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 | 1,093 | 42,550 | SH | SOLE | 22,550 | 0 | 20,000 | ||
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 | 3,044 | 15,650 | SH | SOLE | 14,350 | 0 | 1,300 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 148 | 127 | SH | OTR | 127 | 0 | 0 | ||
Alphabet Inc. Class A | CAP STK CL A | 02079K305 | 3,299 | 2,839 | SH | SOLE | 2,657 | 0 | 182 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 17 | 15 | SH | OTR | 15 | 0 | 0 | ||
Alphabet Inc. Class C | CAP STK CL C | 02079K107 | 734 | 631 | SH | SOLE | 546 | 0 | 85 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 40 | 10,100 | SH | OTR | 10,100 | 0 | 0 | ||
Amarin Corp PLC ADR | SPONS ADR NEW | 023111206 | 866 | 216,615 | SH | SOLE | 189,415 | 0 | 27,200 | ||
American Express Co. | COM | 025816109 | 154 | 1,800 | SH | OTR | 1,800 | 0 | 0 | ||
American Express Co. | COM | 025816109 | 2,630 | 30,720 | SH | SOLE | 28,845 | 0 | 1,875 | ||
Apple | COM | 037833100 | 833 | 3,275 | SH | SOLE | 3,275 | 0 | 0 | ||
Arch Capital Group Ltd | ORD | G0450A105 | 675 | 23,710 | SH | SOLE | 20,710 | 0 | 3,000 | ||
AT&T | COM | 00206R102 | 242 | 8,287 | SH | SOLE | 1,100 | 0 | 7,187 | ||
Baxter International | COM | 071813109 | 4 | 50 | SH | OTR | 50 | 0 | 0 | ||
Baxter International | COM | 071813109 | 1,373 | 16,865 | SH | SOLE | 16,440 | 0 | 425 | ||
Biogen Inc | COM | 09062X103 | 253 | 800 | SH | SOLE | 800 | 0 | 0 | ||
Blackstone Group Inc Class A | COM CL A | 09260D107 | 46 | 1,000 | SH | OTR | 1,000 | 0 | 0 | ||
Blackstone Group Inc Class A | COM CL A | 09260D107 | 4,251 | 93,296 | SH | SOLE | 89,121 | 0 | 4,175 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 126 | 6,525 | SH | OTR | 6,525 | 0 | 0 | ||
Blackstone Mortgage Trust Inc | COM CL A | 09257W100 | 2,016 | 104,760 | SH | SOLE | 95,845 | 0 | 8,915 | ||
Boeing | COM | 097023105 | 1,695 | 11,364 | SH | SOLE | 11,364 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 6 | 450 | SH | OTR | 450 | 0 | 0 | ||
Box Inc | CL A | 10316T104 | 628 | 44,735 | SH | SOLE | 42,810 | 0 | 1,925 | ||
Bristol-Myers Squibb | COM | 110122108 | 29 | 525 | SH | OTR | 525 | 0 | 0 | ||
Bristol-Myers Squibb | COM | 110122108 | 1,035 | 18,573 | SH | SOLE | 14,943 | 0 | 3,630 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 199 | 4,487 | SH | OTR | 4,487 | 0 | 0 | ||
Brookfield Asset Management Class A | CL A LTD VT SH | 112585104 | 4,898 | 110,679 | SH | SOLE | 103,884 | 0 | 6,795 | ||
Brookfield Real Assets I | SHS BEN INT | 112830104 | 318 | 21,650 | SH | SOLE | 21,650 | 0 | 0 | ||
Brookfield Renewable LP | PARTNERSHIP UNIT | G16258108 | 752 | 17,710 | SH | SOLE | 17,110 | 0 | 600 | ||
Canadian National Railway Co. | COM | 136375102 | 1,335 | 17,200 | SH | SOLE | 17,200 | 0 | 0 | ||
Cerner Corp | COM | 156782104 | 290 | 4,610 | SH | SOLE | 2,610 | 0 | 2,000 | ||
