0000950123-21-013899.txt : 20211104
0000950123-21-013899.hdr.sgml : 20211104
20211104093912
ACCESSION NUMBER: 0000950123-21-013899
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211104
DATE AS OF CHANGE: 20211104
EFFECTIVENESS DATE: 20211104
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: 211378532
BUSINESS ADDRESS:
STREET 1: 106 ANNJO COURT SUITE A
CITY: FOREST
STATE: VA
ZIP: 24551
BUSINESS PHONE: 800-544-6060
MAIL ADDRESS:
STREET 1: 106 ANNJO COURT SUITE A
CITY: FOREST
STATE: VA
ZIP: 24551
13F-HR
1
primary_doc.xml
13F-HR
LIVE
0001313559
XXXXXXXX
09-30-2021
09-30-2021
false
Yorktown Management & Research Co Inc
106 Annjo Court Suite A
Forest
VA
24551
13F HOLDINGS REPORT
028-12529
N
David D. Basten
President
(434) 846-1361
David D. Basten
Forest
VA
11-04-2021
0
248
132985
false
INFORMATION TABLE
2
6577.xml
INFORMATION TABLE FOR FORM 13F
Abbott Laboratories
COM
002824100
219
1850
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SOLE
1850
0
0
ABIOMED, Inc.
COM
003654100
505
1550
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1550
0
0
Adobe Systems, Inc.
COM
00724F101
259
450
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450
0
0
Advanced Energy Industries, Inc.
COM
007973100
404
4600
SH
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4600
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0
Agilent Technologies, Inc.
COM
00846U101
293
1860
SH
SOLE
1860
0
0
Alaska Air Group, Inc.
COM
011659109
943
16100
SH
SOLE
16100
0
0
Alexandria Real Estate Equities, Inc.
COM
015271109
545
2850
SH
SOLE
2850
0
0
Align Technology, Inc.
COM
016255101
253
380
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380
0
0
Alphabet, Inc.
CAP STK CL A
02079K305
321
120
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SOLE
120
0
0
Amazon.com, Inc.
COM
023135106
223
68
SH
SOLE
68
0
0
Ameresco, Inc.
CL A
02361E108
453
7750
SH
SOLE
7750
0
0
American Express Co.
COM
025816109
353
2110
SH
SOLE
2110
0
0
Amkor Technology, Inc.
COM
031652100
719
28800
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28800
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0
Analog Devices, Inc.
COM
032654105
251
1500
SH
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1500
0
0
Apollo Medical Holdings, Inc.
COM NEW
03763A207
646
7100
SH
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7100
0
0
Apple, Inc.
COM
037833100
233
1650
SH
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1650
0
0
Archer-Daniels-Midland Co.
COM
039483102
268
4465
SH
SOLE
4465
0
0
Array Technologies, Inc.
COM SHS
04271T100
594
32100
SH
SOLE
32100
0
0
Artisan Partners Asset Management, Inc.
CL A
04316A108
514
10500
SH
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10500
0
0
B&G Foods, Inc.
COM
05508R106
774
25900
SH
SOLE
25900
0
0
BJ's Wholesale Club Holdings, Inc.
COM
05550J101
972
17700
SH
SOLE
17700
0
0
Baidu, Inc.
SPON ADR REP A
056752108
231
1500
SH
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1500
0
0
Berry Plastics Group, Inc.
COM
08579W103
484
7950
SH
SOLE
7950
0
0
Bill.com Holdings, Inc.
COM
090043100
235
880
SH
SOLE
880
0
0
Bio-Techne Corp.
COM
09073M104
581
1200
SH
SOLE
1200
0
0
Blackstone Group LP/The
COM
09260D107
377
3240
SH
SOLE
3240
0
0
Bristol-Myers Squibb Co.
COM
110122108
233
3930
SH
SOLE
3930
0
0
Broadcom, Inc.
COM
11135F101
274
565
SH
SOLE
565
0
0
Buckle, Inc.
