13F-HR 1 d439089d13fhr.txt FORM 13F-HR ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 Check here if Amendment [_]; Amendment Number: --------------------------- This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Horizon Global Advisers, LLC Address: 411 Theodore Fremd Ave Suite 206S Rye, NY 10580 Form 13F File Number: 28-12237 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Kevin Quigley Title: CEO, Horizon Global Advisers, LLC Phone: (646) 495-7338 Signature, Place, and Date of Signing: Kevin Quigley Rye, NY 11-13-12 ------------------------ ------------------------ -------------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) ================================================================================ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 92 Form 13F Information Table Value Total: $ 139,259 ------------ (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] 1 HORIZON KINETICS, LLC 028-14519

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 FAIR INVESTMENT VOTING ~~DISCRETION~~ AUTHORITY TITLE ~~NAME~~MARKET OFDISCRETION OF ~~FAIR~~VALUE ~~MARKET~~SH/ PUT/ OTHER NAME OF ISSUER CLASS CUSIP ~~VALUE~~ (X 1,000) SHARES ~~SH/~~PRN ~~PUT/~~CALL SOLE SHARED OTHER MANAGERS SOLE SHARED NONE --------------- -------- ---- ----- -------- --------- --------- ------ -- --- ---- ---- ---------- ----- -------- ---- --------- ---- LIBERTY MEDIA CORPORATION LIB CAP COM LIB CAP A COM A A 530322106 1113,~~351~~439 129,125 SH 129,125 1 129,125 HOWARD HUGHES CORP COM COM 44267D107 810,~~961~~329 145,378 SH 145,378 1 145,378 JARDEN CORP COM 471109108 79,~~720~~370 ~~183~~177,~~738~~338 SH ~~183~~177,~~738~~338 1 ~~183~~177,~~738~~338 ~~SEARS~~AUTONATION ~~HLDGS~~INC ~~CORP~~ COM COM ~~812350106~~05329W102 7,~~647~~234 ~~128~~165,~~100~~674 SH ~~128~~165,~~100~~674 1 ~~128~~165,~~100~~674 VIRTUS INVT PARTNERS INC COM COM 92828Q109 67,~~802~~222 83,978 SH 83,978 1 83,978 ~~AUTONATION~~SEARS ~~INC~~HLDGS CORP COM COM ~~05329W102~~812350106 57,~~844~~108 ~~165~~128,~~674~~100 SH ~~165~~128,~~674~~100 1 ~~165~~128,~~674~~100 LEUCADIA NATIONAL CORP COM 527288104 5,~~429~~807 255,252 SH 255,252 1 255,252 ~~ICAHN~~BROOKFIELD ~~ENTERPRISES~~ASSET ~~DEP~~MGMT ~~LPDEP~~INC ~~UNIT UNIT 451100101 5,375 134,392 SH 134,392 1 134,392 BROOKFIELD~~ CL A ~~ASSET MGMT~~ LTD VT ~~INC~~ VTG SHS SH 112585104 5,~~308~~534 160,365 SH 160,365 1 160,365 ~~GENERAL~~ICAHN ~~GROWTH~~ENTERPRISES ~~PPTYS~~LPDEP ~~INC~~UNIT ~~NEWCOM~~DEP ~~COM~~UNIT ~~370023103~~451100101 45,~~041~~518 ~~223~~135,~~403~~234 SH ~~223~~135,~~403~~234 1 ~~223~~135,~~403~~234 LAS VEGAS SANDS CORP COM 517834107 34,~~975~~239 91,410 SH 91,410 1 91,410 ~~WPX~~GENERAL ~~ENERGY~~GROWTH PPTYS INC ~~COM~~NEWCOM COM ~~98212B103~~370023103 23,~~638~~958 ~~163~~203,~~100~~200 SH ~~163~~203,~~100~~200 1 ~~163~~203,~~100~~200 DISH NETWORK CORP CL A CLASS A 25470M109 2,~~567~~753 89,930 SH 89,930 1 89,930 ~~WYNN~~WPX ~~RESORTS~~ENERGY ~~LTD~~INC COM ~~983134107~~COM 98212B103 2,~~313~~706 22163,~~306~~100 SH 22163,~~306~~100 1 22163,~~306~~100 ~~DREAMWORKS~~AIR ~~ANIMATION~~LEASE ~~SKG~~CORP ~~INCCL~~CL A CLASS A ~~26153C103~~00912X302 2,~~252~~355 ~~118~~115,~~181~~460 SH ~~118~~115,~~181~~460 1 ~~118~~115,~~181~~460 ~~AIR~~DREAMWORKS ~~LEASE~~ANIMATION ~~CORP~~SKG CLINCCL A CLASS A ~~00912X302~~26153C103 2,~~238~~273 ~~115~~118,~~460~~181 SH ~~115~~118,~~460~~181 1 ~~115~~118,~~460~~181 ~~CONTINENTAL~~BROOKFIELD ~~RESOURCES~~RESIDENTIAL ~~INC~~PPTY I COM COM ~~212015101~~11283W104 1,~~822~~948 27139,360 SH 27139,360 1 27139,360 ~~GREENLIGHT~~BERKSHIRE ~~CAPITAL~~HATHAWAY REINC ~~LTD~~DEL CLASS A ~~CLASS~~084670108 A1,725 ~~G4095J109~~13 SH 13 1 13 WYNN RESORTS LTD COM 983134107 1,~~809~~527 7113,~~198~~231 SH 7113,~~198~~231 1 7113,~~198~~231 ~~BERKSHIRE~~FRANCO ~~HATHAWAY~~NEVADA ~~INC~~CORP ~~DEL~~COM ~~CLASS~~COM A351858105 ~~084670108~~ 1,~~624~~509 1325,600 SH 1325,600 1 1325,600 ~~ASCENT~~ROUSE ~~CAPITAL~~PPTYS ~~GROUP~~ INC COM ~~043632108~~COM 779287101 1,~~474~~431 2899,~~486~~694 SH 2899,~~486~~694 1 2899,~~486~~694 SPDR INDEX SHS FDS S&P ~~SHS~~CHINA ~~FDS~~ETF S&P CHINA ~~CHINA~~ ETF ~~ETF~~ 78463X400 1,~~310~~340 20,575 SH 20,575 1 20,575 ~~FRANCO NEVADA CORP COM COM 351858105 1,157 25,600 SH 25,600 1 25,600~~ LIMITED BRANDS INC COM 532716107 1,~~089~~262 25,610 SH 25,610 1 25,610 ING PRIME RATE TR SH BEN INT SH BEN ~~BEN~~ INT ~~INT~~ 44977W106 1,~~087~~167 188,470 SH 188,470 1 188,470 ~~MASTERCARD INC CL A COM CLASS A 57636Q104 1,072 2,493 SH 2,493 1 2,493~~ EATON VANCE SR FLTNG RTE TR COM 27828Q105 1,~~068~~159 69,826 SH 69,826 1 69,826 NOVAGOLD RES INC COM NEW COM 66987E206 1,~~066~~131 202,000 SH 202,000 1 202,000 ~~VIASAT~~MCEWEN MNG INC COM ~~92552V100~~58039P107 ~~997 26,400 SH 26,400~~ 1 26,~~400~~050 ~~CME GROUP INC COM COM 12572Q105 972 18~~228,~~140~~851 SH 18228,~~140~~851 1 18228,~~140~~851 PIMCO INCOME STRATEGY FUND II COM 72201J104 ~~959~~1,044 91,426 SH 91,426 1 91,426 ~~INVESCO~~GOOGLE ~~VAN~~INC ~~KAMPEN~~CL ~~SENIOR~~A ~~INCOME~~CLASS ~~TRUST~~A ~~COM~~38259P508 ~~46131H107~~1,034 ~~936 192~~1,~~626~~371 SH ~~192~~1,~~626~~371 1 ~~192~~1,~~626~~371 ~~VORNADO~~VIASAT SHINC ~~BEN~~COM ~~RLTY~~92552V100 TR987 ~~SBI INT 929042109 931 11~~26,~~094~~400 SH 1126,~~094~~400 1 1126,~~094~~400 PIMCO INCOME OPPORTUNITY FD COM 72202B100 ~~861~~969 32,044 SH 