-----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, CrXB3lKqQC0rYhCxt6awq3oscEiPLpYZ88HR+0mBNkvdiTUpWNheTx990ymSVVkY r067DhILgbJNKs042ADLZw== 0001193125-11-015653.txt : 20110127 0001193125-11-015653.hdr.sgml : 20110127 20110127115443 ACCESSION NUMBER: 0001193125-11-015653 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110127 DATE AS OF CHANGE: 20110127 EFFECTIVENESS DATE: 20110127 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: 11551206 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: December 31, 2010 Check here if Amendment [_]; Amendment Number: ----------- This Amendment (Check only one): [_] is a restatement [_] adds new holding 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 January 27, 2011 [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: 436 Form 13F Information Table Value Total: $174,587 (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 VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- --------------- --------- -------- --------- ------ ----- ---------- -------- ------ ------ ---- APPLE INC..................... COM 037833100 774 2,400 SH SOLE 2,400 ACCO BRANDS CORP.............. COM 00081T108 175 20,500 SH SOLE 20,500 ABM INDS INC.................. COM 000957100 342 13,000 SH SOLE 13,000 COMPANHIA DE BEBIDAS DAS AME.. SPON ADR PFD 20441W203 310 10,000 SH SOLE 10,000 ACTUATE CORP.................. COM 00508B102 171 30,000 SH SOLE 30,000 ADVENT CLAY GBL CONV SEC INC.. COM BENE INTER 007639107 330 36,000 SH SOLE 36,000 AMERICAN CAPITAL AGENCY CORP.. COM 02503X105 402 14,000 SH SOLE 14,000 AGRIUM INC.................... COM 008916108 551 6,000 SH SOLE 6,000 APOLLO INVT CORP.............. COM 03761U106 255 23,000 SH SOLE 23,000 ALBEMARLE CORP................ COM 012653101 279 5,000 SH SOLE 5,000 ALLETE INC.................... COM NEW 018522300 205 5,500 SH SOLE 5,500 ALERE INC..................... COM 01449J105 439 12,000 SH SOLE 12,000 ALASKA COMMUNICATION SYS GR... COM 01167P101 427 38,500 SH SOLE 38,500 AUTOLIV INC................... COM 052800109 276 3,500 SH SOLE 3,500 APPLIED MATLS INC............. COM 038222105 330 23,500 SH SOLE 23,500 AMGEN INC..................... COM 031162100 275 5,000 SH SOLE 5,000 AMERICA MOVIL SAB DE CV....... SPON ADR L SHS 02364W105 315 5,500 SH SOLE 5,500 AMAZON COM INC................ COM 023135106 252 1,400 SH SOLE 1,400 ANSYS INC..................... COM 03662Q105 234 4,500 SH SOLE 4,500 ARES CAP CORP................. COM 04010L103 1,319 80,000 SH SOLE 80,000 AMERICAN STRATEGIC INCM PTFL.. COM 030098107 289 24,000 SH SOLE 24,000 AMERICA FIRST TAX EX IVS L P.. BEN UNIT CTF 02364V107 199 38,000 SH SOLE 38,000 ALLIANT TECHSYSTEMS INC....... COM 018804104 261 3,500 SH SOLE 3,500 AVIAT NETWORKS INC............ COM 05366Y102 259 51,000 SH SOLE 51,000 AVERY DENNISON CORP........... COM 053611109 385 9,100 SH SOLE 9,100 ALLIANCEBERNSTEIN GBL HGH IN.. COM 01879R106 229 16,000 SH SOLE 16,000 AXIS CAPITAL HOLDINGS......... SHS G0692U109 448 12,500 SH SOLE 12,500 AURIZON MINES LTD............. COM 05155P106 234 32,000 SH SOLE 32,000 ASTRAZENECA PLC............... SPONSORED ADR 046353108 324 7,000 SH SOLE 7,000 BOEING CO..................... COM 097023105 294 4,500 SH SOLE 4,500 BANK OF AMERICA CORPORATION... COM 060505104 296 22,200 SH SOLE 22,200 BROOKFIELD ASSET MGMT INC..... CL A LTD VT SH 112585104 200 6,000 SH SOLE 6,000 BAXTER INTL INC............... COM 071813109 202 4,000 SH SOLE 4,000 BANCO BRADESCO S A............ SP ADR PFD NEW 059460303 216 10,648 SH SOLE 10,648 BCE INC....................... COM NEW 05534B760 301 8,500 SH SOLE 8,500 DEUTSCHE BK AG LONDON BRH..... MTLS DBL ETN38 25154K841 534 27,700 SH SOLE 27,700 BECKMAN COULTER INC........... COM 075811109 210 2,800 SH SOLE 2,800 FRANKLIN RES INC.............. COM 354613101 334 3,000 SH SOLE 3,000 BAKER HUGHES INC.............. COM 057224107 200 3,500 SH SOLE 3,500 BHP BILLITON LTD.............. SPONSORED ADR 088606108 260 2,800 SH SOLE 2,800 SPDR INDEX SHS FDS............ S&P BRIC 40 ETF 78463X798 373 13,600 SH SOLE 13,600 BIO RAD LABS INC.............. CL A 090572207 260 2,500 SH SOLE 2,500 BLACKROCK KELSO CAPITAL CORP.. COM 092533108 354 32,000 SH SOLE 32,000 BLACK HILLS CORP.............. COM 092113109 240 8,000 SH SOLE 8,000 BALL CORP..................... COM 058498106 361 5,300 SH SOLE 5,300 BRISTOL MYERS SQUIBB CO....... COM 110122108 225 8,500 SH SOLE 8,500 BANK NOVA SCOTIA HALIFAX...... COM 064149107 263 4,600 SH SOLE 4,600 BLACKROCK GLOBAL OPP EQTY TR.. COM 092501105 576 31,392 SH SOLE 31,392 MARKET VECTORS ETF TR......... BRAZL SMCP ETF 57060U613 392 6,800 SH SOLE 6,800 BROWN & BROWN INC............. COM 115236101 227 9,500 SH SOLE 9,500 AMERN STRATEGIC INCOME PTFL... COM 030099105 606 65,000 SH SOLE 65,000 BLACKROCK CREDIT ALL INC TR... COM 092508100 333 27,500 SH SOLE 27,500 BOARDWALK PIPELINE PARTNERS... UT LTD PARTNER 096627104 202 6,500 SH SOLE 6,500 CITIGROUP INC................. COM 172967101 208 44,000 SH SOLE 44,000 CA INC........................ COM 12673P105 337 13,800 SH SOLE 13,800 CABELAS INC................... COM 126804301 348 16,000 SH SOLE 16,000
MARKET VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- --------------- ---------- -------- --------- ------ ----- ---------- -------- ------- ------ ---- CONAGRA FOODS INC............. COM 205887102 210 9,300 SH SOLE 9,300 CATERPILLAR INC DEL........... COM 149123101 281 3,000 SH SOLE 3,000 CHUBB CORP.................... COM 171232101 388 6,500 SH SOLE 6,500 CNOOC LTD..................... SPONSORED ADR 126132109 286 1,200 SH SOLE 1,200 CF INDS HLDGS INC............. COM 125269100 324 2,400 SH SOLE 2,400 CAPITOL FED FINL.............. COM 14057J101 342 28,752 SH SOLE 28,752 CHINA UNICOM (HONG KONG) LTD.. SPONSORED ADR 16945R104 285 20,000 SH SOLE 20,000 CALAMOS CONV & HIGH INCOME F.. COM SHS 12811P108 607 48,000 SH SOLE 48,000 BANCOLOMBIA S A............... SPON ADR PREF 05968L102 538 8,700 SH SOLE 8,700 MFS INTERMEDIATE HIGH INC FD.. SH BEN INT 59318T109 242 82,000 SH SOLE 82,000 BLACKROCK ENH CAP & INC FD I.. COM 09256A109 193 13,000 SH SOLE 13,000 CREDIT SUISSE ASSET MGMT INC.. COM 224916106 481 135,000 SH SOLE 135,000 CHIMERA INVT CORP............. COM 16934Q109 1,739 423,000 SH SOLE 423,000 CINCINNATI FINL CORP.......... COM 172062101 222 7,000 SH SOLE 7,000 CLIFFS NATURAL RESOURCES INC.. COM NEW 18683K1013 429 5,500 SH SOLE 5,500 CALAMOS ASSET MGMT INC........ CL A 12811R104 420 30,000 SH SOLE 30,000 CND IMPERIAL BK OF COMMERCE... COM 136069101 235 3,000 SH SOLE 3,000 CENTENE CORP DEL.............. COM 15135B101 203 8,000 SH SOLE 8,000 CONCUR TECHNOLOGIES INC....... COM 206708109 260 5,000 SH SOLE 5,000 ROCKWELL COLLINS INC.......... COM 774341101 233 4,000 SH SOLE 4,000 BLACKROCK CORPOR HIGH YLD FD.. COM 09255L106 452 66,500 SH SOLE 66,500 COMPLETE PRODUCTION SERVICES.. COM 20453E109 355 12,000 SH SOLE 12,000 CRESUD S A C I F Y A.......... SPONSORED ADR 226406106 275 14,500 SH SOLE 14,500 AMERICAN STRATEGIC INCOME II.. COM 03009T101 635 83,000 SH SOLE 83,000 CALAMOS STRATEGIC TOTL RETN... COM SH BEN INT 128125101 509 55,000 SH SOLE 55,000 CENTURYLINK INC............... COM 156700106 277 6,000 SH SOLE 6,000 CENOVUS ENERGY INC............ COM 15135U109 226 6,800 SH SOLE 6,800 CHEVRON CORP NEW.............. COM 166764100 575 6,300 SH SOLE 6,300 CLAYMORE EXCHANGE TRADED FD... GUG MULTI ASSET 18383M506 456 22,700 SH SOLE 22,700 CHARTWELL DIVD & INCOME FD I.. COM 16139P104 737 173,000 SH SOLE 173,000 BLACKROCK CORPOR HI YLD III... COM 09255M104 623 92,000 SH SOLE 92,000 CYPRESS SHARPRIDGE............ COM 232820100 452 35,000 SH SOLE 35,000 CYTEC INDS INC................ COM 232820100 371 7,000 SH SOLE 7,000 DELL INC...................... COM 24702R101 140 10,300 SH SOLE 10,300 DIAGEO P L C.................. SPON ADR NEW 25243Q205 223 3,000 SH SOLE 3,000 WISDOMTREE TRUST.............. SMALLCAP DIVID 97717W604 427 9,000 SH SOLE 9,000 WISDOMTREE TRUST.............. JP SMALLCP DIV 97717W836 265 6,000 SH SOLE 6,000 DREYFUS HIGH YIELD STRATEGIE.. SH BEN INT 26200S101 1,370 310,000 SH SOLE 310,000 DIAMOND HILL INVESTMENT GROU.. COM NEW 25264R207 289 4,000 SH SOLE 4,000 CREDIT SUISSE HIGH YLD BND F.. SH BEN INT 22544F103 640 221,333 SH SOLE 221,333 WISDOMTREE TRUST.............. INTL MIDCAP DV 97717W778 342 6,600 SH SOLE 6,600 WISDOMTREE TRUST.............. INTL SMCAP DIV 97717W760 342 6,600 SH SOLE 6,600 DIAMOND OFFSHORE DRILLING IN.. COM 25271C102 332 5,000 SH SOLE 5,000 DUKE REALTY CORP.............. COM NEW 264411505 234 18,800 SH SOLE 18,800 DIAMONDROCK HOSPITALITY CO.... COM 252784301 252 21,000 SH SOLE 21,000 WISDOMTREE TRUST.............. INTL REAL EST 97717W331 601 21,000 SH SOLE 21,000 BLACKROCK DEBT STRAT FD INC... COM 09255R103 880 231,000 SH SOLE 231,000 WISDOMTREE TRUST.............. TOTAL DIVID FD 97717W109 345 7,400 SH SOLE 7,400 DTE ENERGY CO................. COM 233331107 227 5,000 SH SOLE 5,000 CAL DIVE INTL INC DEL......... COM 12802T101 136 24,000 SH SOLE 24,000 ISHARES TR.................... DJ SEL DIV INX 464287168 449 9,000 SH SOLE 9,000 SPDR INDEX SHS FDS............ S&P INTL ETF 78463X772 224 4,000 SH SOLE 4,000 ENI S P A..................... SPONSORED ADR 26874R108 219 5,000 SH SOLE 5,000 WELLS FARGO ADVANTAGE INCOME.. COM SHS 94987B105 510 53,000 SH SOLE 53,000 EBAY INC...................... COM 278642103 418 15,000 SH SOLE 15,000 ECOPETROL S A................. SPONSORED ADS 279158109 436 10,000 SH SOLE 10,000 US ECOLOGY INC................ COM 91732J102 226 13,000 SH SOLE 13,000 NEW ORIENTAL ED & TECH GRP I.. SPON ADR 647581107 237 2,250 SH SOLE 2,250 CLAYMORE EXCHANGE TRADED FD... BNY BRI&C PTF 18383M100 1,338 29,000 SH SOLE 29,000 ENBRIDGE ENERGY PARTNERS L P.. COM 29250R106 218 3,500 SH SOLE 3,500
MARKET VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ---------------- --------- -------- --------- ------ ----- ---------- -------- ------- ------ ---- ISHARES TR.................... MSCI GRW IDX 464288885 366 6,000 SH SOLE 6,000 ENERGEN CORP.................. COM 29265N108 212 4,400 SH SOLE 4,400 WESTERN ASSET GLB HI INCOME... COM 95766B109 747 58,000 SH SOLE 58,000 EARTHLINK INC................. COM 270321102 189 22,000 SH SOLE 22,000 ISHARES TR.................... JPMORGAN USD 464288281 1,317 12,300 SH SOLE 12,300 EASTMAN CHEM CO............... COM 277432100 336 4,000 SH SOLE 4,000 ENERSIS S A................... SPONSORED ADR 29274F104 279 12,000 SH SOLE 12,000 EMPRESA NACIONAL DE ELCTRCID.. SPONSORED ADR 29244T101 242 4,300 SH SOLE 4,300 ENTERPRISE PRODS PARTNERS L... COM 293792107 204 4,900 SH SOLE 4,900 EPOCH HOLDING CORP............ COM 29428R103 373 24,000 SH SOLE 24,000 WISDOMTREE TRUST.............. INDIA ERNGS FD 97717W422 359 13,600 SH SOLE 13,600 ISHARES INC................... MSCI PAC J IDX 464286665 211 4,500 SH SOLE 4,500 WELLS FARGO ADVANTAGE MULTI... COM SHS 94987D101 437 28,500 SH SOLE 28,500 ERICSSON L M TEL CO........... ADR B SEK 10 294821608 150 13,000 SH SOLE 13,000 EMBRAER S A................... SP ADR REP 4 COM 29082A107 279 9,500 SH SOLE 9,500 EATON VANCE TX ADV GLBL DIV... COM 27828S101 480 34,000 SH SOLE 34,000 EATON VANCE CORP.............. COM 278265103 363 12,000 SH SOLE 12,000 EATON VANCE LTD DUR INCOME F.. COM 27828H105 465 28,982 SH SOLE 28,982 ISHARES INC................... MSCI SINGAPORE 464286673 568 41,000 SH SOLE 41,000 ISHARES INC................... MSCI TAIWAN 464286731 422 27,000 SH SOLE 27,000 ISHARES INC................... MSCI UTD KINGD 464286699 197 11,350 SH SOLE 11,350 ISHARES INC................... MSCI MEXICO 464286822 433 7,000 SH SOLE 7,000 SPDR INDEX SHS FDS............ S&P EMKTSC ETF 78463X756 359 6,300 SH SOLE 6,300 ISHARES INC................... MSCI BRAZIL 464286400 341 4,400 SH SOLE 4,400 EXAR CORP..................... COM 300645108 140 20,000 SH SOLE 20,000 EXTRA SPACE STORAGE INC....... COM 30225T102 278 16,000 SH SOLE 16,000 ISHARES INC................... MSCI STH AFRCA 464286780 829 11,100 SH SOLE 11,100 FIRST TR ABERDEEN GLBL OPP F.. COM SHS 337319107 668 38,500 SH SOLE 38,500 FIBRIA CELULOSE S A........... SP ADR REP COM 31573A109 238 14,900 SH SOLE 14,900 FIRSTENERGY CORP.............. COM 337932107 218 5,900 SH SOLE 5,900 FIRST TR STRATEGIC HIGH INC... COM SHS 337353106 786 168,000 SH SOLE 168,000 FAIR ISAAC CORP............... COM 303250104 397 17,000 SH SOLE 17,000 FEDERATED INVS INC PA......... CL B 314211103 262 10,000 SH SOLE 10,000 FOOT LOCKER INC............... COM 344849104 245 12,500 SH SOLE 12,500 FLAHERTY & CRMRN/ CLYMRE T R.. COM 338479108 345 20,000 SH SOLE 20,000 FLOWSERVE CORP................ COM 34354P105 501 4,200 SH SOLE 4,200 F M C CORP.................... COM NEW 302491303 400 5,000 SH SOLE 5,000 FRESENIUS MED CARE AG&CO KGA.. SPONSORED ADR 358029106 260 4,500 SH SOLE 4,500 FIDELITY NATIONAL FINANCIAL... CL A 31620R105 219 16,000 SH SOLE 16,000 FIRST TR HIGH INCOME L/S FD... COM 33738E109 291 16,000 SH SOLE 16,000 FMC TECHNOLOGIES INC.......... COM 30249U101 267 3,000 SH SOLE 3,000 ISHARES TR.................... FTSE XNHUA IDX 464287184 745 17,300 SH SOLE 17,300 GABELLI EQUITY TR INC......... COM 362397101 629 111,000 SH SOLE 111,000 WESTERN ASSET GLB PTNRS INCO.. COM 95766G108 756 63,500 SH SOLE 63,500 GARDNER DENVER INC............ COM 365558105 275 4,000 SH SOLE 4,000 GAFISA S A.................... SPONS ADR 362607301 232 16,000 SH SOLE 16,000 GERDAU S A.................... SPONS ADR 373737105 206 14,700 SH SOLE 14,700 GRACO INC..................... COM 384109104 414 10,500 SH SOLE 10,500 GLOBAL PARTNERS LP............ COM UNITS 37946R109 411 15,000 SH SOLE 15,000 SPDR INDEX SHS FDS............ ASIA PACIF ETF 78463X301 814 9,600 SH SOLE 9,600 SPDR INDEX SHS FDS............ EMERG MKTS ETF 78463X509 446 6,000 SH SOLE 6,000
MARKET VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- -------------- --------- -------- --------- ------ ----- ---------- -------- ------- ------ ---- GREAT NORTHN IRON ORE PPTYS... CTFS BEN INT 391064102 983 7,000 SH SOLE 7,000 CLAYMORE GUGGENHEIME STR OPP.. COM SBI 18385X104 458 23,000 SH SOLE 23,000 GOODRICH CORP................. COM 382388106 264 3,000 SH SOLE 3,000 U S GLOBAL INVS INC........... CL A 902952100 154 19,000 SH SOLE 19,000 GOLDMAN SACHS GROUP INC....... COM 38141G104 336 2,000 SH SOLE 2,000 GLAXOSMITHKLINE PLC........... SPONSORED ADR 37733W105 235 6,000 SH SOLE 6,000 GRAFTECH INTL LTD............. COM 384313102 288 14,500 SH SOLE 14,500 SPDR INDEX SHS FDS............ EUROPE ETF 78463X608 248 5,000 SH SOLE 5,000 GENESEE & WYO INC............. CL A 371559105 238 4,500 SH SOLE 4,500 HALLMARK FINL SVCS INC........ COM NEW 40624Q203 155 17,000 SH SOLE 17,000 CLAYMORE ETF TRUST 2.......... CHINA SML CAP 18383Q853 481 16,000 SH SOLE 16,000 HELIOS ADVANTAGE INCOME FD I.. COM NEW 42327W206 367 48,000 SH SOLE 48,000 HIGHLAND CR STRATEGIES FD..... COM 43005Q107 424 56,000 SH SOLE 56,000 HUGOTON RTY TR TEX............ UNIT BEN INT 444717102 349 17,000 SH SOLE 17,000 HELIOS HIGH INCOME FD INC..... COM NEW 42327X204 217 30,000 SH SOLE 30,000 WESTERN ASSET HIGH INCM OPP... COM 95766K109 201 33,000 SH SOLE 33,000 BLACKROCK HIGH INCOME SHS..... SHS BEN INT 09250E107 227 110,000 SH SOLE 110,000 HITACHI LIMITED............... ADR 10 COM 433578507 203 3,800 SH SOLE 3,800 HOME PROPERTIES INC........... COM 437306103 222 4,000 SH SOLE 4,000 HELIOS MULTI SEC HI INC FD I.. COM NEW 42327Y202 369 73,300 SH SOLE 73,300 HARMONY GOLD MNG LTD.......... SPONSORED ADR 413216300 176 14,000 SH SOLE 14,000 PIONEER DIV HIGH INCOME TRUS.. COM BENE INTER 723653101 711 35,200 SH SOLE 35,200 HANCOCK JOHN PFD INCOME FD.... SH BEN INT 41013W108 224 12,000 SH SOLE 12,000 HEWLETT PACKARD CO............ COM 428236103 493 11,700 SH SOLE 11,700 HANCOCK JOHN PFD INCOME FD I.. COM 41021P103 224 14,000 SH SOLE 14,000 HARRIS CORP DEL............... COM 413875105 299 6,600 SH SOLE 6,600 HELIOS STRATEGIC INCOME FD I.. COM NEW 42328A203 213 40,000 SH SOLE 40,000 HATTERAS FINL CORP............ COM 41902R103 424 14,000 SH SOLE 14,000 HOUSTON AMERN ENERGY CORP..... COM 44183U100 733 40,500 SH SOLE 40,500 HEXCEL CORP NEW............... COM 428291108 289 16,000 SH SOLE 16,000 MARKET VECTORS ETF TR......... HG YLD MUN ETF 57060U878 342 12,000 SH SOLE 12,000 MANAGED HIGH YIELD PLUS FD I.. COM 561911108 915 416,000 SH SOLE 416,000 ISHARES TR.................... HIGH YLD CORP 464288513 3,928 43,500 SH SOLE 43,500 BLACKROCK CORPOR HI YLD FD V.. COM 09255P107 1,064 91,500 SH SOLE 91,500 ISHARES TR INDEX.............. NASDQ BIO INDX 464287556 346 3,700 SH SOLE 3,700 INTERLINE BRANDS INC.......... COM 458743101 330 14,500 SH SOLE 14,500 ICU MED INC................... COM 44930G107 219 6,000 SH SOLE 6,000 IDACORP INC................... COM 451107106 203 5,500 SH SOLE 5,500 ISHARES TR.................... DEV SM CP EX-N 464288497 388 10,000 SH SOLE 10,000 ISHARES TR.................... S&P NA MULTIMD 464287531 365 10,900 SH SOLE 10,900 ISHARES TR.................... S&P CITINT TBD 464288117 304 2,900 SH SOLE 2,900 ING CLARION GLB RE EST INCM... COM 44982G104 481 62,000 SH SOLE 62,000 IMAX CORP..................... COM 45245E109 393 14,000 SH SOLE 14,000 COHEN & STEERS GLOBAL INC BL.. COM 19248M103 135 12,000 SH SOLE 12,000 ISHARES TR.................... S&P INDIA 50 464289529 235 7,500 SH SOLE 7,500 INFOSYS TECHNOLOGIES LTD...... SPONSORED ADR 456788108 532 7,000 SH SOLE 7,000 INTUIT........................ COM 461202103 320 6,500 SH SOLE 6,500 INTL PAPER CO................. COM 460146103 226 8,300 SH SOLE 8,300 ITAU UNIBANCO BANCO MULTIPL... SPONS ADR 465562106 360 15,000 SH SOLE 15,000 INVESCO MORTGAGE CAPITAL INC.. COM 46131B100 2,009 92,000 SH SOLE 92,000 INVESCO LTD................... SHS G491BT108 457 19,000 SH SOLE 19,000 NUVEEN DIVERSIFIED DIV INCM... COM 6706EP105 583 53,500 SH SOLE 53,500 HANCOCK JOHN INVS TR.......... COM 410142103 201 10,000 SH SOLE 10,000 JONES LANG LASALLE INC........ COM 48020Q107 311 3,700 SH SOLE 3,700 JOHNSON & JOHNSON............. COM 478160104 247 4,000 SH SOLE 4,000 SPDR SERIES TRUST............. BRCLYS YLD ETF 78464A417 4,924 124,000 SH SOLE 124,000 NUVEEN MULTI STRAT INC & GR... COM 67073B106 392 47,000 SH SOLE 47,000 JPMORGAN CHASE & CO........... COM 46625H108 233 5,500 SH SOLE 5,500 SPDR INDEX SHS FDS............ RUSS NOMURA PR 78463X830 337 8,200 SH SOLE 8,200 NUVEEN QUALITY PFD INCOME FD.. COM 67072C105 229 29,000 SH SOLE 29,000 NUVEEN MULTI STRAT INC GR FD.. COM SHS 67073D102 264 30,000 SH SOLE 30,000 JAMES RIVER COAL CO........... COM NEW 470355207 215 8,500 SH SOLE 8,500 SPDR INDEX SHS FDS............ RUSS NOM SC JP 78463X822 388 9,000 SH SOLE 9,000 NUVEEN QUALITY PFD INCOME FD.. COM 67071S101 229 31,000 SH SOLE 31,000 KIMBERLY CLARK CORP........... COM 494368103 221 3,500 SH SOLE 3,500 DWS MULTI MKT INCOME TR....... SHS 23338L108 279 28,200 SH SOLE 28,200 COCA COLA CO.................. COM 191216100 263 4,000 SH SOLE 4,000
MARKET VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ---------------- --------- -------- --------- ------ ----- ---------- -------- ------- ------ ---- KOPPERS HOLDINGS INC.......... COM 50060P106 215 6,000 SH SOLE 6,000 KYOCERA CORP.................. ADR 501556203 205 2,000 SH SOLE 2,000 ADVENT CLAYMORE ENH GRW & IN.. COM 00765E104 413 35,000 SH SOLE 35,000 LATIN AMERN DISCOVERY FD INC.. COM 51828C106 193 10,000 SH SOLE 10,000 LEGGETT & PLATT INC........... COM 524660107 228 10,000 SH SOLE 10,000 CHINA LIFE INS CO LTD......... SPON ADR REP H 16939P106 306 5,000 SH SOLE 5,000 LITTELFUSE INC................ COM 537008104 235 5,000 SH SOLE 5,000 LACLEDE GROUP INC............. COM 505597104 219 6,000 SH SOLE 6,000 LABORATORY CORP AMER HLDGS.... COM NEW 50540R409 220 2,500 SH SOLE 2,500 LKQ CORP...................... COM 501889208 329 14,500 SH SOLE 14,500 LILLY ELI & CO................ COM 532457108 210 6,000 SH SOLE 6,000 LOCKHEED MARTIN CORP.......... COM 539830109 218 3,100 SH SOLE 3,100 LOWES COS INC................. COM 548661107 218 8,700 SH SOLE 8,700 LG DISPLAY CO LTD............. SPONS ADR REP 50186V102 213 12,000 SH SOLE 12,000 ISHARES TR INDEX.............. IBOXX INV CPBD 464287242 987 9,100 SH SOLE 9,100 LULULEMON ATHLETICA INC....... COM 550021109 274 4,000 SH SOLE 4,000 CLAYMORE EXCHANGE TRADED FD... GUG S&PG DIV OPP 18383M860 799 54,000 SH SOLE 54,000 LUBRIZOL CORP................. COM 549271104 310 2,900 SH SOLE 2,900 MACYS INC..................... COM 55616P104 354 14,000 SH SOLE 14,000 MCDONALDS CORP................ COM 580135101 230 3,000 SH SOLE 3,000 MICROCHIP TECHNOLOGY INC...... COM 595017104 469 13,700 SH SOLE 13,700 MICROS SYS INC................ COM 594901100 395 9,000 SH SOLE 9,000 MEASUREMENT SPECIALTIES INC... COM 583421102 440 15,000 SH SOLE 15,000 METHANEX CORP................. COM 59151K108 274 9,000 SH SOLE 9,000 MF GLOBAL HLDGS LTD........... COM 55277J108 150 17,900 SH SOLE 17,900 MFA FINANCIAL INC............. COM 55272X102 2,277 279,000 SH SOLE 279,000 MANULIFE FINL CORP............ COM 56501R106 241 14,000 SH SOLE 14,000 MACQUARIE GLBL INFRA TOTL RE.. COM 55608D101 397 23,000 SH SOLE 23,000 MCGRAW HILL COS INC........... COM 580645109 200 5,500 SH SOLE 5,500 MEDCO HEALTH SOLUTIONS INC.... COM 58405U102 306 5,000 SH SOLE 5,000 WESTERN ASSET MGD HI INCM F... COM 95766L107 479 78,200 SH SOLE 78,200 MILLER INDS INC TENN.......... COM NEW 600551204 162 11,400 SH SOLE 11,400 MARTIN MIDSTREAM PRTNRS L P... UNIT L P INT 573331105 276 7,000 SH SOLE 7,000 ALTRIA GROUP INC.............. COM 02209S103 209 8,500 SH SOLE 8,500 MOLEX INC..................... COM 608554101 227 10,000 SH SOLE 10,000 AMERICAN INCOME FD INC........ COM 02672T109 391 46,400 SH SOLE 46,400 MERCK & CO INC................ COM 589331107 252 7,000 SH SOLE 7,000 INVESCO HIGH YIELD INVST FD... COM 46133K108 316 53,000 SH SOLE 53,000 M & T BK CORP................. COM 55261F104 397 4,559 SH SOLE 4,559 MARKWEST ENERGY PARTNERS L P.. UNIT LTD PARTN 570759100 476 11,000 SH SOLE 11,000 AGIC INTL & PREM STRATEGY FD.. COM 00119Q100 339 24,000 SH SOLE 24,000 NCR CORP NEW.................. COM 62886E108 277 18,000 SH SOLE 18,000 AGIC CONV & INCOME FD......... COM 001190107 671 65,500 SH SOLE 65,500 AGIC CONV & INCOME FD II...... COM 001191105 918 98,000 SH SOLE 98,000 NETFLIX INC................... COM 64110L106 264 1,500 SH SOLE 1,500 NATIONAL FINL PARTNERS CORP... COM 63607P208 208 15,500 SH SOLE 15,500 NATIONAL GRID PLC............. SPON ADR NEW 636274300 200 4,500 SH SOLE 4,500 NATIONAL HEALTH INVS INC...... COM 63633D104 225 5,000 SH SOLE 5,000 NEUBERGER BERMAN HGH YLD FD... COM 64128C106 792 58,651 SH SOLE 58,651 NALCO HOLDING COMPANY......... COM 62985Q101 240 7,500 SH SOLE 7,500 ANNALY CAP MGMT INC........... COM 035710409 3,530 197,000 SH SOLE 197,000 NAVOIS MARITIME PARTNERS L P.. UNIT LPI Y62267102 195 10,000 SH SOLE 10,000 NATIONAL OILWELL VARCO INC.... COM 637071101 269 4,000 SH SOLE 4,000 NATIONAL PRESTO INDS INC...... COM 637215104 364 2,800 SH SOLE 2,800 NUSTAR ENERGY LP.............. UNIT COM 67058H102 208 3,000 SH SOLE 3,000 NORFOLK SOUTHERN CORP......... COM 655844108 220 3,500 SH SOLE 3,500 NOVO- NORDISK A S............. ADR 670100205 428 3,800 SH SOLE 3,800 NOVARTIS A G.................. SPONSORED ADR 66987V109 265 4,500 SH SOLE 4,500 OMEGA HEALTHCARE INVS INC..... COM 681936100 224 10,000 SH SOLE 10,000
MARKET VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- -------------- --------- -------- --------- ------ ----- ---------- -------- ------- ------ ---- GUGGENHEIM ENHNCD EQTY INCM... COM 40167B100 261 28,000 SH SOLE 28,000 ONE LIBERTY PPTYS INC......... COM 682406103 217 13,000 SH SOLE 13,000 OMNICOM GROUP INC............. COM 681919106 389 8,500 SH SOLE 8,500 OM GROUP INC.................. COM 670872100 231 6,000 SH SOLE 6,000 ORBITAL SCIENCES CORP......... COM 685564106 276 16,100 SH SOLE 16,100 ORACLE CORP................... COM 68389X105 241 7,700 SH SOLE 7,700 OYO GEOSPACE CORP............. COM 671074102 396 4,000 SH SOLE 4,000 PLAINS ALL AMERN PIPELINE L... UNIT LTD PARTN 726503105 213 3,400 SH SOLE 3,400 PAYCHEX INC................... COM 704326107 230 7,450 SH SOLE 7,450 POTLATCH CORP NEW............. COM 737630103 293 9,000 SH SOLE 9,000 PLUM CREEK TIMBER CO INC...... COM 729251108 300 8,000 SH SOLE 8,000 PIMCO CORPORATE INCOME FD..... COM 72200U100 651 42,000 SH SOLE 42,000 PRECISION CASTPARTS CORP...... COM 740189105 487 3,500 SH SOLE 3,500 SOUTHERN COPPER CORP.......... COM 84265V105 487 10,000 SH SOLE 10,000 HANCOCK JOHN PATRIOT PREM II.. COM SH BEN INT 41013T105 243 21,000 SH SOLE 21,000 MEDNAX INC.................... COM 58502B106 323 4,800 SH SOLE 4,800 POWERSHARES ETF TRUST......... HI YLD EQ DVDN 73935X302 467 52,700 SH SOLE 52,700 PIMCO INCOME STRATEGY FUND.... COM 72201H108 575 50,000 SH SOLE 50,000 PIMCO INCOME STRATEGY FUND I.. COM 72201J104 415 41,900 SH SOLE 41,900 POWERSHARES ETF TRUST......... FINL PFD PTFL 73935X229 1,285 73,000 SH SOLE 73,000 PIMCO GLOBAL STOCKSPLS INCM... COM 722011103 843 39,000 SH SOLE 39,000 POWERSHARES GLOBAL ETF TRUST.. HI YLD USD BD 73936T557 2,328 128,000 SH SOLE 128,000 PACHOLDER HIGH YIELD FD INC... COM 693742108 507 60,000 SH SOLE 60,000 PIMCO HIGH INCOME FD.......... COM SHS 722014107 1,018 80,000 SH SOLE 80,000 PIONEER HIGH INCOME TR........ COM 72369H106 945 61,000 SH SOLE 61,000 PICO HLDGS INC................ COM NEW 693366205 382 12,000 SH SOLE 12,000 POWERSHARES ETF TRUST II...... DWA EMRG MKTS 73936Q207 364 19,800 SH SOLE 19,800 PUTNAM MASTER INTER INCOME T.. SH BEN INT 746909100 400 69,000 SH SOLE 69,000 PIMCO INCOME OPPORTUNITY FD... COM 72202B100 281 11,000 SH SOLE 11,000 POWERSHARES ETF TRUST II...... GLOBL COAL ETF 73936Q884 487 13,000 SH SOLE 13,000 POSCO......................... SPONSORED ADR 693483109 323 3,000 SH SOLE 3,000 PROLOGIS...................... SH BEN INT 743410102 202 14,000 SH SOLE 14,000 PARAMETRIC TECHNOLOGY CORP.... COM NEW 699173209 360 16,000 SH SOLE 16,000 PANERA BREAD CO............... CL A 69840W108 354 3,500 SH SOLE 3,500 POLYONE CORP.................. COM 73179P106 250 20,000 SH SOLE 20,000 PUTNAM PREMIER INCOME TR...... SH BEN INT 746853100 716 114,000 SH SOLE 114,000 PROASSURANCE CORP............. COM 74267C106 358 5,900 SH SOLE 5,900 PARTNERRE LTD................. COM G6852T105 273 3,400 SH SOLE 3,400 PARK NATL CORP................ COM 700658107 218 3,000 SH SOLE 3,000 PAR PHARMACEUTICAL COS INC.... COM 69888P106 385 10,000 SH SOLE 10,000 PAREXEL INTL CORP............. COM 699462107 340 16,000 SH SOLE 16,000 PROSPECT CAPITAL CORPORATION.. COM 74348T102 443 41,000 SH SOLE 41,000 COLLECTIVE BRANDS INC......... COM 19421W100 232 11,000 SH SOLE 11,000 BLACKROCK CREDIT ALL INC TR... COM 09255H105 285 29,000 SH SOLE 29,000 PIMCO CORPORATE OPP FD........ COM 72201B101 484 28,500 SH SOLE 28,500 POWERSHARES ETF TRUST......... DYN UTIL PORTF 73935X591 561 36,000 SH SOLE 36,000 PENN VA RESOURCES PARTNERS L.. COM 707884102 566 20,000 SH SOLE 20,000 PRAXAIR INC................... COM 74005P104 239 2,500 SH SOLE 2,500 QUALITY SYS INC............... COM 747582104 209 3,000 SH SOLE 3,000 REYNOLDS AMERICAN INC......... COM 761713106 212 6,500 SH SOLE 6,500 RAVEN INDS INC................ COM 754212108 262 5,500 SH SOLE 5,500 REGAL BELOIT CORP............. COM 758750103 300 4,500 SH SOLE 4,500 PIMCO STRATEGIC GBL GOV FD I.. COM 72200X104 460 45,100 SH SOLE 45,100 REINSURANCE GROUP AMER INC.... COM NEW 759351604 242 4,500 SH SOLE 4,500 VALE S A...................... ADR 91912E105 270 7,800 SH SOLE 7,800 RESOURCE CAP CORP............. COM 76120W302 738 100,000 SH SOLE 100,000 RIO TINTO PLC................. SPONSORED ADR 767204100 229 3,200 SH SOLE 3,200 REVENUESHARES ETF TR.......... ADR FD 761396605 336 8,800 SH SOLE 8,800 ROYCE VALUE TR INC............ COM 780910105 494 34,000 SH SOLE 34,000
MARKET VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ---------------- --------- -------- --------- ------ ----- ---------- -------- ------ ------ ---- REVENUESHARES ETF TR.......... SMALL CAP FD 761396308 455 14,000 SH SOLE 14,000 REVENUESHARES ETF TR.......... MID CAP FD 761396209 443 15,000 SH SOLE 15,000 REVENUESHARES ETF TR.......... LARGECAP FD 761396100 326 13,800 SH SOLE 13,800 REDWOOD TR INC................ COM 758075402 311 20,800 SH SOLE 20,800 RAYONIER INC.................. COM 754907103 210 4,000 SH SOLE 4,000 BANCO SANTANDER CHILE NEW..... SP ADR REP COM 05965X109 234 2,500 SH SOLE 2,500 SAP AG........................ SPON ADR 803054204 202 4,000 SH SOLE 4,000 DEUTSCHE BK AG LONDON BRH..... DB 3X SHRT UST 25154N530 572 22,000 SH SOLE 22,000 SCANA CORP NEW................ COM 80589M102 203 5,000 SH SOLE 5,000 SCHNITZER STL INDS............ CL A 806882106 312 4,700 SH SOLE 4,700 SEADRILL LIMITED.............. SHS G7945E105 305 9,000 SH SOLE 9,000 SPECTRA ENERGY CORP........... COM 847560109 300 4,500 SH SOLE 4,500 SEI INVESTMENTS CO............ COM 784117103 378 15,900 SH SOLE 15,900 STIFEL FINL CORP.............. COM 860630102 310 5,000 SH SOLE 5,000 SINOPEC SHANGHAI PETROCHEMIC.. SPON ADR H 82935M109 464 9,000 SH SOLE 9,000 SIEMENS A G................... SPONSORED ADR 826197501 224 1,800 SH SOLE 1,800 SIGMA ALDRICH CORP............ COM 826552101 300 4,500 SH SOLE 4,500 COMPANHIA SIDERURGICA NACION.. SPONSORED ADR 20440W105 397 23,800 SH SOLE 23,800 AMERICAN SELECT PORTFOLIO IN.. COM 029570108 356 34,000 SH SOLE 34,000 SCHLUMBERGER LTD.............. COM 806857108 334 4,000 SH SOLE 4,000 SILGAN HOLDINGS INC........... COM 827048109 394 11,000 SH SOLE 11,000 SIMS METAL MANAGEMENT LTD..... SPONS ADR 829160100 284 13,000 SH SOLE 13,000 SMITH MICRO SOFTWARE INC...... COM 832154108 425 27,000 SH SOLE 27,000 SOLARFUN POWER HOLDINGS CO L.. SPONSORED ADR 83415U108 82 10,000 SH SOLE 10,000 SONOCO PRODS CO............... COM 835495102 222 6,600 SH SOLE 6,600 SPIRIT AEROSYSTEMS HLDGS INC.. COM CL A 848574109 312 15,000 SH SOLE 15,000 SPX CORP...................... COM 784635104 357 5,000 SH SOLE 5,000 SOCIEDAD QUIMICA MINERA DE C.. SPON ADR SER B 833635105 234 4,000 SH SOLE 4,000 STATOIL ASA................... SPONS ADR 85771P102 523 22,000 SH SOLE 22,000 SYMETRA FINL CORP............. COM 87151Q106 189 13,800 SH SOLE 13,800 SYNGENTA AG................... SPONSORED ADR 87160A100 382 6,500 SH SOLE 6,500 SYSCO CORP.................... COM 871829107 276 9,400 SH SOLE 9,400 AT & T CORP................... COM 00206R102 223 7,600 SH SOLE 7,600 TRANSALTA CORP................ COM 89346D107 216 10,200 SH SOLE 10,200 PROSHARES TR.................. PSHS ULTSH 20YRS 74347R297 556 15,000 SH SOLE 15,000 TORONTO DOMINION BK ONT....... COM NEW 891160509 253 3,400 SH SOLE 3,400 TERADATA CORP DEL............. COM 88076W103 268 6,500 SH SOLE 6,500 TELEDYNE TECHNOLOGIES INC..... COM 879360105 277 6,300 SH SOLE 6,300 TYCO ELECTRONICS LTD SWITZER.. SHS H8912P106 248 7,000 SH SOLE 7,000 TRIUMPH GROUP INC NEW......... COM 896818101 447 5,000 SH SOLE 5,000 ISHARES INC................... MSCI THAILAND 464286624 382 5,900 SH SOLE 5,900 TELLABS INC................... COM 879664100 163 24,000 SH SOLE 24,000 TALISMAN ENERGY INC........... COM 87425E103 244 11,000 SH SOLE 11,000 TELEFONOS DE MEXICO S A B..... SPON ADR ORD L 879403780 234 14,500 SH SOLE 14,500 TELE NORTE LESTE PART S A..... SPON ADR PFD 879246106 159 10,800 SH SOLE 10,800 TERRA NITROGEN CO L P......... COM UNIT 881005201 216 2,000 SH SOLE 2,000 TEEKAY TANKERS LTD............ CL A Y8565N102 247 20,000 SH SOLE 20,000 TOTAL S A..................... SPONSORED ADR 89151E109 214 4,000 SH SOLE 4,000 THOMPSON REUTERS CORP......... COM 884903105 369 9,900 SH SOLE 9,900 TRANSCANADA CORP.............. COM 89353D107 228 6,000 SH SOLE 6,000 TRUSTCO BK CORP N Y........... COM 898349105 197 31,000 SH SOLE 31,000 TRAVELERS COMPANIES INC....... COM 89417E109 223 4,000 SH SOLE 4,000 TRACTOR SUPPLY CO............. COM 892356106 398 8,200 SH SOLE 8,200 TCW STRATEGIC INCOME FUND IN.. COM 872340104 360 69,000 SH SOLE 69,000 TAIWAN SEMICONDUCTOR MFG LTD.. SPONSORED ADR 874039100 435 34,672 SH SOLE 34,672 TORO CO....................... COM 891092108 302 4,900 SH SOLE 4,900 TELUS CORP.................... NON-VTG SHS 87971M202 305 7,000 SH SOLE 7,000 ISHARES INC................... MSCI TURKEY FD 464286715 344 5,200 SH SOLE 5,200 GRUPO TELEVISA SA DE CV....... SP ADR REP ORD 40049J206 246 9,500 SH SOLE 9,500
MARKET VALUE TITLE OF (X$1000) SHARE/PRN SHARE/ PUT / INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (USD) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- --------- ------ ----- ---------- -------- ------ ------ ---- UFP TECHNOLOGIES INC.......... COM 902673102 268 22,000 SH SOLE 22,000 UNITED TECHNOLOGIES CORP...... COM 913017109 354 4,500 SH SOLE 4,500 VALERO ENERGY CORP NEW........ COM 91913Y100 231 10,000 SH SOLE 10,000 INVESCO VAN KAMPEN HIGH INCO.. COM NEW 46131F101 288 18,000 SH SOLE 18,000 VALLEY NATL BANCORP........... COM 919794107 232 16,200 SH SOLE 16,200 VISHAY PRECISION GROUP INC.... COM 92835K103 320 17,000 SH SOLE 17,000 VISHAY INTERTECHNOLOGY INC.... COM 928298108 279 19,000 SH SOLE 19,000 INVESCO VAN KAMP DYN CRDT OP.. COM 46132R104 409 33,500 SH SOLE 33,500 VANGUARD INTL EQUITY INDEX F.. EMR MKT ETF 922042858 818 17,000 SH SOLE 17,000 WABTEC CORP................... COM 929740108 264 5,000 SH SOLE 5,000 WALTER INVT MGMT CORP......... COM 93317W102 197 10,999 SH SOLE 10,999 WALGREEN CO................... COM 931422109 292 7,500 SH SOLE 7,500 WABCO HLDGS INC............... COM 92927K102 427 7,000 SH SOLE 7,000 WESTPAC BKG CORP.............. SPONSORED ADR 961214301 286 2,500 SH SOLE 2,500 WASTE CONNECTIONS INC......... COM 941053100 318 11,550 SH SOLE 11,550 WESTERN ASSET PREMIER BD FD... SHS BEN INT 957664105 339 24,000 SH SOLE 24,000 WOODWARD GOVERNOR CO.......... COM 980745103 413 11,000 SH SOLE 11,000 WINDSTREAM CORP............... COM 97381W104 641 45,952 SH SOLE 45,952 WALTER ENERGY INC............. COM 93317Q105 511 4,000 SH SOLE 4,000 WMS INDS INC.................. COM 929297109 299 6,600 SH SOLE 6,600 WAL MART STORES INC........... COM 931142103 243 4,500 SH SOLE 4,500 WILLIS GROUP HOLDINGS PUBLIC.. SHS G96666105 260 7,500 SH SOLE 7,500 WORLD WRESTLING ENTMT INC..... CL A 98156Q108 221 15,500 SH SOLE 15,500 WEYERHAEUSER CO............... COM 962166104 358 18,920 SH SOLE 18,920 SELECT SECTOR SPDR TR......... SBI INT-TECH 81369Y803 330 13,100 SH SOLE 13,100
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