Clear Harbor Asset Management

Clear Harbor Asset Management as of Sept. 30, 2013

Portfolio Holdings for Clear Harbor Asset Management

Clear Harbor Asset Management holds 205 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Roper Industries (ROP) 13.5 $50M 379k 132.87
Pioneer Natural Resources 5.6 $21M 112k 188.80
Energen Corporation 3.1 $12M 150k 76.39
Core Laboratories 3.0 $11M 65k 169.21
American Water Works (AWK) 2.9 $11M 266k 41.28
Northern Oil & Gas 2.9 $11M 744k 14.43
Flextronics International Ltd Com Stk (FLEX) 2.9 $11M 1.2M 9.09
Trimble Navigation (TRMB) 2.8 $11M 353k 29.71
Exxon Mobil Corporation (XOM) 2.5 $9.5M 110k 86.04
Parker-Hannifin Corporation (PH) 2.5 $9.2M 84k 108.73
Johnson Controls 2.2 $8.3M 201k 41.50
EQT Corporation (EQT) 1.7 $6.3M 71k 88.72
Hartford Financial Services (HIG) 1.6 $6.2M 198k 31.12
Apache Corporation 1.6 $6.0M 70k 85.14
Berkshire Hathaway (BRK.B) 1.5 $5.7M 50k 113.51
Apple (AAPL) 1.5 $5.6M 12k 476.72
Questar Corporation 1.5 $5.5M 246k 22.49
Northwest Natural Gas 1.5 $5.5M 132k 41.98
China Ceramics 1.4 $5.3M 1.6M 3.34
Caterpillar (CAT) 1.4 $5.1M 62k 83.40
QEP Resources 1.2 $4.6M 168k 27.69
Johnson & Johnson (JNJ) 1.2 $4.4M 50k 86.68
Connecticut Water Service 1.1 $4.2M 131k 32.16
FX Energy 1.1 $4.1M 1.2M 3.43
New Jersey Resources Corporation (NJR) 1.1 $4.0M 91k 44.05
Uni-Pixel 1.0 $3.9M 218k 17.72
Microsoft Corporation (MSFT) 1.0 $3.8M 113k 33.28
Arthur J. Gallagher & Co. (AJG) 1.0 $3.8M 87k 43.65
South Jersey Industries 1.0 $3.7M 63k 58.59
Hexcel Corporation (HXL) 1.0 $3.6M 94k 38.80
EnerNOC 0.9 $3.5M 232k 14.98
General Electric Company 0.9 $3.2M 135k 23.89
Chesapeake Utilities Corporation (CPK) 0.8 $3.1M 59k 52.49
Direxion Shs Etf Tr 0.8 $3.0M 131k 23.00
Occidental Petroleum Corporation (OXY) 0.8 $3.0M 32k 93.55
Getty Realty (GTY) 0.7 $2.7M 138k 19.43
Vodafone 0.6 $2.4M 67k 35.19
Consolidated Edison (ED) 0.6 $2.2M 40k 55.15
California Water Service (CWT) 0.6 $2.2M 108k 20.32
Solar Senior Capital 0.6 $2.2M 119k 18.08
Jabil Circuit (JBL) 0.6 $2.1M 99k 21.68
Energy Xxi 0.6 $2.1M 68k 30.21
Union Pacific Corporation (UNP) 0.5 $1.9M 12k 155.35
International Business Machines (IBM) 0.5 $1.8M 9.9k 185.16
Exterran Partners 0.5 $1.8M 63k 29.08
Matador Resources (MTDR) 0.5 $1.8M 113k 16.33
Merck & Co (MRK) 0.5 $1.8M 38k 47.61
W&T Offshore (WTI) 0.5 $1.8M 102k 17.72
Two Harbors Investment 0.5 $1.7M 179k 9.71
Hatteras Financial 0.5 $1.7M 91k 18.71
Odyssey Marine Exploration 0.5 $1.7M 573k 3.00
Titan International (TWI) 0.4 $1.6M 111k 14.64
Exterran Holdings 0.4 $1.6M 57k 27.57
Aetna 0.4 $1.6M 25k 64.02
Axis Capital Holdings (AXS) 0.4 $1.5M 35k 43.31
Seagate Technology Com Stk 0.4 $1.5M 34k 43.75
CF Industries Holdings (CF) 0.4 $1.4M 6.5k 210.77
Vectren Corporation 0.4 $1.4M 42k 33.35
Cenovus Energy (CVE) 0.4 $1.4M 46k 29.85
Procter & Gamble Company (PG) 0.4 $1.4M 18k 75.60
SPDR Gold Trust (GLD) 0.3 $1.3M 10k 128.21
Chevron Corporation (CVX) 0.3 $1.2M 10k 121.46
Vivus 0.3 $1.2M 129k 9.30
SELECT INCOME REIT COM SH BEN int 0.3 $1.1M 44k 25.79
Schlumberger (SLB) 0.3 $1.1M 12k 88.34
Itron (ITRI) 0.3 $1.0M 24k 42.83