COM
118440106
451
11400
SH
SOLE
11400
0
0
CBRE Group, Inc.
CL A
12504L109
652
6700
SH
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6700
0
0
CDW Corp.
COM
12514G108
400
2200
SH
SOLE
2200
0
0
CMC Materials, Inc.
COM
12571T100
370
3000
SH
SOLE
3000
0
0
CME Group, Inc.
COM
12572Q105
270
1395
SH
SOLE
1395
0
0
CVS Health Corp.
COM
126650100
279
3290
SH
SOLE
3290
0
0
Cable One, Inc.
COM
12685J105
562
310
SH
SOLE
310
0
0
CarMax, Inc.
COM
143130102
242
1890
SH
SOLE
1890
0
0
Catalent, Inc.
COM
148806102
526
3950
SH
SOLE
3950
0
0
Caterpillar, Inc.
COM
149123101
230
1200
SH
SOLE
1200
0
0
Charles River Laboratories International, Inc.
COM
159864107
743
1800
SH
SOLE
1800
0
0
Chemed Corp.
COM
16359R103
512
1100
SH
SOLE
1100
0
0
Chipotle Mexican Grill, Inc.
COM
169656105
291
160
SH
SOLE
160
0
0
Ciena Corp.
COM NEW
171779309
478
9300
SH
SOLE
9300
0
0
Cleveland-Cliffs, Inc.
COM
185899101
1585
80000
SH
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80000
0
0
Cognex Corp.
COM
192422103
409
5100
SH
SOLE
5100
0
0
Commercial Metals Co.
COM
201723103
487
16000
SH
SOLE
16000
0
0
ConAgra Foods, Inc.
COM
205887102
474
14000
SH
SOLE
14000
0
0
Concentrix Corp.
COM
20602D101
478
2700
SH
SOLE
2700
0
0
Cooper Cos, Inc./ The
COM NEW
216648402
513
1240
SH
SOLE
1240
0
0
Copart, Inc.
COM
217204106
258
1860
SH
SOLE
1860
0
0
CoStar Group, Inc.
COM
22160N109
473
5500
SH
SOLE
5500
0
0
Cowen Group, Inc.
CL A NEW
223622606
480
14000
SH
SOLE
14000
0
0
Credit Acceptance Corp.
COM
225310101
819
1400
SH
SOLE
1400
0
0
Crowdstrike Holdings, Inc.
CL A
22788C105
278
1130
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1130
0
0
Crown Castle International Corp.
COM
22822V101
251
1450
SH
SOLE
1450
0
0
Crown Holdings, Inc.
COM
228368106
484
4800
SH
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4800
0
0
CyrusOne, Inc.
COM
23283R100
550
7100
SH
SOLE
7100
0
0
D.R. Horton, Inc.
COM
23331A109
285
3400
SH
SOLE
3400
0
0
Deere & Co.
COM
244199105
281
840
SH
SOLE
840
0
0
Descartes Systems Group, Inc./The
COM
249906108
666
8200
SH
SOLE
8200
0
0
DexCom, Inc.
COM
252131107
317
580
SH
SOLE
580
0
0
Dick's Sporting Goods, Inc.
COM
253393102
1078
9000
SH
SOLE
9000
0
0
Digital Realty Trust, Inc.
COM
253868103
263
1820
SH
SOLE
1820
0
0
Digital Turbine, Inc.
COM NEW
25400W102
498
7250
SH
SOLE
7250
0
0
Walt Disney Co./The
COM
254687106
257
1520
SH
SOLE
1520
0
0
Discovery, Inc.
COM SER A
25470F104
292
11500
SH
SOLE
11500
0
0
DocuSign, Inc.
COM
256163106
247
960
SH
SOLE
960
0
0
Dollar General Corp.
COM
256677105
240
1130
SH
SOLE
1130
0
0
DraftKings, Inc.
COM CL A
26142R104
234
4860
SH
SOLE
4860
0
0
Duke Energy Corp.
