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 |
Agrofresh Solutions Warrants Exp 07/31/20 | *W EXP 07/31/202 | 00856G117 | 0 | 6,350 | SH | OTR | 6,350 | 0 | 0 | ||
Agrofresh Solutions Warrants Exp 07/31/20 | *W EXP 07/31/202 | 00856G117 | 0 | 58,891 | SH | SOLE | 55,191 | 0 | 3,200 | ||
Alibaba Group ADR | SPONSORED ADS | 01609W102 | 3,291 | 19,680 | SH | SOLE | 19,680 | 0 | 0 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 280 | 229 | SH | OTR | 229 | 0 | 0 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 3,573 | 2,926 | SH | SOLE | 2,724 | 0 | 182 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 79 | 65 | SH | OTR | 65 | 0 | 0 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 820 | 673 | SH | SOLE | 578 | 0 | 85 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 252 | 16,600 | SH | OTR | 16,600 | 0 | 0 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 3,341 | 220,390 | SH | SOLE | 207,190 | 0 | 12,200 | ||
American Express Co. | COM | 025816109 | 331 | 2,800 | SH | OTR | 2,800 | 0 | 0 | ||
American Express Co. | COM | 025816109 | 3,830 | 32,385 | SH | SOLE | 30,110 | 0 | 1,875 | ||
Appian Corp | CL A | 03782L101 | 267 | 5,625 | SH | SOLE | 3,125 | 0 | 2,500 | ||
Apple | COM | 037833100 | 793 | 3,540 | SH | SOLE | 3,540 | 0 | 0 | ||
Arch Capital Group Ltd | ORD | G0450A105 | 1,004 | 23,910 | SH | SOLE | 20,910 | 0 | 3,000 | ||
AT&T | COM | 00206R102 | 317 | 8,387 | SH | SOLE | 1,200 | 0 | 7,187 | ||
Baozun Inc | SPONSORED ADR | 06684L103 | 427 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
Baxter International | COM | 071813109 | 4 | 50 | SH | OTR | 50 | 0 | 0 | ||
Baxter International | COM | 071813109 | 1,493 | 17,025 | SH | SOLE | 16,500 | 0 | 425 | ||
Blackstone Group LP | COM CL A | 09260D107 | 147 | 3,000 | SH | OTR | 3,000 | 0 | 0 | ||
Blackstone Group LP | COM CL A | 09260D107 | 4,877 | 99,856 | SH | SOLE | 94,196 | 0 | 4,625 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 291 | 7,975 | SH | OTR | 7,975 | 0 | 0 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 3,140 | 86,100 | SH | SOLE | 80,600 | 0 | 5,225 | ||
Boeing | COM | 097023105 | 4,400 | 11,564 | SH | SOLE | 11,564 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 105 | 6,350 | SH | OTR | 6,350 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 1,322 | 79,860 | SH | SOLE | 72,960 | 0 | 6,300 | ||
Bristol-Myers Squibb | COM | 110122108 | 77 | 1,525 | SH | OTR | 1,525 | 0 | 0 | ||
Bristol-Myers Squibb | COM | 110122108 | 951 | 18,748 | SH | SOLE | 14,693 | 0 | 3,630 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 366 | 6,887 | SH | OTR | 6,887 | 0 | 0 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 5,984 | 112,708 | SH | SOLE | 105,313 | 0 | 6,795 | ||
