0000950123-16-020956.txt : 20161031
0000950123-16-020956.hdr.sgml : 20161031
20161031133535
ACCESSION NUMBER: 0000950123-16-020956
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161031
DATE AS OF CHANGE: 20161031
EFFECTIVENESS DATE: 20161031
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: 161961049
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
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0001313559
XXXXXXXX
09-30-2016
09-30-2016
Yorktown Management & Research Co Inc
2303 Yorktown Ave
Lynchburg
VA
24501
13F HOLDINGS REPORT
028-12529
N
David D. Basten
President
(434) 846-1361
David D. Basten
Lynchburg
VA
10-31-2016
0
289
459440
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0
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04013V108
756
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SH
SOLE
60000
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ADOBE SYS INC
COM
00724F101
434
4000
SH
SOLE
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309
3500
SH
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1100
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AGRIUM INC
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227
2500
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6700
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57000
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6000
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272
5000
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COM
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AUTOZONE INC
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420
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SH BEN INT
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ORD
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29977A105
258
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SH
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5000
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SWITZLND ALPHA
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265
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2700
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10000
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LOWES COS INC
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COM A SIRIUSXM
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NEWFLT MULSINC
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AG MTG INVT TR INC
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001228105
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MARKEL CORP
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0
MONROE CAP CORP
COM
610335101
204
13000
SH
SOLE
13000
0
0
MERCK & CO INC
COM
589331107
281
4500
SH
SOLE
4500
0
0
M & T BK CORP
COM
55261F104
232
2000
SH
SOLE
2000
0
0
AMERICAN CAP MTG INVT CORP
COM
02504A104
6876
400000
SH
SOLE
400000
0
0
MITSUBISHI UFJ FINL GROUP IN
SPONSORED ADR
606822104
111
22000
SH
SOLE
22000
0
0
NEWMARKET CORP
COM
651587107
258
600
SH
SOLE
600
0
0
NATIONAL HEALTH INVS INC
COM
63633D104
212
2700
SH
SOLE
2700
0
0
NEUBERGER BERMAN HGH YLD FD
COM
64128C106
2455
207000
SH
SOLE
207000
0
0
NIKE INC
CL B
654106103
258
4900
SH
SOLE
4900
0
0
ANNALY CAP MGMT INC
COM
035710409
7237
689200
SH
SOLE
689200
0
0
NEW MTN FIN CORP
COM
647551100
7430
540000
SH
SOLE
540000
0
0
NOAH HLDGS LTD
