIP UNIT | G16258108 | 848 | 17,710 | SH | SOLE | 17,110 | 0 | 600 | ||
Canadian National Railway Co. | COM | 136375102 | 1,523 | 17,200 | SH | SOLE | 17,200 | 0 | 0 | ||
Cerner Corp | COM | 156782104 | 284 | 4,135 | SH | SOLE | 2,635 | 0 | 1,500 | ||
Chevron Corp. | COM | 166764100 | 138 | 1,550 | SH | OTR | 1,550 | 0 | 0 | ||
Chevron Corp. | COM | 166764100 | 1,204 | 13,495 | SH | SOLE | 12,045 | 0 | 1,450 | ||
Cisco Systems | COM | 17275R102 | 14 | 300 | SH | OTR | 300 | 0 | 0 | ||
Cisco Systems | COM | 17275R102 | 2,406 | 51,590 | SH | SOLE | 51,590 | 0 | 0 | ||
Cognex Corp | COM | 192422103 | 245 | 4,100 | SH | SOLE | 2,600 | 0 | 1,500 | ||
Colgate-Palmolive Co | COM | 194162103 | 656 | 8,960 | SH | SOLE | 3,060 | 0 | 5,900 | ||
Comcast Corporation | CL A | 20030N101 | 126 | 3,225 | SH | OTR | 3,225 | 0 | 0 | ||
Comcast Corporation | CL A | 20030N101 | 3,133 | 79,895 | SH | SOLE | 75,920 | 0 | 3,975 | ||
Consolidated Edison | COM | 209115104 | 14 | 200 | SH | OTR | 200 | 0 | 0 | ||
Consolidated Edison | COM | 209115104 | 529 | 7,350 | SH | SOLE | 7,050 | 0 | 300 | ||
CrowdStrike Holdings, Inc. | CL A | 22788C105 | 322 | 3,215 | SH | SOLE | 2,215 | 0 | 1,000 | ||
Doubleline Income Soluti | COM | 258622109 | 158 | 10,300 | SH | SOLE | 10,300 | 0 | 0 | ||
ExxonMobil Corp | COM | 30231G102 | 348 | 7,786 | SH | SOLE | 4,786 | 0 | 3,000 | ||
Gilead Sciences Inc. | COM | 375558103 | 231 | 3,000 | SH | OTR | 3,000 | 0 | 0 | ||
GTT Communications Inc | COM | 362393100 | 125 | 15,350 | SH | SOLE | 350 | 0 | 15,000 | ||
Guardant Health Inc | COM | 40131M109 | 377 | 4,650 | SH | OTR | 4,650 | 0 | 0 | ||
Guardant Health Inc | COM | 40131M109 | 8,414 | 103,705 | SH | SOLE | 95,230 | 0 | 8,475 | ||
Home Depot | COM | 437076102 | 175 | 700 | SH | OTR | 700 | 0 | 0 | ||
Home Depot | COM | 437076102 | 7,056 | 28,165 | SH | SOLE | 24,765 | 0 | 3,400 | ||
Johnson & Johnson | COM | 478160104 | 239 | 1,700 | SH | OTR | 1,700 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 2,061 | 14,659 | SH | SOLE | 14,209 | 0 | 450 | ||
JPMorgan Chase & Co | COM | 46625H100 | 1,091 | 11,600 | SH | OTR | 11,600 | 0 | 0 | ||
JPMorgan Chase & Co | COM | 46625H100 | 3,421 | 36,366 | SH | SOLE | 36,366 | 0 | 0 | ||
Lattice Semiconductor Corp | COM | 518415104 | 226 | 7,950 | SH | SOLE | 2,950 | 0 | 5,000 | ||
Markel Corp. | COM | 570535104 | 332 | 360 | SH | SOLE | 250 | 0 | 110 | ||
Marriott Vacations | COM | 57164Y107 | 657 | 7,990 | SH | SOLE | 7,990 | 0 | 0 | ||
Martin Marietta Matr | COM | 573284106 | 248 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
Matador Resources Co | COM | 576485205 | 128 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 280 | 3,590 | SH | OTR | 3,590 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 5,688 | 72,985 | SH | SOLE | 67,651 | 0 | 5,334 | ||