Brookfield Real Assets I | SHS BEN INT | 112830104 | 300 | 13,300 | SH | SOLE | 13,300 | 0 | 0 | ||
Brookfield Renewable LP | PARTNERSHIP UNIT | G16258108 | 874 | 21,510 | SH | SOLE | 17,910 | 0 | 3,600 | ||
Canadian National Railway Co. | COM | 136375102 | 90 | 1,000 | SH | OTR | 1,000 | 0 | 0 | ||
Canadian National Railway Co. | COM | 136375102 | 1,734 | 19,300 | SH | SOLE | 19,300 | 0 | 0 | ||
Centurylink Inc | COM | 156700106 | 1 | 71 | SH | OTR | 71 | 0 | 0 | ||
Centurylink Inc | COM | 156700106 | 342 | 27,420 | SH | SOLE | 27,270 | 0 | 150 | ||
Cerner Corp | COM | 156782104 | 353 | 5,170 | SH | SOLE | 3,170 | 0 | 2,000 | ||
Chevron Corp. | COM | 166764100 | 392 | 3,306 | SH | OTR | 3,306 | 0 | 0 | ||
Chevron Corp. | COM | 166764100 | 2,034 | 17,152 | SH | SOLE | 15,010 | 0 | 1,758 | ||
Cisco Systems | COM | 17275R102 | 2,549 | 51,590 | SH | SOLE | 51,590 | 0 | 0 | ||
Colgate-Palmolive Co | COM | 194162103 | 659 | 8,960 | SH | SOLE | 1,460 | 0 | 5,900 | ||
Comcast Corporation Class A | CL A | 20030N101 | 145 | 3,225 | SH | OTR | 3,225 | 0 | 0 | ||
Comcast Corporation Class A | CL A | 20030N101 | 3,312 | 73,470 | SH | SOLE | 62,120 | 0 | 10,975 | ||
Consolidated Edison | COM | 209115104 | 47 | 500 | SH | OTR | 500 | 0 | 0 | ||
Consolidated Edison | COM | 209115104 | 704 | 7,450 | SH | SOLE | 6,950 | 0 | 300 | ||
Crowdstrike HLDGS Inc | CL A | 22788C105 | 212 | 3,635 | SH | SOLE | 2,335 | 0 | 1,300 | ||
Devon Energy Corp | COM | 25179M103 | 3 | 125 | SH | OTR | 125 | 0 | 0 | ||
Devon Energy Corp | COM | 25179M103 | 384 | 15,975 | SH | SOLE | 15,000 | 0 | 975 | ||
Doubleline Income Soluti | COM | 258622109 | 275 | 13,800 | SH | SOLE | 13,800 | 0 | 0 | ||
Doubleline Opportunistic | COM | 258623107 | 306 | 14,765 | SH | SOLE | 14,765 | 0 | 0 | ||
Dover Corporation | COM | 260003108 | 90 | 900 | SH | OTR | 900 | 0 | 0 | ||
Dover Corporation | COM | 260003108 | 473 | 4,750 | SH | SOLE | 4,050 | 0 | 700 | ||
Enbridge Inc | COM | 29250N105 | 30 | 846 | SH | OTR | 846 | 0 | 0 | ||
Enbridge Inc | COM | 29250N105 | 1,007 | 28,709 | SH | SOLE | 25,455 | 0 | 3,058 | ||
Estre Ambiental Inc WTS | *W EXP 12/21/202 | G3206V118 | 0 | 1,450 | SH | OTR | 1,450 | 0 | 0 | ||
Estre Ambiental Inc WTS | *W EXP 12/21/202 | G3206V118 | 0 | 12,036 | SH | SOLE | 11,376 | 0 | 660 | ||
ExxonMobil Corp | COM | 30231G102 | 645 | 9,136 | SH | SOLE | 5,806 | 0 | 3,000 | ||
GTT Communications Inc | COM | 362393100 | 447 | 47,450 | SH | SOLE | 2,450 | 0 | 45,000 | ||
Guardant Health Inc | COM | 40131M109 | 488 | 7,650 | SH | OTR | 7,650 | 0 | 0 | ||
Guardant Health Inc | COM | 40131M109 | 6,687 | 104,765 | SH | SOLE | 94,790 | 0 | 9,325 | ||
Home Depot | COM | 437076102 | 162 | 700 | SH | OTR | 700 | 0 | 0 | ||
Home Depot | COM | 437076102 | 6,535 | 28,165 | SH | SOLE | 24,765 | 0 | 3,400 | ||