32,044 1 32,044 ~~EATON~~INVESCO ~~VANCE~~VAN ~~LTD~~KAMPEN ~~DUR~~SENIOR INCOME FTRUST COM ~~27828H105~~46131H107 ~~859~~965 52192,~~754~~626 SH 52192,~~754~~626 1 52192,~~754~~626 PCM FUND INC COM 69323T101 944 76,033 SH 76,033 1 76,033 EATON VANCE FLTING RATE INC COM 278279104 ~~845~~915 54,749 SH 54,749 1 54,749 ~~PCM~~VORNADO ~~FUND~~RLTY ~~INC~~TR ~~COM~~SBI ~~69323T101~~SH ~~845~~BEN 76INT 929042109 899 11,~~033~~094 SH 7611,~~033~~094 1 7611,~~033~~094 ~~INVESCO~~EATON ~~VAN~~VANCE ~~KAMPEN~~LTD ~~DYNAMIC~~DUR ~~CREDIT~~INCOME ~~OPPORTUNIT~~F COM ~~46132R104~~27828H105 ~~805~~896 6852,~~630~~754 SH 6852,~~630~~754 1 6852,~~630~~754 ~~GOOGLE~~OAKTREE ~~INC~~CAP GROUP LLC UNIT CL A CLASS A ~~38259P508~~674001201 ~~795~~886 121,~~371~~618 SH 121,~~371~~618 1 121,~~371~~618 ~~EQUITY~~INVESCO ~~LIFESTYLE~~VAN ~~PPTYS~~KAMPEN ~~INC~~DYNAMIC ~~COM~~CREDIT OPPORTUNIT COM ~~29472R108~~46132R104 ~~782~~870 1168,~~350~~630 SH 1168,~~350~~630 1 1168,~~350~~630 ~~BROOKFIELD~~GREENLIGHT ~~RESIDENTIAL~~CAPITAL ~~PPTY~~RE ILTD CLASS A CLASS A G4095J109 839 33,899 SH 33,899 1 33,899 CME GROUP INC COM COM ~~11283W104~~12572Q105 ~~781~~827 7114,~~660~~440 SH 7114,~~660~~440 1 7114,~~660~~440 FIRST TR/FOUR CRNRS SR FLOAT COM 33733U108 ~~768~~825 52,300 SH 52,300 1 52,300 NUVEEN FLOATING RATE INCOME COM 67072T108 ~~747~~806 64,497 SH 64,497 1 64,497 ~~MCEWEN~~CBOE ~~MNG~~HLDGS INC COM ~~58039P107~~COM ~~688~~12503M108 ~~228~~781 26,~~851~~550 SH ~~228~~26,~~851~~550 1 ~~228~~26,~~851~~550 ~~BLACKROCK~~EQUITY ~~FLOAT~~LIFESTYLE ~~RATE~~PPTYS ~~OME~~INC ~~STR~~COM COM ~~09255X100~~29472R108 ~~670~~773 4611,~~580~~350 SH 4611,~~580~~350 1 4611,~~580~~350 LENNAR CORP CL A CLASS A 526057104 ~~661~~744 21,400 SH 21,400 1 21,400 INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST COM 46132X101 731 97,399 SH 97,399 1 97,399 EATON VANCE SR INCOME TR SH BEN INT SH BEN INT ~~INT~~ 27826S103 ~~649~~703 92,538 SH 92,538 1 92,538 ~~NUVEEN~~BLACKROCK SRFLOAT ~~INCOME~~RATE FDOME STR COM ~~67067Y104~~09255X100 ~~605~~702 8446,~~440~~580 SH 8446,~~440~~580 1 8446,~~440~~580 ~~BLACKROCK~~CONTINENTAL FLRESOURCES ~~RATE~~INC ~~OME~~COM ~~STRA I SHS~~ COM ~~09255Y108~~212015101 ~~600~~678 458,~~670~~820 SH 458,~~670~~820 1 458,~~670~~820 WISDOMTREE TRUST INDIA ERNGS FD COM 97717W422 ~~587~~646 34,100 SH 34,100 1 34,100 PIMCO INCOME STRATEGY FUND COM 72201H108 ~~572~~634 47,946 SH 47,946 1 47,946 NUVEEN SR INCOME FD COM 67067Y104 631 84,440 SH 84,440 1 84,440 BLACKROCK FL RATE OME STRA I SHS COM 09255Y108 628 45,670 SH 45,670 1 45,670 PIONEER FLOATING RATE TR COM 72369J102 ~~548~~610 43,330 SH 43,330 1 43,330 ~~LIBERTY~~COLFAX ~~INT~~CORP ~~INTERACTIVE~~COM