-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PfNAvwoUGUr1pKha6gLsdWdNatRjEbRMelJ12YYcmtCRmIYPFqjxQLGiLsn5G1Ek ro1b67VeYyA/Zxka2M988A== 0001193125-08-167849.txt : 20080806 0001193125-08-167849.hdr.sgml : 20080806 20080806120207 ACCESSION NUMBER: 0001193125-08-167849 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080806 DATE AS OF CHANGE: 20080806 EFFECTIVENESS DATE: 20080806 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: 08993970 BUSINESS ADDRESS: STREET 1: AMERICAN PENSION INVESTORS TRUST STREET 2: 2303 YORKTOWN AVE CITY: LYNCHBURG STATE: VA ZIP: 24501 MAIL ADDRESS: STREET 1: AMERICAN PENSION INVESTORS TRUST STREET 2: 2303 YORKTOWN AVE CITY: LYNCHBURG STATE: VA ZIP: 24501 13F-HR 1 d13fhr.txt 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: June 30, 2008 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: Yorktown Management & Research Company, Inc. Address: 2303 Yorktown Avenue Lynchburg, Virginia 24501 Form 13F File Number: 28-12529 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: David D. Basten Title: President Phone: (434) 846-1361 Signature, Place, and Date of Signing: /s/ David D. Basten - --------------------- Lynchburg, Virginia August 5, 2008 [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: 0 Form 13F Information Table Entry Total: 135 Form 13F Information Table Value Total: $147,284 (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.] NONE
MARKET SHARE/ TITLE OF VALUE (x$1000) PRN SHARE/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- --------------- --------- -------------- ------- ------ ---- ---------- -------- ------- ------ ---- ALCOA INC COM 013817101 962 27,000 SH SOLE 27,000 ACE LTD ORD G0070K103 1,047 19,000 SH SOLE 19,000 AMERICREDIT CORP COM 03060R101 715 83,000 SH SOLE 83,000 BLDRS INDEX FDS TR DEV MK 100 ADR 09348R201 826 30,000 SH SOLE 30,000 BLDRS INDEX FDS TR EMER MK 50 ADR 09348R300 1,790 35,000 SH SOLE 35,000 AIXTRON AKTIENGESELLSCHAFT SPONSORED ADR 009606104 391 38,000 SH SOLE 38,000 BOEING CO COM 097023105 657 10,000 SH SOLE 10,000 BELDEN CDT INC COM 077454106 779 23,000 SH SOLE 23,000 FRANKLIN RES INC COM 354613101 917 10,000 SH SOLE 1,000 SPDR INDEX SHS FDS S&P BRIC 40 ETF 78463X798 1,286 43,000 SH SOLE 43,000 BLACKROCK INC COM 09247X101 885 5,000 SH SOLE 5,000 MORGAN STANLEY CHINA A SH FD COM 617468103 1,353 37,000 SH SOLE 37,000 COPART INC COM 217204106 1,199 28,000 SH SOLE 28,000 CADBURY SCHWEPPES PLC ADR 127209302 483 9,600 SH SOLE 9,600 COMMSCOPE INC COM 203372107 1,266 24,000 SH SOLE 24,000 DONALDSON INC COM 257651109 804 18,000 SH SOLE 18,000 PROSHARES TR ULTRA DOW 30 74347R305 789 13,000 SH SOLE 13,000 DEERE & CO COM 244199105 649 9,000 SH SOLE 9,000 WISDOMTREE TRUST EUROPE TOT DIV 97717W885 819 14,000 SH SOLE 14,000 WISDOMTREE TRUST EMRG MKT HGHYD 97717W315 728 14,000 SH SOLE 14,000 WISDOMTREE TRUST EUROPE SMCP DV 97717W869 560 11,000 SH SOLE 11,000 WISDOMTREE TRUST HG-YIELDING EQ 97717W208 398 10,000 SH SOLE 10,000 WISDOMTREE TRUST MIDCAP DIVI FD 97717W505 1,145 25,000 SH SOLE 25,000 WISDOMTREE TRUST INTL DV TOP100 97717W786 657 11,000 SH SOLE 11,000 ISHARES TR DJ SEL DIV INX 464287168 591 12,000 SH SOLE 12,000 CLAYMORE EXCHANGE TRADED FD BNY BRI&C PTF 18383M100 1,632 33,000 SH SOLE 33,000 ISHARES TR MSCI EAFE IDX 464287465 1,168 17,000 SH SOLE 17,000 ISHARES TR MSCI GRW IDX 464288885 1,766 25,000 SH SOLE 25,000 ISHARES TR MSCI VAL IDX 464288877 931 15,300 SH SOLE 15,300 ISHARES TR JPMORGAN USD 464288281 495 5,000 SH SOLE 5,000 ISHARES INC MSCI PAC J IDX 464286665 1,837 13,500 SH SOLE 13,500 ENSCO INTL INC COM 26874Q100 1,292 16,000 SH SOLE 16,000 ISHARES INC MSCI AUSTRALIA 464286103 1,254 47,000 