Honeywell Intl Inc | COM | 438516106 | 527 | 3,114 | SH | SOLE | 3,114 | 0 | 0 | ||
iShares MSCI Global Impact ETF IV | MSCI GLOBAL IMP | 46435G532 | 390 | 6,685 | SH | SOLE | 6,685 | 0 | 0 | ||
iShares MSCI KLD 400 Social Indx ETF | MSCI KLD400 SOC | 464288570 | 431 | 3,890 | SH | SOLE | 3,890 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 285 | 2,200 | SH | OTR | 2,200 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 1,922 | 14,859 | SH | SOLE | 14,409 | 0 | 450 | ||
JPMorgan Chase & Co | COM | 46625H100 | 261 | 2,218 | SH | OTR | 2,218 | 0 | 0 | ||
JPMorgan Chase & Co | COM | 46625H100 | 5,654 | 48,044 | SH | SOLE | 47,944 | 0 | 0 | ||
Laboratory Corp Of America Holdings | COM NEW | 50540R409 | 232 | 1,380 | SH | SOLE | 1,380 | 0 | 0 | ||
Markel Corp. | COM | 570535104 | 319 | 270 | SH | OTR | 270 | 0 | 0 | ||
Markel Corp. | COM | 570535104 | 3,021 | 2,556 | SH | SOLE | 2,251 | 0 | 285 | ||
Marriott Vacations | COM | 57164Y107 | 91 | 875 | SH | OTR | 875 | 0 | 0 | ||
Marriott Vacations | COM | 57164Y107 | 1,038 | 9,975 | SH | SOLE | 6,975 | 0 | 3,000 | ||
Martin Marietta Matr | COM | 573284106 | 329 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
Mastercard Inc-Class A | CL A | 57636Q104 | 272 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
Matador Resources Co | COM | 576485205 | 514 | 31,100 | SH | SOLE | 31,100 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 533 | 6,290 | SH | OTR | 6,290 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 6,268 | 73,980 | SH | SOLE | 68,100 | 0 | 5,334 | ||
Microsoft Corp. | COM | 594918104 | 1,220 | 8,775 | SH | OTR | 8,775 | 0 | 0 | ||
Microsoft Corp. | COM | 594918104 | 10,688 | 76,873 | SH | SOLE | 68,538 | 0 | 7,560 | ||
Nextera Energy Inc | COM | 65339F101 | 130 | 560 | SH | OTR | 560 | 0 | 0 | ||
Nextera Energy Inc | COM | 65339F101 | 961 | 4,125 | SH | SOLE | 4,125 | 0 | 0 | ||
Novocure LTD NPV | ORD SHS | G6674U108 | 374 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Nuveen Credit Strategies | COM SHS | 67073D102 | 109 | 14,400 | SH | SOLE | 14,400 | 0 | 0 | ||
Obsidian Energy LTD NPV | COM | 674482203 | 273 | 327,675 | SH | SOLE | 184,818 | 0 | 142,857 | ||
Oneok Inc | COM | 682680103 | 294 | 3,986 | SH | OTR | 3,986 | 0 | 0 | ||
Oneok Inc | COM | 682680103 | 1,279 | 17,361 | SH | SOLE | 17,361 | 0 | 0 | ||
Paypal Holdings Inc | COM | 70450Y103 | 228 | 2,200 | SH | SOLE | 1,000 | 0 | 1,200 | ||
Philip Morris International, Inc. | COM | 718172109 | 96 | 1,250 | SH | OTR | 1,250 | 0 | 0 | ||
Philip Morris International, Inc. | COM | 718172109 | 1,016 | 13,183 | SH | SOLE | 11,953 | 0 | 1,130 | ||
Procter & Gamble | COM | 742718109 | 62 | 495 | SH | OTR | 495 | 0 | 0 | ||
