0000950123-15-004590.txt : 20150423 0000950123-15-004590.hdr.sgml : 20150423 20150423092408 ACCESSION NUMBER: 0000950123-15-004590 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150423 DATE AS OF CHANGE: 20150423 EFFECTIVENESS DATE: 20150423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Yorktown Management & Research Co Inc CENTRAL INDEX KEY: 0001313559 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12529 FILM NUMBER: 15787059 BUSINESS ADDRESS: STREET 1: 2303 YORKTOWN AVE CITY: LYNCHBURG STATE: VA ZIP: 24501 BUSINESS PHONE: 800-544-6060 MAIL ADDRESS: STREET 1: 2303 YORKTOWN AVE CITY: LYNCHBURG STATE: VA ZIP: 24501 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001313559 XXXXXXXX 03-31-2015 03-31-2015 Yorktown Management & Research Co Inc

2303 Yorktown Ave Lynchburg VA 24501

13F HOLDINGS REPORT 028-12529 N David D. Basten (434) 846-1361 David D. Basten Lynchburg VA 04-23-2015 0 475 553339 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F APPLE INC COM 037833100 311 2500 SH SOLE 2500 0 0 ABBVIE INC COM 00287Y109 1171 20000 SH SOLE 20000 0 0 ALCENTRA CAP CORP COM 01374T102 1064 80000 SH SOLE 80000 0 0 AMBEV SA SPONSORED ADR 02319V103 89 15500 SH SOLE 15500 0 0 ARBOR RLTY TR INC COM 038923108 419 60000 SH SOLE 60000 0 0 AMERICAN CAP LTD COM 02503Y103 183 12400 SH SOLE 12400 0 0 ACE LTD SHS H0023R105 279 2500 SH SOLE 2500 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 337 3600 SH SOLE 3600 0 0 AVENUE INCOME CR STRATEGIES COM 05358E106 1113 73500 SH SOLE 73500 0 0 ARES COML REAL ESTATE CORP COM 04013V108 111 10000 SH SOLE 10000 0 0 AMERICAN CAP SR FLOATING LTD COM 02504D108 3930 300000 SH SOLE 300000 0 0 ACTAVIS PLC SHS G0083B108 532 1789 SH SOLE 1789 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 300 3500 SH SOLE 3500 0 0 BLDRS INDEX FDS TR EUR 100 ADR 09348R409 228 10000 SH SOLE 10000 0 0 ALLIANCE 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647551100 6935 475000 SH SOLE 475000 0 0 NOAH HLDGS LTD SPONSORED ADS 65487X102 222 9500 SH SOLE 9500 0 0 NORTHSTAR RLTY FIN CORP COM NEW 66704R704 544 30000 SH SOLE 30000 0 0 NEUBERGER BERMAN RE ES SEC F COM 64190A103 650 120000 SH SOLE 120000 0 0 NEW RESIDENTIAL INVT CORP COM 64828T102 18938 1260000 SH SOLE 1260000 0 0 NUVEEN SR INCOME FD COM 67067Y104 1685 253000 SH SOLE 253000 0 0 NOVO-NORDISK A S ADR 670100205 267 5000 SH SOLE 5000 0 0 QUANEX BUILDING PRODUCTS COR COM 747619104 276 14000 SH SOLE 14000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 331 3300 SH SOLE 3300 0 0 OMNICARE INC COM 681904108 285 3700 SH SOLE 3700 0 0 OLIN CORP COM PAR $1 680665205 279 8700 SH SOLE 8700 0 0 ONE LIBERTY PPTYS INC COM 682406103 1185 48517 SH SOLE 48517 0 0 OMNICELL INC COM 68213N109 246 7000 SH SOLE 7000 0 0 OLD NATL BANCORP IND COM 680033107 156 11000 SH SOLE 11000 0 0 ORACLE CORP COM 68389X105 268 6200 SH SOLE 6200 0 0 OLD REP INTL CORP COM 680223104 874 58500 SH SOLE 58500 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 324 1500 SH SOLE 1500 0 0 ORION MARINE GROUP INC COM 68628V308 92 10400 SH SOLE 10400 0 0 ORASURE