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 | 3,040 | 14,335 | SH | SOLE | 14,335 | 0 | 0 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 307 | 229 | SH | OTR | 229 | 0 | 0 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 3,902 | 2,913 | SH | SOLE | 2,711 | 0 | 182 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 87 | 65 | SH | OTR | 65 | 0 | 0 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 897 | 671 | SH | SOLE | 576 | 0 | 85 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 356 | 16,600 | SH | OTR | 16,600 | 0 | 0 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 4,299 | 200,515 | SH | SOLE | 187,315 | 0 | 12,200 | ||
American Express Co. | COM | 025816109 | 349 | 2,800 | SH | OTR | 2,800 | 0 | 0 | ||
American Express Co. | COM | 025816109 | 3,997 | 32,110 | SH | SOLE | 29,985 | 0 | 1,875 | ||
Appian Corp | CL A | 03782L101 | 204 | 5,350 | SH | SOLE | 2,350 | 0 | 3,000 | ||
Apple | COM | 037833100 | 1,023 | 3,485 | SH | SOLE | 3,485 | 0 | 0 | ||
Arch Capital Group Ltd | ORD | G0450A105 | 1,021 | 23,810 | SH | SOLE | 20,810 | 0 | 3,000 | ||
AT&T | COM | 00206R102 | 328 | 8,387 | SH | SOLE | 1,200 | 0 | 7,187 | ||
Baxter International | COM | 071813109 | 4 | 50 | SH | OTR | 50 | 0 | 0 | ||
Baxter International | COM | 071813109 | 1,424 | 16,990 | SH | SOLE | 16,465 | 0 | 425 | ||
Biogen Inc | COM | 09062X103 | 237 | 800 | SH | SOLE | 800 | 0 | 0 | ||
Blackstone Group Inc Com Usd0.00001 Class A | COM CL A | 09260D107 | 168 | 3,000 | SH | OTR | 3,000 | 0 | 0 | ||
Blackstone Group Inc Com Usd0.00001 Class A | COM CL A | 09260D107 | 5,459 | 97,581 | SH | SOLE | 92,956 | 0 | 4,175 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 302 | 7,975 | SH | OTR | 7,975 | 0 | 0 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 3,312 | 87,525 | SH | SOLE | 82,300 | 0 | 5,225 | ||
Boeing | COM | 097023105 | 3,767 | 11,564 | SH | SOLE | 11,564 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 58 | 3,450 | SH | OTR | 3,450 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 862 | 51,360 | SH | SOLE | 49,435 | 0 | 1,925 | ||
Bristol-Myers Squibb | COM | 110122108 | 98 | 1,525 | SH | OTR | 1,525 | 0 | 0 | ||
Bristol-Myers Squibb | COM | 110122108 | 1,192 | 18,573 | SH | SOLE | 14,518 | 0 | 3,630 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 398 | 6,887 | SH | OTR | 6,887 | 0 | 0 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 6,528 | 112,939 | SH | SOLE | 105,544 | 0 | 6,795 | ||
Brookfield Real Assets I | SHS BEN INT | 112830104 | 284 | 13,300 | SH | SOLE | 13,300 | 0 | 0 | ||
Brookfield Renewable LP | PARTNERSHIP UNIT | G16258108 | 863 | 18,510 | SH | SOLE | 17,910 | 0 | 600 | ||
Canadian National Railway Co. | COM | 136375102 | 90 | 1,000 | SH | OTR | 1,000 | 0 | 0 | ||
Canadian National Railway Co. | COM | 136375102 | 1,737 | 19,200 | SH | SOLE | 19,200 | 0 | 0 | ||
Centurylink Inc | COM | 156700106 | 1 | 71 | SH | OTR | 71 | 0 | 0 | ||
Centurylink Inc | COM | 156700106 | 360 | 27,220 | SH | SOLE | 27,070 | 0 | 150 | ||
Cerner Corp | COM | 156782104 | 339 | 4,610 | SH | SOLE | 2,610 | 0 | 2,000 | ||
Chevron Corp. | COM | 166764100 | 398 | 3,306 | SH | OTR | 3,306 | 0 | 0 | ||
Chevron Corp. | COM | 166764100 | 2,001 | 16,603 | SH | SOLE | 14,845 | 0 | 1,450 | ||
Cisco Systems | COM | 17275R102 | 2,474 | 51,590 | SH | SOLE | 51,590 | 0 | 0 | ||