Procter & Gamble | COM | 742718109 | 422 | 3,390 | SH | SOLE | 3,390 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 275 | 3,600 | SH | OTR | 3,600 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 3,845 | 50,400 | SH | SOLE | 48,900 | 0 | 1,300 | ||
Roku Inc CL A | COM CL A | 77543R102 | 250 | 2,455 | SH | SOLE | 1,105 | 0 | 1,350 | ||
Saba Cef ETF | SABA INT RATE | 30151E806 | 1,196 | 59,625 | SH | SOLE | 59,625 | 0 | 0 | ||
Sandridge Mississippi LP | SH BEN INT | 80007V106 | 12 | 24,800 | SH | SOLE | 24,800 | 0 | 0 | ||
Sandridge Mississippi LP | UNIT BEN INT | 80007T101 | 21 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
Schlumberger Ltd. | COM | 806857108 | 112 | 3,225 | SH | OTR | 3,225 | 0 | 0 | ||
Schlumberger Ltd. | COM | 806857108 | 2,220 | 64,025 | SH | SOLE | 61,500 | 0 | 2,150 | ||
Silicon Laboratories | COM | 826919102 | 223 | 2,000 | SH | SOLE | 1,000 | 0 | 1,000 | ||
Stmicroelectronics F Sponsored ADR | NY REGISTRY | 861012102 | 750 | 38,778 | SH | SOLE | 38,778 | 0 | 0 | ||
Stoneco LTD | COM CL A | G85158106 | 718 | 20,650 | SH | SOLE | 20,650 | 0 | 0 | ||
Sunrun Inc. | COM | 86771W105 | 195 | 11,700 | SH | SOLE | 5,200 | 0 | 6,500 | ||
Teladoc Inc | COM | 87918A105 | 261 | 3,850 | SH | SOLE | 2,350 | 0 | 1,500 | ||
Teradyne Inc | COM | 880770102 | 308 | 5,325 | SH | OTR | 5,325 | 0 | 0 | ||
Teradyne Inc | COM | 880770102 | 4,996 | 86,275 | SH | SOLE | 78,050 | 0 | 7,625 | ||
Teva pharmaceutical Industries | SPONSORED ADS | 881624209 | 226 | 32,800 | SH | SOLE | 32,800 | 0 | 0 | ||
Union Pacific Corp. | COM | 907818108 | 559 | 3,450 | SH | OTR | 3,450 | 0 | 0 | ||
Union Pacific Corp. | COM | 907818108 | 4,926 | 30,410 | SH | SOLE | 30,410 | 0 | 0 | ||
Vaneck Vectors Green Bond ETF | GREEN BD ETF | 92189F171 | 220 | 8,250 | SH | SOLE | 8,250 | 0 | 0 | ||
Verizon | COM | 92343V104 | 12 | 200 | SH | OTR | 200 | 0 | 0 | ||
Verizon | COM | 92343V104 | 579 | 9,587 | SH | SOLE | 6,358 | 0 | 2,615 | ||
Visa Inc | COM CL A | 92826C839 | 206 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
Wayfair Inc- Class A | CL A | 94419L101 | 240 | 2,140 | SH | OTR | 2,140 | 0 | 0 | ||
Wayfair Inc- Class A | CL A | 94419L101 | 2,224 | 19,840 | SH | SOLE | 19,060 | 0 | 535 | ||
Wells Fargo & Co. | COM | 949746101 | 353 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 264 | 9,525 | SH | OTR | 9,525 | 0 | 0 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 4,052 | 146,275 | SH | SOLE | 138,225 | 0 | 7,000 | ||
Wipro LTD Inr 2.0 ADR | SPON ADR 1 SH | 97651M109 | 292 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Woodward, Inc. | COM | 980745103 | 658 | 6,100 | SH | OTR | 6,100 | 0 | 0 | ||
Woodward, Inc. | COM | 980745103 | 8,072 | 74,855 | SH | SOLE | 70,995 | 0 | 3,460 | ||
Yum China HLDGS Inc Usd 0.01 | COM | 98850P109 | 409 | 9,000 | SH | SOLE | 9,000 | 0 | 0 |