COM NEW
26441C204
259
2650
SH
SOLE
2650
0
0
EOG Resources, Inc.
COM
26875P101
393
4900
SH
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Emergent BioSolutions, Inc.
COM
29089Q105
411
8200
SH
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8200
0
0
Enanta Pharmaceuticals, Inc.
COM
29251M106
591
10400
SH
SOLE
10400
0
0
Encompass Health Corp.
COM
29261A100
345
4600
SH
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4600
0
0
Entegris, Inc.
COM
29362U104
680
5400
SH
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EPAM Systems, Inc.
COM
29414B104
742
1300
SH
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1300
0
0
Etsy, Inc.
COM
29786A106
774
3720
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Exact Sciences Corp.
COM
30063P105
233
2440
SH
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2440
0
0
ExlService Holdings, Inc.
COM
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677
5500
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Expedia, Inc.
COM NEW
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282
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FTI Consulting, Inc.
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620
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Facebook, Inc.
CL A
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292
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860
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FactSet Research Systems, Inc.
COM
303075105
632
1600
SH
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51job Inc.
SPONSORED ADS
316827104
563
8100
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8100
0
0
First BanCorp. (Puerto Rico)
COM NEW
318672706
934
71000
SH
SOLE
71000
0
0
FirstService Corp.
COM
33767E202
415
2300
SH
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2300
0
0
Five Below, Inc.
COM
33829M101
424
2400
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2400
0
0
Fortinet, Inc.
COM
34959E109
672
2300
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2300
0
0
Franklin Electric Co., Inc.
COM
353514102
479
6000
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6000
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Arthur J Gallagher & Co.
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416
2800
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2800
0
0
Gartner, Inc.
COM
366651107
790
2600
SH
SOLE
2600
0
0
Generac Holdings, Inc.
COM
368736104
613
1500
SH
SOLE
1500
0
0
General Dynamics Corp.
COM
369550108
316
1610
SH
SOLE
1610
0
0
Genmab A/S
SPONSORED ADS
372303206
441
10100
SH
SOLE
10100
0
0
Globus Medical, Inc.
CL A
379577208
490
6400
SH
SOLE
6400
0
0
Graco, Inc.
COM
384109104
322
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4600
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Gray Television, Inc.
COM
389375106
772
33850
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33850
0
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Guidewire Software, Inc.
COM
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606
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Hamilton Lane, Inc.
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458
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Haverty Furniture Cos, Inc.
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371
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HEICO Corp.
COM
422806109
422
3200
SH
SOLE
3200
0
0
Nuazhu Group Ltd.
SPONSORED ADS
44332N106
413
9000
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9000
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IAC/InterActiveCorp.
COM NEW
44891N208
274
2100
SH
SOLE
2100
0
0
IDEX Corp.
COM
45167R104
455
2200
SH
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0
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Incyte Corp.
COM
45337C102
413
6000
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6000
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Ingersoll Rand, Inc.
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489
9700
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Insulet Corp.
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45784P101
611
2150
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2150
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Intellia Therapeutics, Inc.
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45826J105
2455
18300
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SOLE
18300
0
0
Interactive Brokers Group, Inc.
COM CL A
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452
7250
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SOLE
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0
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Intercontinental Exchange, Inc.
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45866F104
241
2100
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2100
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0
Intuit, Inc.
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356
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660
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Intuitive Surgical, Inc.
COM NEW
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298
300
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300
0
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Iridium Communications, Inc.
COM
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709
17800
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iRobot Corp.
COM
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259
3300
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3300
0
0
Jounce Therapeutics, Inc.
COM
481116101
841
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SH
SOLE
113200
0
0
KLA-Tencor Corp.
COM NEW
482480100
502
1500
SH
SOLE
1500
0
0
KKR & Co. LP
COM
48251W104
591
9700
SH
SOLE
9700
0
0
Knight-Swift Transportation Holdings, Inc.