TECHNOLOGIES INC COM 68554V108 213 32500 SH SOLE 32500 0 0 OMNIVISION TECHNOLOGIES INC COM 682128103 264 10000 SH SOLE 10000 0 0 OXFORD LANE CAP CORP COM 691543102 296 20000 SH SOLE 20000 0 0 WESTERN ASSET INCOME FD COM 95766T100 207 15000 SH SOLE 15000 0 0 PALO ALTO NETWORKS INC COM 697435105 234 1600 SH SOLE 1600 0 0 PRICELINE GROUP INC COM NEW 741503403 233 200 SH SOLE 200 0 0 PRECISION CASTPARTS CORP COM 740189105 242 1150 SH SOLE 1150 0 0 MEDNAX INC COM 58502B106 218 3000 SH SOLE 3000 0 0 PFIZER INC COM 717081103 205 5900 SH SOLE 5900 0 0 PENNANTPARK FLOATING RATE CA COM 70806A106 3592 256058 SH SOLE 256058 0 0 PROOFPOINT INC COM 743424103 207 3500 SH SOLE 3500 0 0 PGT INC COM 69336V101 318 28500 SH SOLE 28500 0 0 PIONEER FLOATING RATE TR COM 72369J102 227 19500 SH SOLE 19500 0 0 PHH CORP COM NEW 693320202 218 9000 SH SOLE 9000 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 226 12950 SH SOLE 12950 0 0 POWERSHARES ETF TRUST II DWA EMKT MOM PTF 73936Q207 244 13200 SH SOLE 13200 0 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 51 10500 SH SOLE 10500 0 0 PTC INC COM 69370C100 235 6500 SH SOLE 6500 0 0 PENNANTPARK INVT CORP COM 708062104 3937 435000 SH SOLE 435000 0 0 PANERA BREAD CO CL A 69840W108 256 1600 SH SOLE 1600 0 0 POTASH CORP SASK INC COM 73755L107 1178 36500 SH SOLE 36500 0 0 PPG INDS INC COM 693506107 293 1300 SH SOLE 1300 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 166 30000 SH SOLE 30000 0 0 PARTNERRE LTD COM G6852T105 206 1800 SH SOLE 1800 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 7985 945000 SH SOLE 945000 0 0 PHILLIPS 66 COM 718546104 200 2550 SH SOLE 2550 0 0 QUANTA SVCS INC COM 74762E102 228 8000 SH SOLE 8000 0 0 PRAXAIR INC COM 74005P104 241 2000 SH SOLE 2000 0 0 QUALCOMM INC COM 747525103 1109 16000 SH SOLE 16000 0 0 REYNOLDS AMERICAN INC COM 761713106 221 3200 SH SOLE 3200 0 0 RAIT FINANCIAL TRUST COM NEW 749227609 343 50000 SH SOLE 50000 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 4868 81600 SH SOLE 81600 0 0 REGENERON PHARMACEUTICALS COM 75886F107 316 700 SH SOLE 700 0 0 REINSURANCE GROUP AMER INC COM NEW 759351604 252 2700 SH SOLE 2700 0 0 RYMAN HOSPITALITY PPTYS INC COM 78377T107 201 3300 SH SOLE 3300 0 0 RAYMOND JAMES FINANCIAL INC COM 754730109 284 5000 SH SOLE 5000 0 0 SAFETY INS GROUP INC COM 78648T100 239 4000 SH SOLE 4000 0 0 BANCO SANTANDER SA ADR 05964H105 122 16376 SH SOLE 16376 0 0 SAP AG SPON ADR 803054204 245 3400 SH SOLE 3400 0 0 STARBUCKS CORP COM 855244109 303 3200 SH SOLE 3200 0 0 WESTERN ASSET WORLDWIDE INCO COM 957668106 625 55123 SH SOLE 55123 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 324 13300 SH SOLE 13300 0 0 SCHWAB CHARLES CORP NEW COM 808513105 297 9750 SH SOLE 9750 0 0 ISHARES MSCI JAPN SMCETF 464286582 258 4500 SH SOLE 4500 0 0 STELLUS CAP INVT CORP COM 858568108 3798 314700 SH SOLE 314700 0 0 ISHARES EAFE SML CP ETF 464288273 272 5500 SH SOLE 5500 0 0 SEALED AIR CORP NEW COM 81211K100 251 5500 SH SOLE 5500 0 0 STIFEL FINL CORP COM 860630102 279 5000 SH SOLE 5000 0 0 SHIP FINANCE INTERNATIONAL L SHS