0001624741-17-000001.txt : 20170214
0001624741-17-000001.hdr.sgml : 20170214
20170213175233
ACCESSION NUMBER: 0001624741-17-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170214
DATE AS OF CHANGE: 20170213
EFFECTIVENESS DATE: 20170214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PVG Asset Management
CENTRAL INDEX KEY: 0001624741
IRS NUMBER: 841060461
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16561
FILM NUMBER: 17601143
BUSINESS ADDRESS:
STREET 1: 24918 GENESEE TRAIL RD
CITY: GOLDEN
STATE: CO
ZIP: 80401
BUSINESS PHONE: 3038747472
MAIL ADDRESS:
STREET 1: 24918 GENESEE TRAIL RD
CITY: GOLDEN
STATE: CO
ZIP: 80401
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001624741
XXXXXXXX
12-31-2016
12-31-2016
PVG Asset Management
24918 GENESEE TRAIL RD
GOLDEN
CO
80401
13F HOLDINGS REPORT
028-16561
N
Patrick Adams
President
303-874-7474
Patrick Adams
Centennial
CO
02-13-2017
0
98
237681972
false
INFORMATION TABLE
2
PositionReport123116.xml
ProShares Short S&P500 (sh)
ETF
74347R503
35880635
981955
SH
SOLE
981955
0
0
ProShares UltraShort S&P 500 (sds)
ETF
74347B300
32187745
2130228
SH
SOLE
2130228
0
0
SPDR S&P 500 TRUST ETF (spy)
ETF
78462F103
8638540
38646
SH
SOLE
38646
0
0
S&P 500 INDX (ivv)
ETF
464287200
8412376
37390
SH
SOLE
37390
0
0
Vanguard Index S&P 500 (voo)
ETF
922908363
8374389
40789
SH
SOLE
40789
0
0
PowerShares CEF Income ETF (pcef)
ETF
73936Q843
7348406
327907
SH
SOLE
327907
0
0
GLAXOSMITHKLINE PLC-ADR (gsk)
COM
37733W105
7184156
186553
SH
SOLE
186553
0
0
ASTRAZENECA PLC SPON ADR (azn)
ADR
046353108
5910272
216335
SH
SOLE
216335
0
0
FRONTIER COMMUNICATIONS CORP (ftr)
COM
35906A108
5599815
1656750
SH
SOLE
1656750
0
0
MEDLEY CAPITAL CORP (mcc)
COM
58503F106
5113813
680933
SH
SOLE
680933
0
0
Cypress Semiconductor (cy)
COM
232806109
4002958
349908
SH
SOLE
349908
0
0
Independence Realty Trust, Inc. (irt)
COM
45378A106
3962660
444244
SH
SOLE
444244
0
0
ARES CAPITAL CORP (arcc)
COM
04010L103
3955456
239870
SH
SOLE
239870
0
0
TWO HARBORS INVT CORP (two)
COM
90187B101
3538229
405760
SH
SOLE
405760
0
0
Invesco Mortgage Capital (ivr)
COM
46131B100
3488334
238927
SH
SOLE
238927
0
0
CENTURYLINK INC (ctl)
COM
156700106
3423368
143960
SH
SOLE
143960
0
0
PITNEY BOWES INC (pbi)
COM
724479100
3264437
214907
SH
SOLE
214907
0
0
Prospect Capital Corp. (psec)
COM
74348T102
2821532
337908
SH
SOLE
337908
0
0
CBL & ASSOC PROPERTIES REIT INC (cbl)
COM
124830100
2780539
241786
SH
SOLE
241786
0
0
Staples Inc. (spls)
COM
855030102
2723072
300892
SH
SOLE
300892
0
0
AT&T, Inc.(t)
COM
00206R102
2671989
62826
SH
SOLE
62826
0
0
Communications Sales & Leasing Inc. (csal)
COM
20341J104
2658495
104624
SH
SOLE
104624
0
0
The Walt Disney Company (dis)
COM
254687106
2651669
25443
SH
SOLE
25443
0
0
LEXINGTON REALTY TRUST REIT (lxp)
COM
529043101
2642814
244705
SH
SOLE
244705
0
0
CVS Health Corp (cvs)
COM
126650100
2632832
33365
SH
SOLE
33365
0
0
JP Morgan Chase & Co Alerian MLP (amj)
COM
46625H365
2575203
81468
SH
SOLE
81468
0
0
TARGET CORP (tgt)
COM
87612E106
2561131
35458
SH
SOLE
35458
0
0
MACY'S INC (m)
COM
55616P104
2457425
68624
SH
SOLE
68624
0
0
DOLLAR GENERAL CORP (dg)
COM
256677105
2431644
32829
SH
SOLE
32829
0
0
Solar Capital Ltd. (slrc)
COM
83413U100
2335989
112199
SH
SOLE
112199
0
0
SELECT INCOME REIT (sir)
COM
81618T100
2263615
89826
SH
SOLE
89826
0
0
New Senior Investment Group Inc. (snr)
COM
648691103
2245884
229406
SH
SOLE
229406
0
0
Sr. Housing Properties Trust (snh)
COM
81721M109
2238159
118233
SH
SOLE
118233
0
0
Guess INC (ges)
COM
401617105
2201316
181927
SH
SOLE
181927
0
0
CYS INVESTMENTS INC (cys)
COM
23281A307
2157180
279066
SH
SOLE
279066
0
0
Telefonica, S.A. (tef)
ADR