Colgate-Palmolive Co | COM | 194162103 | 617 | 8,960 | SH | SOLE | 1,460 | 0 | 5,900 | ||
Comcast Corporation | CL A | 20030N101 | 257 | 5,725 | SH | OTR | 5,725 | 0 | 0 | ||
Comcast Corporation | CL A | 20030N101 | 4,128 | 91,795 | SH | SOLE | 78,445 | 0 | 12,975 | ||
Consolidated Edison | COM | 209115104 | 45 | 500 | SH | OTR | 500 | 0 | 0 | ||
Consolidated Edison | COM | 209115104 | 665 | 7,350 | SH | SOLE | 6,950 | 0 | 300 | ||
Crowdstrike HLDGS Inc | CL A | 22788C105 | 237 | 4,760 | SH | SOLE | 2,260 | 0 | 2,500 | ||
Devon Energy Corp | COM | 25179M103 | 3 | 125 | SH | OTR | 125 | 0 | 0 | ||
Devon Energy Corp | COM | 25179M103 | 412 | 15,850 | SH | SOLE | 14,875 | 0 | 975 | ||
Doubleline Income Soluti | COM | 258622109 | 273 | 13,800 | SH | SOLE | 13,800 | 0 | 0 | ||
Doubleline Opportunistic | COM | 258623107 | 325 | 15,765 | SH | SOLE | 15,765 | 0 | 0 | ||
Dover Corporation | COM | 260003108 | 104 | 900 | SH | OTR | 900 | 0 | 0 | ||
Dover Corporation | COM | 260003108 | 547 | 4,750 | SH | SOLE | 4,050 | 0 | 700 | ||
Enbridge Inc | COM | 29250N105 | 34 | 846 | SH | OTR | 846 | 0 | 0 | ||
Enbridge Inc | COM | 29250N105 | 1,142 | 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 | 638 | 9,136 | SH | SOLE | 5,806 | 0 | 3,000 | ||
GTT Communications Inc | COM | 362393100 | 596 | 52,550 | SH | SOLE | 350 | 0 | 52,200 | ||
Guardant Health Inc | COM | 40131M109 | 598 | 7,650 | SH | OTR | 7,650 | 0 | 0 | ||
Guardant Health Inc | COM | 40131M109 | 8,368 | 107,085 | SH | SOLE | 97,035 | 0 | 9,475 | ||
Home Depot | COM | 437076102 | 153 | 700 | SH | OTR | 700 | 0 | 0 | ||
Home Depot | COM | 437076102 | 6,151 | 28,165 | SH | SOLE | 24,765 | 0 | 3,400 | ||
Honeywell Intl Inc | COM | 438516106 | 551 | 3,114 | SH | SOLE | 3,114 | 0 | 0 | ||
iShares MSCI Global Impact ETF IV | MSCI GLOBAL IMP | 46435G532 | 438 | 6,685 | SH | SOLE | 6,685 | 0 | 0 | ||
iShares MSCI KLD 400 Social Indx ETF | MSCI KLD400 SOC | 464288570 | 467 | 3,890 | SH | SOLE | 3,890 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 321 | 2,200 | SH | OTR | 2,200 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 2,153 | 14,759 | SH | SOLE | 14,309 | 0 | 450 | ||
JPMorgan Chase & Co | COM | 46625H100 | 309 | 2,218 | SH | OTR | 2,218 | 0 | 0 | ||
JPMorgan Chase & Co | COM | 46625H100 | 6,662 | 47,791 | SH | SOLE | 47,791 | 0 | 0 | ||
Laboratory Corp Of America Holdings | COM NEW | 50540R409 | 233 | 1,380 | SH | SOLE | 1,380 | 0 | 0 | ||
Markel Corp. | COM | 570535104 | 309 | 270 | SH | OTR | 270 | 0 | 0 | ||
Markel Corp. | COM | 570535104 | 2,911 | 2,546 | SH | SOLE | 2,241 | 0 | 285 | ||
Marriott Vacations | COM | 57164Y107 | 113 | 875 | SH | OTR | 875 | 0 | 0 | ||
Marriott Vacations | COM | 57164Y107 | 1,773 | 13,710 | SH | SOLE | 9,710 | 0 | 4,000 | ||
Martin Marietta Matr | COM | 573284106 | 336 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
Mastercard Inc-Class A | CL A | 57636Q104 | 209 | 700 | SH | SOLE | 0 | 0 | 700 | ||
Matador Resources Co | COM | 576485205 | 270 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 576 | 6,290 | SH | OTR | 6,290 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 6,728 | 73,480 | SH | SOLE | 67,800 | 0 | 5,334 | ||
Microsoft Corp. | COM | 594918104 | 1,384 | 8,775 | SH | OTR | 8,775 | 0 | 0 | ||
Microsoft Corp. | COM | 594918104 | 11,632 | 73,758 | SH | SOLE | 66,723 | 0 | 6,560 | ||
