Clear Harbor Asset Management as of Sept. 30, 2012
Portfolio Holdings for Clear Harbor Asset Management
Clear Harbor Asset Management holds 196 positions in its portfolio as reported in the September 2012 quarterly 13F filing
| Company (Ticker) | Portfolio Weight | Valued At | Change in Shares | Share Count | Share Price |
|---|---|---|---|---|---|
| Roper Industries (ROP) | 13.3 | $43M | 390k | 109.89 | |
| Pioneer Natural Resources | 4.9 | $16M | 151k | 104.40 | |
| Northern Oil & Gas | 3.4 | $11M | 636k | 16.99 | |
| Exxon Mobil Corporation (XOM) | 3.3 | $11M | 115k | 91.45 | |
| American Water Works (AWK) | 3.1 | $9.8M | 265k | 37.06 | |
| Flextronics International Ltd Com Stk (FLEX) | 3.0 | $9.6M | 1.6M | 6.00 | |
| Spdr S&p 500 Etf (SPY) | 2.9 | $9.4M | 66k | 142.22 | |
| FX Energy | 2.9 | $9.2M | 1.2M | 7.45 | |
| Trimble Navigation (TRMB) | 2.8 | $9.0M | 189k | 47.66 | |
| Energen Corporation | 2.5 | $8.0M | 153k | 52.41 | |
| Core Laboratories | 2.4 | $7.6M | 63k | 121.48 | |
| Northwest Natural Gas | 2.1 | $6.7M | 136k | 49.24 | |
| Parker-Hannifin Corporation (PH) | 2.0 | $6.5M | 77k | 83.58 | |
| Johnson Controls | 1.7 | $5.6M | 203k | 27.40 | |
| Caterpillar (CAT) | 1.7 | $5.5M | 64k | 86.05 | |
| QEP Resources | 1.7 | $5.5M | 173k | 31.66 | |
| Questar Corporation | 1.6 | $5.0M | 246k | 20.33 | |
| EQT Corporation (EQT) | 1.4 | $4.4M | 74k | 59.00 | |
| Berkshire Hathaway (BRK.B) | 1.3 | $4.2M | 48k | 88.19 | |
| Connecticut Water Service | 1.2 | $3.7M | 116k | 31.90 | |
| Johnson & Johnson (JNJ) | 1.1 | $3.6M | 53k | 68.91 | |
| New Jersey Resources Corporation (NJR) | 1.1 | $3.5M | 76k | 45.72 | |
| Apple (AAPL) | 1.1 | $3.4M | 5.1k | 667.19 | |
| South Jersey Industries | 1.0 | $3.2M | 61k | 52.93 | |
| General Electric Company | 1.0 | $3.1M | 137k | 22.71 | |
| China Ceramics | 0.9 | $2.8M | 1.5M | 1.85 | |
| Chesapeake Utilities Corporation (CPK) | 0.8 | $2.7M | 57k | 47.36 | |
| EnerNOC | 0.8 | $2.6M | 201k | 12.98 | |
| Getty Realty (GTY) | 0.8 | $2.5M | 142k | 17.95 | |
| Vodafone | 0.8 | $2.5M | 88k | 28.50 | |
| Consolidated Edison (ED) | 0.8 | $2.4M | 41k | 59.88 | |
| Hexcel Corporation (HXL) | 0.8 | $2.4M | 100k | 24.02 | |
| SPDR Gold Trust (GLD) | 0.7 | $2.3M | 13k | 171.92 | |
| Jabil Circuit (JBL) | 0.7 | $2.2M | 120k | 18.72 | |
| Himax Technologies (HIMX) | 0.7 | $2.2M | 1.1M | 1.96 | |
| W.R. Berkley Corporation (WRB) | 0.7 | $2.2M | 59k | 37.50 | |
| California Water Service (CWT) | 0.7 | $2.1M | 113k | 18.65 | |
| Microsoft Corporation (MSFT) | 0.6 | $2.0M | 68k | 29.76 | |
| International Business Machines (IBM) | 0.6 | $1.9M | 9.2k | 207.46 | |
| Newmont Mining Corporation (NEM) | 0.6 | $1.8M | 32k | 56.02 | |
| Cenovus Energy (CVE) | 0.5 | $1.7M | 50k | 34.85 | |
| Apache Corporation | 0.5 | $1.6M | 19k | 86.47 | |
| Kroger (KR) | 0.5 | $1.6M | 70k | 23.54 | |
| American Rlty Cap Tr | 0.5 | $1.6M | 140k | 11.74 | |