COM ~~CORP~~194014106 ~~SER~~591 A16,120 ~~SER~~SH A16,120 ~~53071M104~~1 ~~512~~16,120 28PROSHARES SHORT VIX ST TRM SHORT VIX ST TRM 74347W627 565 8,~~820~~380 SH 288,~~820~~380 1 288,~~820~~380 ~~NUVEEN~~LIBERTY ~~MULT~~INTERACTIVE ~~CURR~~CORP STSER GVA ~~INCM~~INT COM ~~COM~~SER ~~67090N109~~A ~~502~~53071M104 40533 28,~~499~~820 SH 4028,~~499~~820 1 4028,~~499~~820 NUVEEN FLTNG RTE INCM OPP FDCOM SHS COM 6706EN100 ~~488~~516 41,151 SH 41,151 1 41,151 ISHARES TR FTSE ~~FTSE~~ CHINA ~~CHINA25~~ 25 FTSE CHINA25 IDX IDX 464287184 ~~485~~499 14,430 SH 14,430 1 14,430 ~~CBOE HLDGS INC COM COM 12503M108 479 17,310 SH 17,310 1 17,310~~ MSC INDL DIRECT INC CL A CLASS A 553530106 ~~452~~465 6,900 SH 6,900 1 6,900 ~~COLFAX~~MASTERCARD ~~CORP~~INC CL A COM COM ~~194014106~~57636Q104 ~~444~~422 ~~16,120~~935 SH ~~16,120~~935 1 ~~16,120~~935 ~~WINTHROP~~FOREST ~~RLTY~~CITY TRENTERPRISES SHINC SHCL ~~BEN~~A ~~BEN~~CLASS ~~INT~~A ~~NEW~~345550107 ~~INT~~401 ~~976391300 420 34~~25,~~600~~310 SH 3425,~~600~~310 1 3425,~~600~~310 ~~ROUSE~~URSTADT BIDDLE PPTYS ~~INC~~INS ~~COM~~CL ~~COM~~A ~~779287101~~CLASS ~~420~~A 31917286205 399 19,~~004~~700 SH 3119,~~004~~700 1 3119,~~004~~700 ~~URSTADT~~GUGGENHEIM ~~BIDDLE~~CHINA ~~PPTYS~~REAL ~~INS~~GUGG CLCHN ARL ~~CLASS~~ESTATE AETF ~~917286205~~EST ~~389~~18383Q861 19373 18,~~700~~600 SH 1918,~~700~~600 1 1918,~~700~~600 ~~FOREST~~WINTHROP ~~CITY~~RLTY ~~ENTERPRISES~~TR ~~INC~~SH CLBEN AINT ~~CLASS~~NEW ASH ~~345550107~~BEN ~~369~~INT 25976391300 373 34,~~310~~600 SH 2534,~~310~~600 1 2534,~~310~~600 BERKSHIRE HATHAWAY INC DEL CL B NEW CLASS B 084670702 ~~350~~371 4,210 SH 4,210 1 4,210 ~~GUGGENHEIM~~SEARS ~~GUGG~~HOMETOWN ~~CHINA~~AND ~~REAL~~OUTLET ~~CHN~~RIGHT RLSTORES ~~ESTATE~~RIGHTS ~~ETF~~10/08/2012 ~~EST~~812350114 ~~18383Q861~~348 ~~336 18~~128,~~600~~100 SH 18128,~~600~~100 1 18128,~~600~~100 WISDOMTREE INVTS INC COM 97717P104 ~~331~~338 50,500 SH 50,500 1 50,500 NUVEEN DIVID ADVANTAGE MUN F COM 67066V101 ~~324~~338 21,430 SH 21,430 1 21,430 NUVEEN DIV ADV MUNI FD 3 SH BEN 3INT SH BEN INT ~~INT~~ 67070X101 ~~312~~330 20,950 SH 20,950 1 20,950 BLACKROCK FLOATING RATE INCOME COM 091941104 ~~311~~321 21,800 SH 21,800 1 21,800 PUTNAM MANAGED MUN INCOM TR COM 746823103 ~~288~~306 36,180 SH 36,180 1 36,180 ALLIANCE WORLD DLR GVT FD II COM 01879R106 ~~280~~297 18,700 SH 18,700 1 18,700 MARKET VECTORS ETF TR GAMING ETF GAMING ETF ~~ETF~~ 57060U829 ~~277~~295 8,679 SH 8,679 1 8,679 NUVEEN CA SELECT QUALITY MUNCOM COM 670975101 ~~270~~284 16,620 SH 16,620 1 16,620 PIONEER MUN HIGH INCOME TR SHS COM 723763108 ~~266~~280 17,063 SH 17,063 1 17,063 ~~DREYFUS STRATEGIC MUNS INC COM 261932107 