SPONSORED ADS
65487X102
248
9500
SH
SOLE
9500
0
0
NEW RESIDENTIAL INVT CORP
COM
64828T102
7782
563500
SH
SOLE
563500
0
0
NUVEEN SR INCOME FD
COM
67067Y104
2845
435000
SH
SOLE
435000
0
0
NOVO-NORDISK A S
ADR
670100205
208
5000
SH
SOLE
5000
0
0
NVR INC
COM
62944T105
328
200
SH
SOLE
200
0
0
QUANEX BUILDING PRODUCTS COR
COM
747619104
242
14000
SH
SOLE
14000
0
0
OMEGA HEALTHCARE INVS INC
COM
681936100
213
6000
SH
SOLE
6000
0
0
ORMAT TECHNOLOGIES INC
COM
686688102
305
6300
SH
SOLE
6300
0
0
ORACLE CORP
COM
68389X105
244
6200
SH
SOLE
6200
0
0
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
280
1000
SH
SOLE
1000
0
0
PENSKE AUTOMOTIVE GRP INC
COM
70959W103
202
4200
SH
SOLE
4200
0
0
PALO ALTO NETWORKS INC
COM
697435105
255
1600
SH
SOLE
1600
0
0
PAYCHEX INC
COM
704326107
203
3500
SH
SOLE
3500
0
0
PRESTIGE BRANDS HLDGS INC
COM
74112D101
328
6800
SH
SOLE
6800
0
0
PENNSYLVANIA RL ESTATE INVT
SH BEN INT
709102107
200
8700
SH
SOLE
8700
0
0
ISHARES TR
U.S. PFD STK ETF
464288687
1975
50000
SH
SOLE
50000
0
0
PROVIDENT FINL SVCS INC
COM
74386T105
212
10000
SH
SOLE
10000
0
0
POWERSHARES ETF TRUST
FINL PFD PTFL
73935X229
4763
250000
SH
SOLE
250000
0
0
POWERSHARES GLOBAL ETF TRUST
AGG PFD PORT
73936T565
7716
510000
SH
SOLE
510000
0
0
PIONEER FLOATING RATE TR
COM
72369J102
2625
222451
SH
SOLE
222451
0
0
PACKAGING CORP AMER
COM
695156109
203
2500
SH
SOLE
2500
0
0
PENNYMAC MTG INVT TR
COM
70931T103
17339
1112900
SH
SOLE
1112900
0
0
PANERA BREAD CO
CL A
69840W108
312
1600
SH
SOLE
1600
0
0
PPG INDS INC
COM
693506107
269
2600
SH
SOLE
2600
0
0
PHILLIPS 66
COM
718546104
258
3200
SH
SOLE
3200
0
0
PTC INC
COM
69370C100
288
6500
SH
SOLE
6500
0
0
ROGERS COMMUNICATIONS INC
CL B
775109200
204
4800
SH
SOLE
4800
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
281
700
SH
SOLE
700
0
0
RELX NV
SPONSORED ADR
75955B102
302
16918
SH
SOLE
16918
0
0
SAFETY INS GROUP INC
COM
78648T100
208
3100
SH
SOLE
3100
0
0
SAP AG
SPON ADR
803054204
521
5700
SH
SOLE
5700
0
0
STARBUCKS CORP
COM
855244109
346
6400
SH
SOLE
6400
0
0
SCHWAB STRATEGIC TR
EMRG MKTEQ ETF
808524706
307
13300
SH
SOLE
13300
0
0
ISHARES
MSCI JAPN SMCETF
464286582
291
4500
SH
SOLE
4500
0
0
STELLUS CAP INVT CORP
COM
858568108
436
40000
SH
SOLE
40000
0
0
ISHARES
EAFE SML CP ETF
464288273
288
5500
SH
SOLE
5500
0
0
SILICON MOTION TECHNOLOGY CO
SPONSORED ADR
82706C108
378
7300
SH
SOLE
7300
0
0
SOLAR CAP LTD
COM
83413U100
20725
1010000
SH
SOLE
1010000
0
0
SUMITOMO MITSUI FINL GROUP I
SPONSORED ADR
86562M209
108
16000
SH
SOLE
16000
0
0
SCOTTS MIRACLE GRO CO
CL A
810186106
208
2500
SH
SOLE
2500
0
0
SYNCHRONOSS TECHNOLOGIES INC
COM
87157B103
206
5000
SH
SOLE
5000
0
0
SANOFI
SPONSORED ADR
80105N105
210
5500
SH
SOLE
5500
0
0
SPIRIT RLTY CAP INC
COM
84860F109
173
13000
SH
SOLE
13000
0
0
STERIS CORP
COM
859152100
329
4500
SH
SOLE
4500
0
0
STEEL DYNAMICS INC
COM
858119100
277
11100
SH
SOLE
11100
0
0
STARZ
LIBRTY CAP COM A
85571Q102
250
8000
SH
SOLE
8000
0
0
STARWOOD PPTY TR INC
COM
85571B105
3828
170000
SH
SOLE
170000
0
0
SOLAR SR CAP LTD
COM
83416M105
648
40000
SH
SOLE
40000
0
0
SYNGENTA AG
SPONSORED ADR
87160A100
215
2450
SH
SOLE
2450
0
0
AT & T CORP
COM
00206R102
8581
211300
SH
SOLE
211300
0
0
TCP CAP CORP
COM
87238Q103
6912
422000
SH
SOLE
422000
0
0
TELEDYNE TECHNOLOGIES INC
COM
879360105
324
3000
SH
SOLE
3000
0
0
TELECOM ARGENTINA S A
SPON ADR REP B
879273209