G81075106 1924 130000 SH SOLE 130000 0 0 SIGNET JEWELERS LIMITED SHS G81276100 333 2400 SH SOLE 2400 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 250 9300 SH SOLE 9300 0 0 SIRONA DENTAL SYSTEMS INC COM 82966C103 252 2800 SH SOLE 2800 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 218 4500 SH SOLE 4500 0 0 SPDR SER TRUST CAP S/T HI YLD 78468R408 1226 42000 SH SOLE 42000 0 0 SCHLUMBERGER LTD COM 806857108 976 11700 SH SOLE 11700 0 0 SOLAR CAP LTD COM 83413U100 11446 565500 SH SOLE 565500 0 0 SALIX PHARMACEUTICALS INC COM 795435106 346 2000 SH SOLE 2000 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 237 5000 SH SOLE 5000 0 0 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 228 2860 SH SOLE 2860 0 0 NEW SR INVT GROUP INC COM 648691103 332 20000 SH SOLE 20000 0 0 SANOFI SPONSORED ADR 80105N105 272 5500 SH SOLE 5500 0 0 SONOCO PRODS CO COM 835495102 205 4500 SH SOLE 4500 0 0 SPIRIT RLTY CAP INC COM 84860F109 157 13000 SH SOLE 13000 0 0 SIMPSON MANUFACTURING CO INC COM 829073105 265 7100 SH SOLE 7100 0 0 SENSATA TECHNOLOGIES HLDG NV SHS N7902X106 373 6500 SH SOLE 6500 0 0 STUDENT TRANSN INC COM 86388A108 2268 420000 SH SOLE 420000 0 0 STERIS CORP COM 859152100 316 4500 SH SOLE 4500 0 0 STATE AUTO FINL CORP COM 855707105 243 10000 SH SOLE 10000 0 0 STEEL DYNAMICS INC COM 858119100 223 11100 SH SOLE 11100 0 0 STARZ LIBRTY CAP COM A 85571Q102 351 10200 SH SOLE 10200 0 0 STARWOOD PPTY TR INC COM 85571B105 9720 400000 SH SOLE 400000 0 0 SUNCOR ENERGY INC NEW COM 867224107 202 6900 SH SOLE 6900 0 0 SOLAR SR CAP LTD COM 83416M105 1907 118350 SH SOLE 118350 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 295 3000 SH SOLE 3000 0 0 AT & T CORP COM 00206R102 2334 71500 SH SOLE 71500 0 0 TRANSAMERICA INCOME SHS INC COM 893506105 214 10500 SH SOLE 10500 0 0 TRIANGLE CAP CORP COM 895848109 9712 425800 SH SOLE 425800 0 0 TCP CAP CORP COM 87238Q103 10132 632457 SH SOLE 632457 0 0 THL CR INC COM 872438106 8972 730000 SH SOLE 730000 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 300 7000 SH SOLE 7000 0 0 TELEDYNE TECHNOLOGIES INC COM 879360105 320 3000 SH SOLE 3000 0 0 TELEFONICA S A SPONSORED ADR 879382208 162 11314 SH SOLE 11314 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 539 50000 SH SOLE 50000 0 0 TARGET CORP COM 87612E106 230 2800 SH SOLE 2800 0 0 ISHARES MSCI THI CAP ETF 464286624 238 3000 SH SOLE 3000 0 0 HANOVER INS GROUP INC COM 410867105 290 4000 SH SOLE 4000 0 0 MARKET VECTORS ETF TR HI YLD TREA BD 57061R775 655 27000 SH SOLE 27000 0 0 THOR INDS INC COM 885160101 316 5000 SH SOLE 5000 0 0 THORATEC CORP COM NEW 885175307 264 6300 SH SOLE 6300 0 0 GENTHERM INC COM 37253A103 303 6000 SH SOLE 6000 0 0 TELECOM ITALIA S P A NEW SPON ADR ORD 87927Y102 149 12800 SH SOLE 12800 0 0 TEEKAY CORPORATION COM Y8564W103 1583 34000 SH SOLE 34000 0 0 LMP CORPORATE LN FD INC COM 50208B100 1214 108573 SH SOLE 108573 0 0 TRINET GROUP INC COM 896288107 247 7000 SH SOLE 7000 0 0 ISHARES MSCI KOKUSAI ETF 464288265 254 4600 SH SOLE 4600 0 0 TOTAL S A SPONSORED ADR 89151E109 4271 86000 SH SOLE 86000 0 