261 27,820 SH 27,820 1 27,820~~ BLACKROCK SR HIGH INCOME FD COM 09255T109 ~~260~~279 63,630 SH 63,630 1 63,630 ~~LMP~~DREYFUS ~~CORPORATE~~STRATEGIC LNMUNS FD INC COM ~~50208B100~~261932107 ~~246~~279 2027,~~400~~820 SH 2027,~~400~~820 1 2027,~~400~~820 VIACOM INC NEW CL B CLASS B 92553P201 ~~244~~279 5,200 SH 5,200 1 5,200 ~~MFS~~LMP ~~MUN~~CORPORATE ~~INCOME~~LN TRFD SHINC ~~BEN~~COM SH50208B100 ~~BEN~~274 ~~INT INT 552738106 243 30~~20,~~987~~400 SH 3020,~~987~~400 1 3020,~~987~~400 PIONEER MUN HIGH INC ADV TR COM 723762100 ~~241~~256 16,026 SH 16,026 1 16,026 INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST COM 46132X101 241 33,520 SH 33,520 1 33,520 INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST COM 46133A100 236 29,717 SH 29,717 1 29,717 NUVEEN PERFORM PLUS MUN FD COM 67062P108 235 14,600 SH 14,600 1 14,600 MFS HIGH INCOME MUN TR SH BEN SH BEN INT INT 59318D104 232 40,251 SH 40,251 1 40,251 MARKET VECTORS ETF HG YLD TR HG YLD MUN MUN ETF ETF 57060U878 226 7,010 SH 7,010 1 7,010 INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST COM 46133C106 225 26,413 SH 26,413 1 26,413 EATON VANCE CA MUN BD FD COM 27828A100 221 18,053 SH 18,053 1 18,053 MFS HIGH YIELD MUN TR SH BEN SH BEN INT INT 59318E102 194 37,204 SH 37,204 1 37,204 NUVEEN CALIF AMT-FREE MUN INC FD COM 670651108 180 12,065 SH 12,065 1 12,065 TEMPLETON EMERG MKTS INCOME COM 880192109 176 11,188 SH 11,188 1 11,188 NUVEEN PREM INCOME MUN FD 4.000% 00/00/00 COM 6706K4105 154 10,833 SH 10,833 1 10,833 IDT CORP CL B NEW CLASS B 448947507 98 10,040 SH 10,040 1 10,040 GENIE ENERGY LTD CL B CLASS B 372284208 78 10,040 SH 10,040 1 10,040 NOVACOPPER INC COM COM 66988K102 67 33,666 SH 33,666 1 33,666

MFS MUN INCOME TR SH BEN INT SH BEN INT 552738106 255 30,987 SH 30,987 1 30,987 NUVEEN PERFORM PLUS MUN FD COM 67062P108 246 14,600 SH 14,600 1 14,600 MFS HIGH INCOME MUN TR SH BEN INT SH BEN INT 59318D104 242 40,251 SH 40,251 1 40,251 MARKET VECTORS ETF TR HG HG YLD MUN YLD MUN ETF ETF 57060U878 231 7,010 SH 7,010 1 7,010 EATON VANCE CA MUN BD FD COM 27828A100 228 18,053 SH 18,053 1 18,053 MFS HIGH YIELD MUN TR SH BEN INT SH BEN INT 59318E102 199 37,204 SH 37,204 1 37,204 NUVEEN CALIF AMT-FREE MUN INC FD COM 670651108 190 12,065 SH 12,065 1 12,065 TEMPLETON EMERG MKTS INCOME COM 880192109 189 11,188 SH 11,188 1 11,188 NUVEEN PREM INCOME MUN FD 4.000% 00/00/00 COM 6706K4105 160 10,833 SH 10,833 1 10,833 IDT CORP CL B NEW CLASS B 448947507 103 10,040 SH 10,040 1 10,040 NOVACOPPER INC COM COM 66988K102 72 33,666 SH 33,666 1 33,666 GENIE ENERGY LTD CL B CLASS B 372284208 71 10,040 SH 10,040 1 10,040

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