| Chevron Corporation (CVX) | 0.5 | $1.6M | 13k | 116.57 | |
| Merck & Co (MRK) | 0.5 | $1.6M | 35k | 45.08 | |
| Delta Natural Gas Company | 0.5 | $1.5M | 80k | 19.36 | |
| Solar Senior Capital | 0.5 | $1.5M | 85k | 17.91 | |
| Exterran Partners | 0.5 | $1.5M | 69k | 21.55 | |
| JPMorgan Chase & Co. (JPM) | 0.5 | $1.4M | 36k | 40.48 | |
| Union Pacific Corporation (UNP) | 0.5 | $1.4M | 12k | 118.71 | |
| Vectren Corporation | 0.4 | $1.4M | 50k | 28.59 | |
| Pfizer (PFE) | 0.4 | $1.3M | 54k | 24.85 | |
| Kulicke and Soffa Industries (KLIC) | 0.4 | $1.3M | 129k | 10.40 | |
| Marvell Technology Group | 0.4 | $1.4M | 148k | 9.15 | |
| Procter & Gamble Company (PG) | 0.4 | $1.3M | 18k | 69.34 | |
| iShares MSCI Australia Index Fund (EWA) | 0.4 | $1.2M | 53k | 23.60 | |
| Matador Resources (MTDR) | 0.4 | $1.2M | 116k | 10.39 | |
| BlackRock (BLK) | 0.3 | $1.1M | 6.3k | 178.25 | |
| General Mtrs Co *w exp 07/10/201 | 0.3 | $1.1M | 136k | 8.26 | |
| Exterran Holdings | 0.3 | $1.1M | 54k | 20.28 | |
| Lihua International | 0.3 | $1.1M | 306k | 3.56 | |
| Encana Corp | 0.3 | $1.1M | 48k | 21.91 | |
| Itron (ITRI) | 0.3 | $1.0M | 24k | 43.13 | |
| Kronos Worldwide (KRO) | 0.3 | $1.0M | 69k | 14.93 | |
| Abbott Laboratories (ABT) | 0.3 | $980k | 14k | 68.53 | |
| Southwest Airlines (LUV) | 0.3 | $990k | 113k | 8.78 | |
| Sandstorm Gold (SAND) | 0.3 | $1.0M | 79k | 12.84 | |
| Schlumberger (SLB) | 0.3 | $956k | 13k | 72.36 | |
| Hawaiian Holdings | 0.3 | $961k | 172k | 5.59 | |
| Annaly Capital Management | 0.3 | $938k | 56k | 16.84 | |
| Hartford Financial Services (HIG) | 0.3 | $893k | 46k | 19.44 | |
| Solar Cap (SLRC) | 0.3 | $833k | 36k | 22.93 | |
| BHP Billiton (BHP) | 0.3 | $837k | 12k | 68.61 | |
| Mission West Properties | 0.3 | $825k | 95k | 8.70 | |
| At&t (T) | 0.2 | $808k | 21k | 37.71 | |
| Sigma-Aldrich Corporation | 0.2 | $792k | 11k | 72.01 | |
| RGC Resources (RGCO) | 0.2 | $798k | 44k | 18.05 | |
| Axis Capital Holdings (AXS) | 0.2 | $776k | 22k | 34.93 | |
| Aqua America | 0.2 | $778k | 31k | 24.75 | |
| Taiwan Semiconductor Mfg (TSM) | 0.2 | $707k | 45k | 15.81 | |
| NVIDIA Corporation (NVDA) | 0.2 | $714k | 54k | 13.33 | |
| Freeport-McMoRan Copper & Gold (FCX) | 0.2 | $693k | 18k | 39.58 | |
| ConocoPhillips (COP) | 0.2 | $663k | 12k | 57.20 | |
| J.M. Smucker Company (SJM) | 0.2 | $673k | 7.8k | 86.37 | |
| York Water Company (YORW) | 0.2 | $658k | 36k | 18.34 | |
| Ecolab (ECL) | 0.2 | $632k | 9.8k | 64.81 | |
| Fifth Street Finance | 0.2 | $633k | 58k | 10.98 | |
| iShares Gold Trust | 0.2 | $642k | 37k | 17.26 | |
| Ltx Credence Corporation | 0.2 | $653k | 114k | 5.75 | |
| AGL Resources | 0.2 | $605k | 15k | 40.92 | |
| Dell | 0.2 | $608k | 62k | 9.85 | |
| EMC Corporation | 0.2 | $579k | 21k | 27.27 | |
| Laboratory Corp. of America Holdings | 0.2 | $532k | 5.8k | 92.41 | |
| Colgate-Palmolive Company (CL) | 0.2 | $546k | 5.1k | 107.23 | |
| Kinross Gold Corp (KGC) | 0.2 | $515k | 50k | 10.22 | |