CL A
499049104
537
10500
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SOLE
10500
0
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Kroger Co./The
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501044101
283
7000
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SOLE
7000
0
0
LHC Group, Inc.
COM
50187A107
330
2100
SH
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2100
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LKQ Corp.
COM
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571
11350
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SOLE
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0
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LCI Industries
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50189K103
646
4800
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4800
0
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LPL Financial Holdings, Inc.
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50212V100
2461
15700
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Landstar System, Inc.
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355
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Lattice Semiconductor Corp.
COM
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1170
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18100
0
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Liberty Media Corp.-Liberty SiriusXM
COM A SIRIUSXM
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552
11700
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SOLE
11700
0
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Lithia Motors, Inc.
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1823
5750
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5750
0
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Lockheed Martin Corp.
COM
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245
710
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SOLE
710
0
0
Lululemon Athletica, Inc.
COM
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291
720
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720
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Magic Software Enterprises Ltd.
ORD
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636
31800
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31800
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0
Marsh & McLennan Cos., Inc.
COM
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316
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2090
0
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Masimo Corp.
COM
574795100
528
1950
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1950
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MasterCard, Inc.
CL A
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243
700
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700
0
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Matson, Inc.
COM
57686G105
565
7000
SH
SOLE
7000
0
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MAXIMUS, Inc.
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441
5300
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SOLE
5300
0
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Meta Financial Group, Inc.
COM
59100U108
525
10000
SH
SOLE
10000
0
0
Microsoft Corp.
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302
1070
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1070
0
0
Monolithic Power Systems, Inc.
COM
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630
1300
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0
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Morningstar, Inc.
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1787
6900
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Mueller Industries, Inc.
COM
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1080
26266
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26266
0
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NV5 Global, Inc.
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1488
15100
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15100
0
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Nasdaq, Inc.
COM
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361
1870
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1870
0
0
NeoGenomics, Inc.
COM NEW
64049M209
1187
24600
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SOLE
24600
0
0
Netflix, Inc.
COM
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287
470
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470
0
0
NextEra Energy, Inc.
COM
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247
3150
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3150
0
0
Norfolk Southern Corp.
COM
655844108
225
940
SH
SOLE
940
0
0
Novanta, Inc.
COM
67000B104
1839
11900
SH
SOLE
11900
0
0
NVIDIA Corp.
COM
67066G104
398
1920
SH
SOLE
1920
0
0
Nutrien Ltd.
COM
67077M108
408
6300
SH
SOLE
6300
0
0
Okta, Inc.
CL A
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252
1060
SH
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1060
0
0
OneWater Marine, Inc.
CL A COM
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358
8900
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8900
0
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Owl Rock Capital Corp.
COM
69121K104
486
34450
SH
SOLE
34450
0
0
Paycom Software, Inc.
COM
70432V102
768
1550
SH
SOLE
1550
0
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Paylocity Holdings Corp.
COM
70438V106
715
2550
SH
SOLE
2550
0
0
PayPal Holdings, Inc.
COM
70450Y103
268
1030
SH
SOLE
1030
0
0
Penumbra, Inc.
COM
70975L107
400
1500
SH
SOLE
1500
0
0
PepsiCo, Inc.
COM
713448108
255
1695
SH
SOLE
1695
0
0
Performance Food Group Co.
COM
71377A103
495
10650
SH
SOLE
10650
0
0
PerkinElmer, Inc.
COM
714046109
563
3250
SH
SOLE
3250
0
0
Phillips 66
COM
718546104
242
3450
SH
SOLE
3450
0
0
Plug Power, Inc.
COM NEW
72919P202
922
36100
SH
SOLE
36100
0
0
Pool Corp.
COM
73278L105
710
1635
SH
SOLE
1635
0
0
Power Integrations, Inc.
COM
739276103
1148
11600
SH
SOLE
11600
0
0
T. Rowe Price Group, Inc.
COM
74144T108
317
1610
SH
SOLE
1610
0
0
PulteGroup, Inc.