Nextera Energy Inc | COM | 65339F101 | 136 | 560 | SH | OTR | 560 | 0 | 0 | ||
Nextera Energy Inc | COM | 65339F101 | 994 | 4,105 | SH | SOLE | 4,105 | 0 | 0 | ||
Nuveen Credit Strategies | COM SHS | 67073D102 | 110 | 14,400 | SH | SOLE | 14,400 | 0 | 0 | ||
Obsidian Energy LTD NPV | COM | 674482203 | 142 | 197,427 | SH | SOLE | 54,570 | 0 | 142,857 | ||
Oneok Inc | COM | 682680103 | 302 | 3,986 | SH | OTR | 3,986 | 0 | 0 | ||
Oneok Inc | COM | 682680103 | 1,306 | 17,261 | SH | SOLE | 17,261 | 0 | 0 | ||
Paypal Holdings Inc | COM | 70450Y103 | 319 | 2,950 | SH | SOLE | 1,750 | 0 | 1,200 | ||
Philip Morris International, Inc. | COM | 718172109 | 108 | 1,250 | SH | OTR | 1,250 | 0 | 0 | ||
Philip Morris International, Inc. | COM | 718172109 | 1,127 | 13,058 | SH | SOLE | 11,928 | 0 | 1,030 | ||
Procter & Gamble | COM | 742718109 | 62 | 495 | SH | OTR | 495 | 0 | 0 | ||
Procter & Gamble | COM | 742718109 | 417 | 3,340 | SH | SOLE | 3,340 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 318 | 3,600 | SH | OTR | 3,600 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 4,444 | 50,365 | SH | SOLE | 48,915 | 0 | 1,300 | ||
Saba Cef ETF | SABA INT RATE | 30151E806 | 1,537 | 74,125 | SH | SOLE | 62,125 | 0 | 12,000 | ||
Sandridge Mississippi LP | SH BEN INT | 80007V106 | 3 | 24,800 | SH | SOLE | 24,800 | 0 | 0 | ||
Sandridge Mississippi LP | UNIT BEN INT | 80007T101 | 8 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
Schlumberger Ltd. | COM | 806857108 | 71 | 1,725 | SH | OTR | 1,725 | 0 | 0 | ||
Schlumberger Ltd. | COM | 806857108 | 1,953 | 47,815 | SH | SOLE | 46,965 | 0 | 850 | ||
Solar Senior Capital | COM | 83416M105 | 188 | 10,600 | SH | SOLE | 10,600 | 0 | 0 | ||
Sunrun Inc. | COM | 86771W105 | 140 | 10,125 | SH | SOLE | 3,625 | 0 | 6,500 | ||
Teladoc Inc | COM | 87918A105 | 239 | 2,850 | SH | SOLE | 1,850 | 0 | 1,000 | ||
Teradyne Inc | COM | 880770102 | 363 | 5,325 | SH | OTR | 5,325 | 0 | 0 | ||
Teradyne Inc | COM | 880770102 | 5,716 | 83,825 | SH | SOLE | 76,325 | 0 | 7,125 | ||
Tortoise Energy Infrastr | COM | 89147L100 | 206 | 11,500 | SH | SOLE | 11,500 | 0 | 0 | ||
Union Pacific Corp. | COM | 907818108 | 624 | 3,450 | SH | OTR | 3,450 | 0 | 0 | ||
Union Pacific Corp. | COM | 907818108 | 5,453 | 30,160 | SH | SOLE | 30,160 | 0 | 0 | ||
Vaneck Vectors Green Bond ETF | GREEN BD ETF | 92189F171 | 219 | 8,250 | SH | SOLE | 8,250 | 0 | 0 | ||
Verizon | COM | 92343V104 | 12 | 200 | SH | OTR | 200 | 0 | 0 | ||
Verizon | COM | 92343V104 | 551 | 8,973 | SH | SOLE | 6,358 | 0 | 2,615 | ||
Visa Inc | COM CL A | 92826C839 | 225 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
Voya Prime Rate Trust | SH BEN INT | 92913A100 | 60 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
Wayfair Inc- Class A | CL A | 94419L101 | 193 | 2,140 | SH | OTR | 2,140 | 0 | 0 | ||
Wayfair Inc- Class A | CL A | 94419L101 | 1,987 | 21,983 | SH | SOLE | 20,093 | 0 | 1,735 | ||
Wells Fargo & Co. | COM | 949746101 | 377 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 288 | 9,525 | SH | OTR | 9,525 | 0 | 0 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 4,386 | 145,225 | SH | SOLE | 137,950 | 0 | 6,600 | ||
Woodward, Inc. | COM | 980745103 | 722 | 6,100 | SH | OTR | 6,100 | 0 | 0 | ||
Woodward, Inc. | COM | 980745103 | 8,817 | 74,440 | SH | SOLE | 70,080 | 0 | 3,960 |