SH SOLE 47,000 ISHARES INC MSCI CDA INDEX 464286509 798 24,000 SH SOLE 24,000 ISHARES INC MSCI SWEDEN 464286756 1,710 66,700 SH SOLE 66,700 ISHARES INC MSCI HONG KONG 464286871 1,659 98,000 SH SOLE 98,000 ISHARES INC MSCI JAPAN 464286848 1,211 97,000 SH SOLE 97,000 ISHARES INC MSCI AUSTRIA 464286202 1,254 36,000 SH SOLE 36,000 ISHARES INC MSCI SPAIN 464286764 1,191 22,000 SH SOLE 22,000 ISHARES INC MSCI SINGAPORE 464286673 2,934 237,000 SH SOLE 237,000 ISHARES INC MSCI TAIWAN 464286731 1,568 111,000 SH SOLE 111,000 ISHARES INC MSCI UTD KINGD 464286699 1,146 55,000 SH SOLE 55,000 ISHARES INC MSCI MEXICO 464286822 1,367 24,000 SH SOLE 24,000 ISHARES INC MSCI S KOREA 464286772 819 16,000 SH SOLE 16,000 ISHARES INC MSCI BRAZIL 464286400 3,494 39,000 SH SOLE 39,000 ISHARES INC MSCI STH AFRCA 464286780 1,195 10,500 SH SOLE 10,500 SPDR INDEX SHS FDS DJ EURSTX50ETF 78463X202 2,951 57,500 SH SOLE 57,500 FLIR SYS INC COM 302445101 1,461 36,000 SH SOLE 36,000 CLAYMORE ETF TRUST 2 CLAY/BNY ETF 18383Q838 1,051 43,000 SH SOLE 43,000
MARKET SHARE/ TITLE OF VALUE (x$1000) PRN SHARE/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- --------------- --------- -------------- ------- ------ ---- ---------- -------- ------- ------ ---- FRONTLINE LTD SHS G3682E127 1,745 25,000 SH SOLE 25,000 ISHARES TR FTSE XNHUA IDX 464287184 920 7,000 SH SOLE 7,000 SPDR INDEX SHS FDS MIDEAST AFRICA 78463X806 716 11,000 SH SOLE 11,000 GAFISA S A SPONS ADR 362607301 1,031 30,000 SH SOLE 30,000 GERDAU S A SPONS ADR 373737105 672 28,000 SH SOLE 28,000 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 1,815 26,000 SH SOLE 26,000 SPDR INDEX SHS FDS LATIN AMER ETF 78463X707 661 7,500 SH SOLE 7,500 SPDR INDEX SHS FDS EMERG MKTS ETF 78463X509 839 12,000 SH SOLE 12,000 SPDR INDEX SHS FDS EUROPE ETF 78463X608 1,308 20,000 SH SOLE 20,000 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 1,082 16,000 SH SOLE 16,000 HDFC BANK LTD ADR REPS 3 SHS 40415F101 752 10,500 SH SOLE 10,500 HONEYWELL INTL INC COM 438516106 654 13,000 SH SOLE 13,000 HOUSTON AMERN ENERGY CORP COM 44183U100 1,122 100,000 SH SOLE 100,000 INTERNATIONAL BUSINESS MACHS COM 459200101 1,067 9,000 SH SOLE 9,000 ISHARES TR COHEN&ST RLTY 464287564 676 9,000 SH SOLE 9,000 ISHARES TR S&P EURO PLUS 464287861 1,167 12,000 SH SOLE 12,000 ISHARES TR DEV SM CP EX-N 464288497 1,717 42,000 SH SOLE 42,000 ISHARES TR GLMN SCHS NETW 464287531 1,184 41,500 SH SOLE 41,500 ISHARES TR S&P LTN AM 40 464287390 2,750 10,000 SH SOLE 10,000 INVERNESS MED INNOVATIONS IN COM 46126P106 995 30,000 SH SOLE 30,000 BARCLAYS BK PLC IP MSCI IND 36 06739F291 1,156 22,000 SH SOLE 22,000 ISHARES TR S&P/TOPIX 150 464287382 664 6,000 SH SOLE 6,000 ISHARES TR S&P GBL ENER 464287341 916 6,000 SH SOLE 6,000 ISHARES TR S&P GBL FIN 464287333 358 6,000 SH SOLE 6,000 ISHARES TR DJ US INDEX FD 464287846 1,137 18,000 SH SOLE 18,000 JP MORGAN CHASE & CO COM 46625H100 583 17,000 SH SOLE 17,000 SPDR SERIES TRUST KBW BK ETF 78464A797 600 21,000 SH SOLE 21,000 SPDR SERIES TRUST KBW CAP MKTS 78464A771 727 16,000 SH SOLE 16,000 KRAFT FOODS INC CL A 50075N104 654 23,000 SH SOLE 23,000 SPDR SERIES TRUST KBW INS ETF 78464A789 735 18,000 SH SOLE 18,000 COCA COLA CO COM 191216100 624 12,000 SH SOLE 12,000 LATIN AMERN DISCOVERY FD INC COM 51828C106 714 26,500 SH SOLE 26,500 METLIFE INC COM 59156R108 1,003 19,000 SH SOLE 19,000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 712 20,000 SH SOLE 20,000 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 1,448 23,500 SH SOLE 23,500 MINDRAY MEDICAL INTL LTD SPON ADR 602675100 1,269 34,000 SH SOLE 34,000 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 1,387 14,000 