COM
745867101
418
9100
SH
SOLE
9100
0
0
Qualys, Inc.
COM
74758T303
523
4700
SH
SOLE
4700
0
0
Rambus, Inc.
COM
750917106
435
19600
SH
SOLE
19600
0
0
Raymond James Financial, Inc.
COM
754730109
595
6450
SH
SOLE
6450
0
0
Regeneron Pharmaceuticals, Inc.
COM
75886F107
290
480
SH
SOLE
480
0
0
Reliant Bancorp, Inc.
COM
75956B101
1042
33000
SH
SOLE
33000
0
0
Repligen Corp.
COM
759916109
2904
10050
SH
SOLE
10050
0
0
Robinhood Markets, Inc.
COM CL A
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252
6000
SH
SOLE
6000
0
0
ROBLOX Corp.
CL A
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237
3140
SH
SOLE
3140
0
0
SPS Commerce, Inc.
COM
78463M107
1016
6300
SH
SOLE
6300
0
0
SS&C Technologies Holdings, Inc.
COM
78467J100
354
5100
SH
SOLE
5100
0
0
Saia, Inc.
COM
78709Y105
714
3000
SH
SOLE
3000
0
0
salesforce.com, Inc.
COM
79466L302
266
980
SH
SOLE
980
0
0
Charles Schwab Corp./The
COM
808513105
308
4225
SH
SOLE
4225
0
0
Scotts Miracle-Gro Co./The
CL A
810186106
221
1510
SH
SOLE
1510
0
0
Sea Ltd.
SPONSORD ADS
81141R100
239
750
SH
SOLE
750
0
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Selectquote, Inc.
COM
816307300
344
26600
SH
SOLE
26600
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Shopify, Inc.
CL A
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264
195
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SOLE
195
0
0
Shyft Group, Inc./The
COM
825698103
707
18600
SH
SOLE
18600
0
0
Sibanye Stillwater Ltd.
SPONSORED ADR
82575P107
284
23000
SH
SOLE
23000
0
0
Snap, Inc.
CL A
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259
3500
SH
SOLE
3500
0
0
SolarEdge Technologies, Inc.
COM
83417M104
285
1075
SH
SOLE
1075
0
0
Square, Inc.
CL A
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264
1100
SH
SOLE
1100
0
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Stitch Fix, Inc.
COM CL A
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575
14400
SH
SOLE
14400
0
0
STORE Capital Corp.
COM
862121100
522
16300
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SOLE
16300
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0
Stryker Corp.
COM
863667101
257
975
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SOLE
975
0
0
SYNNEX Corp.
COM
87162W100
416
4000
SH
SOLE
4000
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0
Taiwan Semiconductor Manufacturing Co. Ltd.
SPONSORED ADS
874039100
223
2000
SH
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2000
0
0
Take-Two Interactive Software, Inc.
COM
874054109
370
2400
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2400
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0
Target Corp.
COM
87612E106
315
1375
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1375
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TechTarget, Inc.
COM
87874R100
2390
29000
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Tegna, Inc.
COM
87901J105
544
27600
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Teledyne Technologies, Inc.
COM
879360105
387
900
SH
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900
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Tenet Healthcare Corp.
COM NEW
88033G407
963
14500
SH
SOLE
14500
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Trade Desk, Inc./The
COM CL A
88339J105
252
3580
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Thermo Fisher Scientific, Inc.
COM
883556102
280
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SH
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490
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TopBuild Corp.
COM
89055F103
533
2600
SH
SOLE
2600
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0
Toro Co./The
COM
891092108
312
3200
SH
SOLE
3200
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Tractor Supply Co.
COM
892356106
893
4408
SH
SOLE
4408
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0
Tradeweb Markets, Inc.
CL A
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392
4850
SH
SOLE
4850
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Trex Co., Inc.
COM
89531P105
510
5000
SH
SOLE
5000
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Trimble, Inc.
COM
896239100
658
8000
SH
SOLE
8000
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TriNet Group, Inc.