Ecolab (ECL) 0.3 $967k 9.8k 98.73
Pfizer (PFE) 0.3 $960k 33k 28.72
Solar Cap (SLRC) 0.2 $932k 42k 22.17
Aqua America 0.2 $944k 38k 24.73
Mosaic (MOS) 0.2 $919k 21k 43.02
Xerox Corporation 0.2 $909k 88k 10.30
MFA Mortgage Investments 0.2 $899k 121k 7.45
Oxford Lane Cap Corp (OXLC) 0.2 $898k 59k 15.33
Trade Str Residential 0.2 $908k 131k 6.96
Laboratory Corp. of America Holdings 0.2 $870k 8.8k 99.13
ConocoPhillips (COP) 0.2 $866k 13k 69.48
Lihua International 0.2 $816k 164k 4.98
WisdomTree Japan Total Dividend (DXJ) 0.2 $839k 18k 47.93
General Mtrs Co *w exp 07/10/201 0.2 $839k 45k 18.60
Kroger (KR) 0.2 $733k 18k 40.33
York Water Company (YORW) 0.2 $743k 37k 20.07
UnitedHealth (UNH) 0.2 $716k 10k 71.60
J.M. Smucker Company (SJM) 0.2 $728k 6.9k 105.02
BHP Billiton (BHP) 0.2 $725k 11k 66.51
Taiwan Semiconductor Mfg (TSM) 0.2 $691k 41k 16.97
McKesson Corporation (MCK) 0.2 $690k 5.4k 128.25
Lowe's Companies (LOW) 0.2 $655k 14k 47.64
Intevac (IVAC) 0.2 $680k 116k 5.86
Powershares Senior Loan Portfo mf 0.2 $674k 27k 24.68
Newmont Mining Corporation (NEM) 0.2 $644k 23k 28.10
Newfield Exploration 0.2 $620k 23k 27.37
PNC Financial Services (PNC) 0.2 $582k 8.0k 72.39
Emerson Electric (EMR) 0.2 $614k 9.5k 64.71
Walgreen Company 0.2 $611k 11k 53.84
TICC Capital 0.2 $592k 61k 9.75
AGL Resources 0.1 $573k 13k 46.01
Colgate-Palmolive Company (CL) 0.1 $562k 9.5k 59.26
Clayton Williams Energy 0.1 $562k 11k 52.45
iShares Lehman 7-10 Yr Treas. Bond (IEF) 0.1 $572k 5.6k 102.05
Abbvie (ABBV) 0.1 $542k 12k 44.76
Himax Technologies (HIMX) 0.1 $526k 52k 10.04
V.F. Corporation (VFC) 0.1 $515k 2.6k 199.15
Abb (ABBNY) 0.1 $528k 22k 23.60
iShares Gold Trust 0.1 $537k 42k 12.88
Fifth Street Finance 0.1 $483k 47k 10.29
Rambus (RMBS) 0.1 $470k 50k 9.40
Spectranetics Corporation 0.1 $489k 29k 16.80
Pure Cycle Corporation (PCYO) 0.1 $498k 108k 4.62
Principal Financial (PFG) 0.1 $447k 10k 42.80
At&t (T) 0.1 $442k 13k 33.86
Kimberly-Clark Corporation (KMB) 0.1 $432k 4.6k 94.30
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.1 $437k 4.1k 105.35
General Motors Company (GM) 0.1 $455k 14k 33.33
Sandstorm Gold (SAND) 0.1 $446k 82k 5.42
Bank of America Corporation (BAC) 0.1 $406k 29k 13.82
Abbott Laboratories (ABT) 0.1 $401k 12k 33.18
Intel Corporation (INTC) 0.1 $405k 18k 22.94
United Technologies Corporation 0.1 $410k 3.8k 107.78
Piedmont Natural Gas Company 0.1 $408k 12k 32.90
iShares Barclays 20+ Yr Treas.Bond (TLT) 0.1 $404k 3.8k 106.32
Coca-Cola Company (KO) 0.1 $366k 9.7k 37.90
Bristol Myers Squibb (BMY) 0.1 $389k 8.4k 46.32
Pepsi (PEP) 0.1 $386k 4.9k 79.57
EMC Corporation 0.1 $365k 14k 25.55
Google 0.1 $371k 423.00 877.07
Oracle Corporation (ORCL) 0.1 $392k 12k 33.15
athenahealth 0.1 $385k 3.6k 108.45
BofI Holding 0.1 $379k 5.8k 64.90
Novartis (NVS) 0.1 $347k 4.5k 76.60
China Techfaith Wireless Comm. Tech 0.1 $321k 223k 1.44
Hawaiian Holdings 0.1 $318k 43k 7.45
Macquarie Infrastructure Company 0.1 $321k 6.0k 53.50
Stillwater Mining Company 0.1 $344k 31k 11.01
Comstock Resources 0.1 $348k 22k 15.89
iShares IBoxx $ Invest Grade Corp Bd (LQD) 0.1 $347k 3.1k 113.55