SH SOLE 14,000 PROSHARES TR ULTRA MDCAP 400 74347R404 1,133 16,000 SH SOLE 16,000 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 957 76,000 SH SOLE 76,000 NUANCE COMMUNICATIONS INC COM 67020Y100 878 56,000 SH SOLE 56,000 BARCLAYS BK PLC IPGS CRUDOIL36 06738C786 1,010 12,000 SH SOLE 12,000 PACCAR INC COM 693718108 648 15,500 SH SOLE 15,500 SOUTHERN COPPER CORP COM 84265V105 853 8,000 SH SOLE 8,000 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 470 19,000 SH SOLE 19,000 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 450 24,000 SH SOLE 24,000 POWERSHARES ETF TRUST GOLDEN DRG USX 73935X401 1,043 42,000 SH SOLE 42,000 POWERSHARES AGGRESV ETF TRUST GROWTH 73935X294 1,882 74,000 SH SOLE 74,000 PHILIPPINE LONG DISTANCE TEL SPONSORED ADR 718252604 534 10,000 SH SOLE 10,000 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 184 10,500 SH SOLE 10,500 PROLOGIS SH BEN INT 743410102 658 12,100 SH SOLE 12,100
MARKET SHARE/ TITLE OF VALUE (x$1000) PRN SHARE/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- --------------- --------- -------------- ------ ------ ---- ---------- -------- ------ ------ ---- POWERSHARES GLOBAL ETF TRUST ASIA PAC OPPOR 73936T102 550 25,000 SH SOLE 25,000 POWERSHARES ETF TRUST DYNAMIC OTC PT 73935X203 1,856 40,000 SH SOLE 40,000 PROSHARES TR ULTRA QQQ PSHS 74347R206 1,103 15,000 SH SOLE 15,000 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 497 11,000 SH SOLE 11,000 DR REDDYS LABS LTD ADR 256135203 811 52,000 SH SOLE 52,000 RYDEX ETF TRUST S&PMC400 PURVL 78355W502 1,165 42,000 SH SOLE 42,000 TRANSOCEAN INC NEW SHS G90073100 1,067 7,000 SH SOLE 7,000 ROFIN SINAR TECHNOLOGIES INC COM 775043102 876 29,000 SH SOLE 29,000 RYDEX ETF TRUST S&P 500 2X ETF 78355W783 947 18,000 SH SOLE 18,000 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 976 18,000 SH SOLE 18,000 RYDEX ETF TRUST S&PSC600 PURVL 78355W700 876 31,000 SH SOLE 31,000 PROSHARES TR ULTRA SMCAP 600 74347R818 1,052 21,000 SH SOLE 21,000 AT&T INC COM 00206R102 573 17,000 SH SOLE 17,000 SPDR SERIES TRUST S&P DIVID ETF 78464A763 693 15,500 SH SOLE 15,500 SILGAN HOLDINGS INC COM 827048109 863 17,000 SH SOLE 17,000 PROSHARES TR ULTRA S&P 500 74347R107 797 13,000 SH SOLE 13,000 BANCO SANTANDER SA ADR 05964H105 855 47,000 SH SOLE 47,000 STATOILHYDRO ASA SPONSORED ADR 85771P102 1,232 32,950 SH SOLE 32,950 TRANSALTA CORP COM 89346D107 834 23,000 SH SOLE 23,000 SPDR SERIES TRUST DJWS TOTAL MKT 78464A805 748 8,000 SH SOLE 8,000 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 947 38,000 SH SOLE 38,000 TRANSCANADA CORP COM 89353D107 698 18,000 SH SOLE 18,000 PROSHARES TR ULT 1000 GRWTH 74347R537 1,704 30,000 SH SOLE 30,000 PROSHARES TR ULT 2000 GRWTH 74347R487 1,850 36,000 SH SOLE 36,000 PROSHARES TR ULT MDCP GRWTH 74347R511 1,789 32,000 SH SOLE 32,000 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 236 10,500 SH SOLE 10,500 PROSHARES TR ULT 1000 VALUE 74347R529 961 22,000 SH SOLE 22,000 PROSHARES TR ULT 2000 VALUE 74347R479 1,927 53,000 SH SOLE 53,000 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2,002 30,000 SH SOLE 30,000 VANGUARD WORLD FUNDS INF TECH ETF 92204A702 1,857 35,000 SH SOLE 35,000 OPEN JT STK CO-VIMPEL COMMUN SPONSORED ADR 68370R109 1,098 37,000 SH SOLE 37,000 VANGUARD WORLD FDS UTILITIES ETF 92204A876 210 2,500 SH SOLE 2,500 VANGUARD INDEX FDS GROWTH ETF 922908736 1,956 33,000 SH SOLE 33,000 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 2,885 62,000 SH SOLE 62,000 WADELL & REED FINL INC CL A 930059100 1,190 34,000 SH SOLE 34,000 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1,463 35,000 SH SOLE 35,000
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