Chevron Corp. | COM | 166764100 | 141 | 1,950 | SH | OTR | 1,950 | 0 | 0 | ||
Chevron Corp. | COM | 166764100 | 978 | 13,495 | SH | SOLE | 12,045 | 0 | 1,450 | ||
Cisco Systems | COM | 17275R102 | 12 | 300 | SH | OTR | 300 | 0 | 0 | ||
Cisco Systems | COM | 17275R102 | 2,028 | 51,590 | SH | SOLE | 51,590 | 0 | 0 | ||
Colgate-Palmolive Co | COM | 194162103 | 595 | 8,960 | SH | SOLE | 3,060 | 0 | 5,900 | ||
Comcast Corporation | CL A | 20030N101 | 112 | 3,225 | SH | OTR | 3,225 | 0 | 0 | ||
Comcast Corporation | CL A | 20030N101 | 2,765 | 79,895 | SH | SOLE | 75,920 | 0 | 3,975 | ||
Consolidated Edison | COM | 209115104 | 39 | 500 | SH | OTR | 500 | 0 | 0 | ||
Consolidated Edison | COM | 209115104 | 573 | 7,350 | SH | SOLE | 7,050 | 0 | 300 | ||
CrowdStrike Holdings, Inc. | CL A | 22788C105 | 209 | 3,760 | SH | SOLE | 2,260 | 0 | 1,500 | ||
Doubleline Income Soluti | COM | 258622109 | 137 | 10,300 | SH | SOLE | 10,300 | 0 | 0 | ||
Dover Corporation | COM | 260003108 | 76 | 900 | SH | OTR | 900 | 0 | 0 | ||
Dover Corporation | COM | 260003108 | 399 | 4,750 | SH | SOLE | 4,050 | 0 | 700 | ||
Enbridge Inc | COM | 29250N105 | 10 | 354 | SH | OTR | 354 | 0 | 0 | ||
Enbridge Inc | COM | 29250N105 | 827 | 28,413 | SH | SOLE | 25,355 | 0 | 3,058 | ||
Estre Ambiental Inc WTS | *W EXP 12/21/202 | G3206V118 | 0 | 200 | SH | OTR | 200 | 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 | 296 | 7,786 | SH | SOLE | 4,786 | 0 | 3,000 | ||
Gilead Sciences Inc. | COM | 375558103 | 224 | 3,000 | SH | OTR | 3,000 | 0 | 0 | ||
GTT Communications Inc | COM | 362393100 | 241 | 30,350 | SH | SOLE | 350 | 0 | 30,000 | ||
Guardant Health Inc | COM | 40131M109 | 324 | 4,650 | SH | OTR | 4,650 | 0 | 0 | ||
Guardant Health Inc | COM | 40131M109 | 7,410 | 106,460 | SH | SOLE | 96,485 | 0 | 9,975 | ||
Home Depot | COM | 437076102 | 131 | 700 | SH | OTR | 700 | 0 | 0 | ||
Home Depot | COM | 437076102 | 5,259 | 28,165 | SH | SOLE | 24,765 | 0 | 3,400 | ||
Honeywell Intl Inc | COM | 438516106 | 417 | 3,114 | SH | SOLE | 3,114 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 223 | 1,700 | SH | OTR | 1,700 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 1,922 | 14,659 | SH | SOLE | 14,209 | 0 | 450 | ||
JPMorgan Chase & Co | COM | 46625H100 | 1,044 | 11,600 | SH | OTR | 11,600 | 0 | 0 | ||
JPMorgan Chase & Co | COM | 46625H100 | 3,296 | 36,615 | SH | SOLE | 36,615 | 0 | 0 | ||
Markel Corp. | COM | 570535104 | 181 | 195 | SH | OTR | 195 | 0 | 0 | ||
Markel Corp. | COM | 570535104 | 2,344 | 2,526 | SH | SOLE | 2,241 | 0 | 285 | ||
Marriott Vacations | COM | 57164Y107 | 4 | 75 | SH | OTR | 75 | 0 | 0 | ||
Marriott Vacations | COM | 57164Y107 | 475 | 8,545 | SH | SOLE | 8,545 | 0 | 0 | ||
Martin Marietta Matr | COM | 573284106 | 227 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