0 TRIPADVISOR INC COM 896945201 241 2900 SH SOLE 2900 0 0 PRICE T ROWE GROUP INC COM 74144T108 243 3000 SH SOLE 3000 0 0 TRANSCANADA CORP COM 89353D107 256 6000 SH SOLE 6000 0 0 TRIMAS CORP COM NEW 896215209 237 7700 SH SOLE 7700 0 0 TRACTOR SUPPLY CO COM 892356106 340 4000 SH SOLE 4000 0 0 TPG SPECIALTY LENDING INC COM 87265K102 6970 405000 SH SOLE 405000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 341 14500 SH SOLE 14500 0 0 TORO CO COM 891092108 316 4500 SH SOLE 4500 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 293 11500 SH SOLE 11500 0 0 GRUPO TELEVISA SA SPON ADR REP ORD 40049J206 231 7000 SH SOLE 7000 0 0 TOWERS WATSON & CO CL A 891894107 304 2300 SH SOLE 2300 0 0 TWO HBRS INVT CORP COM 90187B101 14490 1364400 SH SOLE 1364400 0 0 TRI CONTL CORP COM 895436103 2174 100239 SH SOLE 100239 0 0 UNIVERSAL AMERN CORP NEW COM 91338E101 310 29000 SH SOLE 29000 0 0 ULTA SALON COSMETCS & FRAG I COM 90384S303 287 1900 SH SOLE 1900 0 0 UMB FINL CORP COM 902788108 243 4600 SH SOLE 4600 0 0 LIBERTY ALL STAR EQUITY SH BEN INT 530158104 642 110000 SH SOLE 110000 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 292 6000 SH SOLE 6000 0 0 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 1106 66200 SH SOLE 66200 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 491 9050 SH SOLE 9050 0 0 INVESCO HIGH INCOME TR II COM 46131F101 1285 85000 SH SOLE 85000 0 0 VANTIV INC CL A 92210H105 245 6500 SH SOLE 6500 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1274 39000 SH SOLE 39000 0 0 VOYA FINL INC COM 929089100 280 6500 SH SOLE 6500 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 245 4000 SH SOLE 4000 0 0 VALIDUS HOLDINGS LTD COM SHS G9319H102 1263 30000 SH SOLE 30000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 298 1500 SH SOLE 1500 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 248 2500 SH SOLE 2500 0 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 2514 210000 SH SOLE 210000 0 0 VIAD CORP COM NEW 92552R406 278 10000 SH SOLE 10000 0 0 INVESCO SR INCOME TR COM 46131H107 1825 385000 SH SOLE 385000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 225 5500 SH SOLE 5500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2646 54409 SH SOLE 54409 0 0 WABTEC CORP COM 929740108 342 3600 SH SOLE 3600 0 0 WEBMD HEALTH CORP COM 94770V102 285 6500 SH SOLE 6500 0 0 WASTE CONNECTIONS INC COM 941053100 289 6000 SH SOLE 6000 0 0 WENDYS CO COM 95058W100 131 12000 SH SOLE 12000 0 0 WISDOMTREE INVTS INC COM 97717P104 307 14300 SH SOLE 14300 0 0 WHITEHORSE FIN INC COM 96524V106 6248 503099 SH SOLE 503099 0 0 WIPRO LTD SPON ADR 1 SH 97651M109 258 19400 SH SOLE 19400 0 0 WILLIAMS COS INC DEL COM 969457100 6349 125500 SH SOLE 125500 0 0 WABASH NATL CORP COM 929566107 244 17300 SH SOLE 17300 0 0 VCA INC COM 918194101 356 6500 SH SOLE 6500 0 0 WOODWARD INC COM 980745103 281 5500 SH SOLE 5500 0 0 WYNN RESORTS LTD COM 983134107 982 7800 SH SOLE 7800 0 0 CLAYMORE EXCHANGE-TRD FD TR GUGG CHINA ALLCP 18385P101 263 9000 SH SOLE 9000 0 0 ZAIS FINL CORP COM 98886K108 7493 420000 SH SOLE 420000 0 0