Microsoft Corp. | COM | 594918104 | 753 | 3,700 | SH | OTR | 3,700 | 0 | 0 | ||
Microsoft Corp. | COM | 594918104 | 14,015 | 68,867 | SH | SOLE | 62,807 | 0 | 6,060 | ||
Mitek Systems, Inc. | COM NEW | 606710200 | 192 | 20,000 | SH | SOLE | 7,000 | 0 | 13,000 | ||
Nextera Energy Inc | COM | 65339F101 | 977 | 4,069 | SH | SOLE | 4,069 | 0 | 0 | ||
Obsidian Energy LTD NPV | COM | 674482203 | 65 | 152,427 | SH | SOLE | 9,570 | 0 | 142,857 | ||
Paypal Holdings Inc | COM | 70450Y103 | 436 | 2,500 | SH | SOLE | 1,700 | 0 | 800 | ||
Procter & Gamble | COM | 742718109 | 399 | 3,340 | SH | SOLE | 3,340 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 146 | 1,600 | SH | OTR | 1,600 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 4,430 | 48,570 | SH | SOLE | 47,270 | 0 | 1,300 | ||
Regeneron Pharms Inc | COM | 75886F107 | 213 | 342 | SH | SOLE | 342 | 0 | 0 | ||
Saba Cef ETF | SABA INT RATE | 30151E806 | 399 | 22,731 | SH | SOLE | 22,731 | 0 | 0 | ||
Schlumberger Ltd. | COM | 806857108 | 2 | 125 | SH | OTR | 125 | 0 | 0 | ||
Schlumberger Ltd. | COM | 806857108 | 1,042 | 56,290 | SH | SOLE | 55,440 | 0 | 850 | ||
Slack Technologies Inc Class A | COM CL A | 83088V102 | 216 | 6,960 | SH | SOLE | 3,460 | 0 | 3,500 | ||
Smartsheet Inc Class A | COM CL A | 83200N103 | 311 | 6,115 | SH | SOLE | 4,115 | 0 | 2,000 | ||
Stoneco LTD | COM CL A | G85158106 | 239 | 6,155 | SH | SOLE | 3,155 | 0 | 3,000 | ||
Switch Inc - A | CL A | 87105L104 | 195 | 10,965 | SH | SOLE | 3,965 | 0 | 7,000 | ||
Teradyne Inc | COM | 880770102 | 298 | 3,525 | SH | OTR | 3,525 | 0 | 0 | ||
Teradyne Inc | COM | 880770102 | 6,566 | 77,690 | SH | SOLE | 71,865 | 0 | 5,825 | ||
Union Pacific Corp. | COM | 907818108 | 359 | 2,125 | SH | OTR | 2,125 | 0 | 0 | ||
Union Pacific Corp. | COM | 907818108 | 4,471 | 26,445 | SH | SOLE | 26,445 | 0 | 0 | ||
Vaneck Vectors Green Bond ETF | GREEN BD ETF | 92189F171 | 227 | 8,250 | SH | SOLE | 8,250 | 0 | 0 | ||
Verizon | COM | 92343V104 | 150 | 2,725 | SH | OTR | 2,725 | 0 | 0 | ||
Verizon | COM | 92343V104 | 2,425 | 43,993 | SH | SOLE | 39,498 | 0 | 4,495 | ||
Walt Disney | COM DISNEY | 254687106 | 311 | 2,786 | SH | SOLE | 1,686 | 0 | 1,100 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 134 | 5,950 | SH | OTR | 5,950 | 0 | 0 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 3,202 | 142,575 | SH | SOLE | 135,975 | 0 | 6,600 | ||
Woodward, Inc. | COM | 980745103 | 250 | 3,225 | SH | OTR | 3,225 | 0 | 0 | ||
Woodward, Inc. | COM | 980745103 | 4,202 | 54,185 | SH | SOLE | 52,220 | 0 | 1,965 | ||
Zynga Inc | CL A | 98986T108 | 143 | 15,000 | SH | SOLE | 3,000 | 0 | 12,000 |