| iShares Lehman 7-10 Yr Treas. Bond (IEF) | 0.2 | $499k | 4.6k | 108.36 | |
| PNC Financial Services (PNC) | 0.1 | $466k | 7.4k | 63.05 | |
| TICC Capital | 0.1 | $470k | 45k | 10.40 | |
| Crexus Investment | 0.1 | $471k | 44k | 10.80 | |
| Emerson Electric (EMR) | 0.1 | $465k | 9.6k | 48.29 | |
| McKesson Corporation (MCK) | 0.1 | $465k | 5.4k | 85.95 | |
| TRW Automotive Holdings | 0.1 | $437k | 10k | 43.70 | |
| Devon Energy Corporation (DVN) | 0.1 | $410k | 6.8k | 60.53 | |
| Kimberly-Clark Corporation (KMB) | 0.1 | $414k | 4.8k | 85.70 | |
| Sealed Air (SEE) | 0.1 | $404k | 26k | 15.44 | |
| Intel Corporation (INTC) | 0.1 | $422k | 19k | 22.65 | |
| Siemens (SIEGY) | 0.1 | $408k | 4.1k | 100.07 | |
| Spectrum Pharmaceuticals | 0.1 | $428k | 37k | 11.70 | |
| Spectranetics Corporation | 0.1 | $433k | 29k | 14.75 | |
| iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) | 0.1 | $403k | 3.8k | 105.83 | |
| Uni-Pixel | 0.1 | $414k | 67k | 6.18 | |
| Walgreen Company | 0.1 | $389k | 11k | 36.42 | |
| Piedmont Natural Gas Company | 0.1 | $383k | 12k | 32.46 | |
| Chimera Investment Corporation | 0.1 | $374k | 138k | 2.71 | |
| Baxter International (BAX) | 0.1 | $338k | 5.6k | 60.27 | |
| China Techfaith Wireless Comm. Tech | 0.1 | $364k | 343k | 1.06 | |
| Intevac (IVAC) | 0.1 | $346k | 57k | 6.11 | |
| Stillwater Mining Company | 0.1 | $368k | 31k | 11.78 | |
| Central Fd Cda Ltd cl a | 0.1 | $351k | 15k | 23.80 | |
| Eldorado Gold Corp | 0.1 | $341k | 22k | 15.23 | |
| Coca-Cola Company (KO) | 0.1 | $326k | 8.6k | 37.91 | |
| Newfield Exploration | 0.1 | $313k | 10k | 31.30 | |
| Pepsi (PEP) | 0.1 | $323k | 4.6k | 70.72 | |
| Philip Morris International (PM) | 0.1 | $323k | 3.6k | 89.97 | |
| athenahealth | 0.1 | $326k | 3.6k | 91.83 | |
| Hercules Offshore | 0.1 | $328k | 67k | 4.87 | |
| BofI Holding | 0.1 | $316k | 12k | 26.03 | |
| Principal Financial (PFG) | 0.1 | $281k | 10k | 26.91 | |
| Bristol Myers Squibb (BMY) | 0.1 | $281k | 8.3k | 33.76 | |
| Novartis (NVS) | 0.1 | $278k | 4.5k | 61.37 | |
| United Technologies Corporation | 0.1 | $274k | 3.5k | 78.15 | |
| Lowe's Companies (LOW) | 0.1 | $290k | 9.6k | 30.21 | |
| Alaska Air (ALK) | 0.1 | $291k | 8.3k | 35.03 | |
| DepoMed | 0.1 | $290k | 49k | 5.90 | |
| Macquarie Infrastructure Company | 0.1 | $290k | 7.0k | 41.43 | |
| Gran Tierra Energy | 0.1 | $276k | 53k | 5.17 | |
| Barrick Gold Corp (GOLD) | 0.1 | $248k | 6.0k | 41.68 | |
| Travelers Companies (TRV) | 0.1 | $246k | 3.6k | 68.31 | |
| Occidental Petroleum Corporation (OXY) | 0.1 | $263k | 3.1k | 86.09 | |
| Oracle Corporation (ORCL) | 0.1 | $265k | 8.4k | 31.44 | |
| Delta Air Lines (DAL) | 0.1 | $247k | 27k | 9.16 | |
| Dana Holding Corporation (DAN) | 0.1 | $246k | 20k | 12.30 | |
| Market Vectors Gold Miners ETF | 0.1 | $268k | 5.0k | 53.60 | |
| iShares IBoxx $ Invest Grade Corp Bd (LQD) | 0.1 | $259k | 2.1k | 121.83 | |