Proshares Tr Ii ultsh dj ubs cru 0.1 $338k 11k 30.21
Wisdomtree Asia Local Debt etf us 0.1 $330k 6.8k 48.42
Cui Global 0.1 $319k 55k 5.76
Eqt Midstream Partners 0.1 $330k 6.7k 49.25
Ipath S&p 500 Vix Short Term F 0.1 $325k 22k 14.69
Philip Morris International (PM) 0.1 $311k 3.6k 86.63
ValueClick 0.1 $292k 14k 20.86
Plains All American Pipeline (PAA) 0.1 $284k 5.4k 52.59
Orbotech Ltd Com Stk 0.1 $294k 25k 12.00
BlackRock Income Trust 0.1 $316k 47k 6.68
Plum Creek Timber 0.1 $244k 5.2k 46.92
Terex Corporation (TEX) 0.1 $254k 7.6k 33.60
Express Scripts Holding 0.1 $280k 4.5k 61.85
Eaton (ETN) 0.1 $255k 3.7k 68.92
JPMorgan Chase & Co. (JPM) 0.1 $217k 4.2k 51.72
Home Depot (HD) 0.1 $213k 2.8k 75.75
Autodesk (ADSK) 0.1 $235k 5.7k 41.19
Amgen (AMGN) 0.1 $223k 2.0k 111.95
Anadarko Petroleum Corporation 0.1 $213k 2.3k 93.01
Stericycle (SRCL) 0.1 $231k 2.0k 115.50
Dime Community Bancshares 0.1 $242k 15k 16.65
Central Fd Cda Ltd cl a 0.1 $206k 14k 14.71
Ltx Credence Corporation 0.1 $208k 32k 6.59
SPDR Barclay Cp Intr Trm Cr Bd (SPIB) 0.1 $231k 6.8k 33.75
USD.001 Atlas Energy Lp ltd part 0.1 $232k 4.3k 54.59
Nts Inc Nev 0.1 $224k 143k 1.57
Barrick Gold Corp (GOLD) 0.1 $199k 11k 18.62
Market Vectors Gold Miners ETF 0.1 $205k 8.2k 25.00
Paragon Shipping Inc cl a 0.1 $173k 30k 5.77
BioScrip 0.0 $132k 15k 8.80
Perma-Fix Environmental Services 0.0 $136k 186k 0.73
iShares Lehman 3-7 Yr Treasury Bond (IEI) 0.0 $148k 1.2k 121.31
BlackRock Credit All Inc Trust IV (BTZ) 0.0 $135k 10k 13.03
Nuveen NY Municipal Value (NNY) 0.0 $140k 16k 8.95
Dht Holdings (DHT) 0.0 $153k 35k 4.37
Professional Diversity Net I 0.0 $162k 35k 4.62
Ford Motor Company (F) 0.0 $115k 29k 4.00
WisdomTree Dreyfus NZ Dollar Fund 0.0 $116k 5.6k 20.57
Nuveen Conn Prem Income Mun sh ben int 0.0 $125k 10k 11.96
Alteva 0.0 $126k 16k 7.75
Arena Pharmaceuticals 0.0 $79k 15k 5.27
Spectrum Pharmaceuticals 0.0 $84k 10k 8.34
iShares iBoxx $ High Yid Corp Bond (HYG) 0.0 $88k 964.00 91.29
Magnum Hunter Resources Corporation 0.0 $72k 12k 6.14
Teekay Tankers Ltd cl a 0.0 $67k 26k 2.63
iShares Lehman 1-3 Year Treas.Bond (SHY) 0.0 $87k 1.0k 84.47
Shares Tr Ii Vix Mdtrm Futr Ad 0.0 $69k 3.0k 23.00
Blackberry (BB) 0.0 $80k 10k 8.00
Dot Hill Systems 0.0 $28k 13k 2.11
PetroQuest Energy 0.0 $52k 13k 4.00
Sirius XM Radio 0.0 $40k 10k 3.88
Digirad Corporation 0.0 $25k 10k 2.50
Exeter Res Corp 0.0 $29k 36k 0.80
American DG Energy 0.0 $35k 22k 1.59
Camtek (CAMT) 0.0 $26k 16k 1.68
iShares MSCI EAFE Value Index (EFV) 0.0 $46k 850.00 54.12
China Gerui Advanced Materials 0.0 $42k 27k 1.56
Crossroads Systems 0.0 $27k 33k 0.83
Chyronhego 0.0 $42k 28k 1.53
Mediabistro 0.0 $30k 20k 1.48
Forest Oil Corporation 0.0 $0 40k 0.00
iShares MSCI EAFE Index Fund (EFA) 0.0 $3.0k 50.00 60.00
iShares Russell 2000 Index (IWM) 0.0 $0 3.0k 0.00
Diamond Foods 0.0 $12k 40k 0.30
Bank Of America Corporation warrant 0.0 $2.0k 300.00 6.67
iShares S&P AMT-Fr Mncpl Bnd (NYF) 0.0 $10k 100.00 100.00
WisdomTree Pacific ex-Japan Eq 0.0 $7.0k 115.00 60.87
Advanced Photonix 0.0 $9.0k 17k 0.53
Wisdomtree Tr................... wsdm emktbd (EMCB) 0.0 $13k 175.00 74.29