COM
896288107
615
6500
SH
SOLE
6500
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TTEC Holdings, Inc.
COM
89854H102
636
6800
SH
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6800
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Twilio, Inc.
CL A
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249
780
SH
SOLE
780
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Twist Bioscience Corp.
COM
90184D100
909
8500
SH
SOLE
8500
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0
Twitter, Inc.
COM
90184L102
239
3950
SH
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3950
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Tyler Technologies, Inc.
COM
902252105
757
1650
SH
SOLE
1650
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0
UFP Industries, Inc.
COM
90278Q108
428
6300
SH
SOLE
6300
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0
UniFirst Corp.
COM
904708104
404
1900
SH
SOLE
1900
0
0
United Parcel Service, Inc.
CL B
911312106
280
1540
SH
SOLE
1540
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UnitedHealth Group, Inc.
COM
91324P102
283
725
SH
SOLE
725
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Unity Software, Inc.
COM
91332U101
284
2250
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2250
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Universal Display Corp.
COM
91347P105
393
2300
SH
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2300
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ViacomCBS, Inc.
CL B
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553
14000
SH
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14000
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Visa, Inc.
COM CL A
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260
1165
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1165
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Virtus Investment Partners, Inc.
COM
92828Q109
574
1850
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1850
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Vista Outdoor, Inc.
COM
928377100
443
11000
SH
SOLE
11000
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Vulcan Materials Co.
COM
929160109
541
3200
SH
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3200
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WNS Holdings Ltd.
SPON ADR
92932M101
573
7000
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7000
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0
WP Carey, Inc.
COM
92936U109
460
6300
SH
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6300
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Wal-Mart Stores, Inc.
COM
931142103
237
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1700
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Waste Management, Inc.
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94106L109
314
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SH
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2100
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Wayfair, Inc.
CL A
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240
940
SH
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940
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Wingstop, Inc.
COM
974155103
2229
13600
SH
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13600
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Winnebago Industries, Inc.
COM
974637100
811
11200
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11200
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Wintrust Financial Corp.
COM
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844
10500
SH
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10500
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0
Workday, Inc.
CL A
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225
900
SH
SOLE
900
0
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Xylem, Inc.
COM
98419M100
538
4350
SH
SOLE
4350
0
0
Accenture PLC
SHS CLASS A
G1151C101
307
960
SH
SOLE
960
0
0
Genpact Ltd.
SHS
G3922B107
532
11200
SH
SOLE
11200
0
0
ICON PLC
SHS
G4705A100
642
2450
SH
SOLE
2450
0
0
Linde Public Limited Company
SHS
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252
860
SH
SOLE
860
0
0
Pagseguro Digital Ltd.
COM CL A
G68707101
579
11200
SH
SOLE
11200
0
0
Chubb Ltd.
COM
H1467J104
260
1500
SH
SOLE
1500
0
0
CRISPR Therapeutics AG
NAMEN AKT
H17182108
537
4800
SH
SOLE
4800
0
0
Logitech International S.A.
SHS
H50430232
661
7500
SH
SOLE
7500
0
0
Globant SA
COM
L44385109
646
2300
SH
SOLE
2300
0
0
Spotify Technology SA
SHS
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228
1010
SH
SOLE
1010
0
0
AudioCodes Ltd.
ORD
M15342104
1432
44000
SH
SOLE
44000
0
0
CyberArk Software Ltd.
SHS
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489
3100
SH
SOLE
3100
0
0
Perion Network Ltd.
SHS NEW
M78673114
936
54000
SH
SOLE
54000
0
0
ASML Holding NV - NY Reg Shares
N Y REGISTRY SHS
N07059210
328
440
SH
SOLE
440
0
0
Yandex NV
SHS CLASS A
N97284108
526
6600
SH
SOLE
6600
0
0
Sinovac Biotech Ltd.
SHS
P8696W104
485
74893
SH
SOLE
74893
0
0