293
16000
SH
SOLE
16000
0
0
TRANSPORTADORA DE GAS SUR
SPON ADR B
893870204
314
46000
SH
SOLE
46000
0
0
ISHARES
MSCI THI CAP ETF
464286624
221
3000
SH
SOLE
3000
0
0
HANOVER INS GROUP INC
COM
410867105
302
4000
SH
SOLE
4000
0
0
THOR INDS INC
COM
885160101
339
4000
SH
SOLE
4000
0
0
WESTERN ASSET CORPORATE LN F
COM
95790J102
780
72900
SH
SOLE
72900
0
0
T MOBILE US INC
COM
872590104
388
8300
SH
SOLE
8300
0
0
ISHARES
MSCI KOKUSAI ETF
464288265
250
4600
SH
SOLE
4600
0
0
SSGA ACTIVE ETF TR
SPDR TR TACTIC
78467V848
9385
187000
SH
SOLE
187000
0
0
TRIPLEPOINT VENTR GRW BDC CO
COM
89677Y100
371
35000
SH
SOLE
35000
0
0
TRINITY BIOTECH PLC
SPON ADR NEW
896438306
344
26000
SH
SOLE
26000
0
0
TRUSTMARK CORP
COM
898402102
204
7400
SH
SOLE
7400
0
0
TRACTOR SUPPLY CO
COM
892356106
269
4000
SH
SOLE
4000
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
8503
469500
SH
SOLE
469500
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
306
10000
SH
SOLE
10000
0
0
TESSERA TECHNOLOGIES INC
COM
88164L100
250
6500
SH
SOLE
6500
0
0
TORO CO
COM
891092108
422
9000
SH
SOLE
9000
0
0
TAKE-TWO INTERACTIVE SOFTWAR
COM
874054109
406
9000
SH
SOLE
9000
0
0
TUPPERWARE BRANDS CORP
COM
899896104
209
3200
SH
SOLE
3200
0
0
TWO HBRS INVT CORP
COM
90187B101
16719
1960000
SH
SOLE
1960000
0
0
TRI CONTL CORP
COM
895436103
1502
70239
SH
SOLE
70239
0
0
UNIVERSAL FST PRODS INC
COM
913543104
394
4000
SH
SOLE
4000
0
0
ULTA SALON COSMETCS & FRAG I
COM
90384S303
321
1350
SH
SOLE
1350
0
0
ULTIMATE SOFTWARE GROUP INC
COM
90385D107
307
1500
SH
SOLE
1500
0
0
US BANCORP DEL
COM NEW
902973304
214
5000
SH
SOLE
5000
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
1450
18000
SH
SOLE
18000
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
350
7700
SH
SOLE
7700
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
219
4500
SH
SOLE
4500
0
0
CONTROLADORA VUELA CIA DE AV
SPON ADR RP 10
21240E105
243
14000
SH
SOLE
14000
0
0
INVESCO HIGH INCOME TR II
COM
46131F101
292
20000
SH
SOLE
20000
0
0
VANTIV INC
CL A
92210H105
366
6500
SH
SOLE
6500
0
0
VODAFONE GROUP PLC NEW
SPONS ADR NEW
92857W209
1458
50000
SH
SOLE
50000
0
0
VANGUARD INTL EQUITY INDEX F
FTSE PACIFIC ETF
922042866
242
4000
SH
SOLE
4000
0
0
VANGUARD INTL EQUITY INDEX F
FTSE SMCAP ETF
922042718
368
3700
SH
SOLE
3700
0
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
4939
420000
SH
SOLE
420000
0
0
VIAD CORP
COM NEW
92552R406
369
10000
SH
SOLE
10000
0
0
INVESCO SR INCOME TR
COM
46131H107
616
142347
SH
SOLE
142347
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
7256
139600
SH
SOLE
139600
0
0
WABTEC CORP
COM
929740108
294
3600
SH
SOLE
3600
0
0
WASHINGTON FED INC
COM
938824109
395
14800
SH
SOLE
14800
0
0
WASTE CONNECTIONS INC
COM
941053100
448
6000
SH
SOLE
6000
0
0
WESTERN DIGITAL CORP
COM
958102105
216
3700
SH
SOLE
3700
0
0
WHIRLPOOL CORP
COM
963320106
211
1300
SH
SOLE
1300
0
0
WIPRO LTD
SPON ADR 1 SH
97651M109
188
19400
SH
SOLE
19400
0
0
WABASH NATL CORP
COM
929566107
342
24000
SH
SOLE
24000
0
0
WESTERN UN CO
COM
959802109
418
20100
SH
SOLE
20100
0
0
WOODWARD INC
COM
980745103
344
5500
SH
SOLE
5500
0
0
DENTSPLY SIRONA INC
COM
24906P109
302
5079
SH
SOLE
5079
0
0
CLAYMORE EXCHANGE-TRD FD TR
GUGG CHINA ALLCP
18385P101
243
9000
SH
SOLE
9000
0
0
ZAIS FINL CORP
COM
98886K108
5267
365000
SH
SOLE
365000
0
0
ZELTIQ AESTHETICS INC
COM
98933Q108
333
8500
SH
SOLE
8500
0
0