| Pure Cycle Corporation (PCYO) | 0.1 | $247k | 108k | 2.29 | |
| SELECT INCOME REIT COM SH BEN int | 0.1 | $265k | 11k | 24.61 | |
| America Movil Sab De Cv spon adr l | 0.1 | $216k | 8.5k | 25.43 | |
| Two Harbors Investment | 0.1 | $211k | 18k | 11.73 | |
| Plum Creek Timber | 0.1 | $228k | 5.2k | 43.85 | |
| 0.1 | $239k | 317.00 | 753.94 | ||
| Clayton Williams Energy | 0.1 | $224k | 4.3k | 51.85 | |
| Dime Community Bancshares | 0.1 | $210k | 15k | 14.45 | |
| Harvest Natural Resources | 0.1 | $222k | 25k | 8.93 | |
| Plains All American Pipeline (PAA) | 0.1 | $238k | 2.7k | 88.15 | |
| Hldgs (UAL) | 0.1 | $215k | 11k | 19.50 | |
| Hanover Compressor Co note 4.750% 1/1 | 0.1 | $192k | 192k | 1.00 | |
| Perma-Fix Environmental Services | 0.1 | $200k | 193k | 1.04 | |
| Ford Motor Company (F) | 0.1 | $159k | 16k | 9.83 | |
| Ashford Hospitality Trust | 0.1 | $174k | 21k | 8.39 | |
| Huntsman Corporation (HUN) | 0.1 | $149k | 10k | 14.90 | |
| Axcelis Technologies | 0.1 | $158k | 150k | 1.05 | |
| Zix Corporation | 0.0 | $142k | 50k | 2.86 | |
| BioClinica | 0.0 | $128k | 20k | 6.40 | |
| iShares Lehman 3-7 Yr Treasury Bond (IEI) | 0.0 | $118k | 950.00 | 124.21 | |
| PetroQuest Energy | 0.0 | $100k | 15k | 6.68 | |
| BioScrip | 0.0 | $91k | 10k | 9.10 | |
| Exeter Res Corp | 0.0 | $85k | 51k | 1.67 | |
| BlackRock Income Trust | 0.0 | $102k | 13k | 7.66 | |
| iShares Lehman 1-3 Year Treas.Bond (SHY) | 0.0 | $85k | 1.0k | 85.00 | |
| Aurico Gold | 0.0 | $94k | 13k | 7.01 | |
| Best Buy (BBY) | 0.0 | $69k | 63k | 1.10 | |
| Star Bulk Carriers Corp | 0.0 | $65k | 108k | 0.60 | |
| TrustCo Bank Corp NY | 0.0 | $60k | 11k | 5.68 | |
| Cascade Microtech | 0.0 | $57k | 10k | 5.70 | |
| iShares MSCI Taiwan Index | 0.0 | $54k | 4.0k | 13.50 | |
| Magnum Hunter Resources Corporation | 0.0 | $52k | 12k | 4.43 | |
| MoSys | 0.0 | $66k | 16k | 4.04 | |
| Lucas Energy | 0.0 | $59k | 25k | 2.36 | |
| Forest Oil Corporation | 0.0 | $24k | 10k | 2.40 | |
| Dot Hill Systems | 0.0 | $41k | 38k | 1.08 | |
| Sirius XM Radio | 0.0 | $27k | 10k | 2.62 | |
| iShares MSCI Hong Kong Index Fund (EWH) | 0.0 | $46k | 2.6k | 18.03 | |
| Camtek (CAMT) | 0.0 | $23k | 13k | 1.77 | |
| iShares iBoxx $ High Yid Corp Bond (HYG) | 0.0 | $42k | 459.00 | 91.50 | |
| China Gerui Advanced Materials | 0.0 | $48k | 28k | 1.73 | |
| CAMAC Energy | 0.0 | $28k | 59k | 0.47 | |
| Chyron Corporation | 0.0 | $27k | 28k | 0.98 | |
| Albany Intl Corp note 2.250% 3/1 | 0.0 | $12k | 12k | 1.00 | |
| iShares MSCI EAFE Index Fund (EFA) | 0.0 | $3.0k | 50.00 | 60.00 | |
| iShares MSCI Japan Index | 0.0 | $0 | 1.5k | 0.00 | |
| General Motors Company (GM) | 0.0 | $2.0k | 100.00 | 20.00 | |
| iShares MSCI Germany Index Fund (EWG) | 0.0 | $7.0k | 300.00 | 23.33 | |
| iShares S&P AMT-Fr Mncpl Bnd (NYF) | 0.0 | $11k | 100.00 | 110.00 | |
| China Ceramics Co Ltd *w exp 11/16/201 | 0.0 | $0 | 11k | 0.00 | |
| Advanced Photonix | 0.0 | $10k | 17k | 0.59 |