Matador Resources Co | COM | 576485205 | 37 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 325 | 4,190 | SH | OTR | 4,190 | 0 | 0 | ||
Merck & Co. Inc. | COM | 58933Y105 | 5,662 | 73,015 | SH | SOLE | 67,681 | 0 | 5,334 | ||
Microsoft Corp. | COM | 594918104 | 753 | 4,775 | SH | OTR | 4,775 | 0 | 0 | ||
Microsoft Corp. | COM | 594918104 | 10,987 | 69,667 | SH | SOLE | 63,107 | 0 | 6,560 | ||
Nextera Energy Inc | COM | 65339F101 | 135 | 560 | SH | OTR | 560 | 0 | 0 | ||
Nextera Energy Inc | COM | 65339F101 | 979 | 4,069 | SH | SOLE | 4,069 | 0 | 0 | ||
Obsidian Energy LTD NPV | COM | 674482203 | 25 | 152,427 | SH | SOLE | 9,570 | 0 | 142,857 | ||
Paypal Holdings Inc | COM | 70450Y103 | 263 | 2,750 | SH | SOLE | 1,750 | 0 | 1,000 | ||
Philip Morris International, Inc. | COM | 718172109 | 7 | 100 | SH | OTR | 100 | 0 | 0 | ||
Philip Morris International, Inc. | COM | 718172109 | 962 | 12,983 | SH | SOLE | 11,953 | 0 | 1,030 | ||
Procter & Gamble | COM | 742718109 | 21 | 195 | SH | OTR | 195 | 0 | 0 | ||
Procter & Gamble | COM | 742718109 | 367 | 3,340 | SH | SOLE | 3,340 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 108 | 1,600 | SH | OTR | 1,600 | 0 | 0 | ||
Qualcomm Inc. | COM | 747525103 | 3,286 | 48,570 | SH | SOLE | 47,270 | 0 | 1,300 | ||
Saba Cef ETF | SABA INT RATE | 30151E806 | 1,022 | 66,981 | SH | SOLE | 43,981 | 0 | 23,000 | ||
Schlumberger Ltd. | COM | 806857108 | 2 | 125 | SH | OTR | 125 | 0 | 0 | ||
Schlumberger Ltd. | COM | 806857108 | 667 | 47,690 | SH | SOLE | 46,840 | 0 | 850 | ||
Suncor Energy Inc F | COM | 867224107 | 356 | 22,500 | SH | SOLE | 5,500 | 0 | 17,000 | ||
Switch Inc - A | CL A | 87105L104 | 162 | 11,200 | SH | SOLE | 4,200 | 0 | 7,000 | ||
Teladoc Inc | COM | 87918A105 | 258 | 1,665 | SH | SOLE | 1,065 | 0 | 600 | ||
Teradyne Inc | COM | 880770102 | 191 | 3,525 | SH | OTR | 3,525 | 0 | 0 | ||
Teradyne Inc | COM | 880770102 | 4,224 | 77,985 | SH | SOLE | 71,860 | 0 | 6,125 | ||
Union Pacific Corp. | COM | 907818108 | 300 | 2,125 | SH | OTR | 2,125 | 0 | 0 | ||
Union Pacific Corp. | COM | 907818108 | 3,730 | 26,445 | SH | SOLE | 26,445 | 0 | 0 | ||
Vaneck Vectors Green Bond ETF | GREEN BD ETF | 92189F171 | 218 | 8,250 | SH | SOLE | 8,250 | 0 | 0 | ||
Verizon | COM | 92343V104 | 159 | 2,950 | SH | OTR | 2,950 | 0 | 0 | ||
Verizon | COM | 92343V104 | 2,364 | 43,993 | SH | SOLE | 39,498 | 0 | 4,495 | ||
Walt Disney | COM DISNEY | 254687106 | 414 | 4,286 | SH | SOLE | 1,686 | 0 | 2,600 | ||
Wells Fargo & Co. | COM | 949746101 | 201 | 7,000 | SH | OTR | 7,000 | 0 | 0 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 117 | 6,925 | SH | OTR | 6,925 | 0 | 0 | ||
Weyerhaeuser Co REIT | COM | 962166104 | 2,441 | 144,025 | SH | SOLE | 137,425 | 0 | 6,600 | ||
Woodward, Inc. | COM | 980745103 | 192 | 3,225 | SH | OTR | 3,225 | 0 | 0 | ||
Woodward, Inc. | COM | 980745103 | 3,243 | 54,555 | SH | SOLE | 52,590 | 0 | 1,965 |