879382208
2128918
231404
SH
SOLE
231404
0
0
Arlington Asset Investment (ai)
COM
041356205
2124254
143337
SH
SOLE
143337
0
0
FIFTH STREET FINANCE CORP (fsc)
COM
31678A103
1918351
357235
SH
SOLE
357235
0
0
Global Medical REIT, Inc. (gmre)
COM
37954A104
1854414
207894
SH
SOLE
207894
0
0
BlackRock Kelso Capital Corp. (bkcc)
COM
092533108
1778666
255555
SH
SOLE
255555
0
0
Merck & Company Inc. (mrk)
COM
58933Y105
1773470
30125
SH
SOLE
30125
0
0
Pfizer Inc. (pfe)
COM
717081103
1757395
54107
SH
SOLE
54107
0
0
Olin Corp. (oln)
COM
680665205
1735922
67783
SH
SOLE
67783
0
0
CITIGROUP INC COM (c)
COM
172967424
1695629
28531
SH
SOLE
28531
0
0
KOHLS CORP (kss)
COM
500255104
1648403
33382
SH
SOLE
33382
0
0
BP PLC SPONS ADR (bp)
ADR
055622104
1615414
43216
SH
SOLE
43216
0
0
Whitestone REIT (wsr)
COM
966084204
1590356
110595
SH
SOLE
110595
0
0
Triplepoint Venture Growth Corp (tpvg)
COM
89677Y100
1539999
130730
SH
SOLE
130730
0
0
ISHARES S&P 500 ETF GROWTH (ivw)
ETF
464287309
1443211
11850
SH
SOLE
11850
0
0
General Electric Company (ge)
COM
369604103
1435329
45421
SH
SOLE
45421
0
0
Microsoft Corp. (msft)
COM
594918104
1338992
21548
SH
SOLE
21548
0
0
Solar Senior Capital Ltd. (suns)
COM
83416M105
1297938
78950
SH
SOLE
78950
0
0
TPG Specialty Lending Inc. (tslx)
COM
87265K102
1277936
68412
SH
SOLE
68412
0
0
THL CREDIT INC (tcrd)
COM
872438106
1233382
123215
SH
SOLE
123215
0
0
Caterpillar Inc. (cat)
COM
149123101
1227321
13234
SH
SOLE
13234
0
0
Royal Caribbean Cruises Ltd. (rcl)
COM
V7780T103
1210992
14761
SH
SOLE
14761
0
0
BANK OF AMERICA CORP (bac)
COM
060505104
1089994
49321
SH
SOLE
49321
0
0
WELLS FARGO COMPANY (wfc)
COM
949746101
1063678
19301
SH
SOLE
19301
0
0
Ishares DJ Us Healthcare (iyh)
ETF
464287762
995217
6905
SH
SOLE
6905
0
0
Robo Global Robotics&Automation (robo)
COM
301505707
995014
34730
SH
SOLE
34730
0
0
WindStream Corp (win)
ETF
97382A101
949971
129600
SH
SOLE
129600
0
0
STATE STREET CORP (stt)
COM
857477103
917096
11800
SH
SOLE
11800
0
0
Select Sector SPDR Tr Real Estate (xlre)
ETF
81369Y860
711401
23135
SH
SOLE
23135
0
0
ISHARES NASDAQ BIOTECH (ibb)
ETF
464287556
613027
2310
SH
SOLE
2310
0
0
Apollo Global Management LLC (apo)
COM
037612108
221575
11445
SH
SOLE
11445
0
0
InfraCap MLP ETF (amza)
ETF
26923G103
195442
17250
SH
SOLE
17250
0
0
Marvell Tech Group (mrvl)
COM
G5876H105
178923
12900
SH
SOLE
12900
0
0
First Tr Strategic High Income Fd (fhy)
BOND
337353304
160352
13058
SH
SOLE
13058
0
0
Proshares Tr II Ultra Short Futures (uvxy)
ETF
74347W346
114975
13140
SH
SOLE
13140
0
0
Western Asset High Income Fd (hio)
COM
95766K109
53817
10785
SH
SOLE
10785
0
0
Tobacco Settlement Fing Corp (888808DC3)
BOND
888808DC3
39679
40000
SH
SOLE
40000
0
0
Enduro Royalty Trust (ndro)
COM
29269K100
35362
10250
SH
SOLE
10250
0
0
ALEXANDRIA VA 5.4 Go UTX(015302d74)
BOND
015302D74
26527
25000
PRN
SOLE
25000
0
0
New Jersey ST TP 4.81
BOND
646139B53
26367
25000
PRN
SOLE
25000
0
0
PUERTO RICO PUB BLDGS AUTH REV GTD GOVT-FACSSER N B/E OID
BOND
745235B42
24693
45000
PRN
SOLE
45000
0
0
Pennsylvania ST TPK Commn Tpk (7092235T4)
BOND
7092235T4
24559
25000
PRN
SOLE
25000
0
0
PUERTO RICO COMWLTH UNREFUNDED BAL-PUB IMPTSER A G/O UNLTD B/E OID
BOND
745145P48
22006
35000
PRN
SOLE
35000
0
0
New York St Urban Dev Corp Rev (6500353E6)
BOND
650035S74
20756
20000
PRN
SOLE
20000
0
0
Romulus Mich Cmnty Schs Rfdg (776219JK4)
BOND
776219JK4
19043
20000
PRN
SOLE
20000
0
0
Wisconsin St Transn Rev Build (977123YJ1)
BOND
977123YJ1
16136
15000
PRN
SOLE
15000
0
0
Qualcomm Inc Fxd Rt (747525ad5)
BOND
747525AD5
14978
15000
PRN
SOLE
15000
0
0
Okemos Mich Pub Sch Dist (678467GY1)
BOND
678467GY1
14644
15000
PRN
SOLE
15000
0
0
Brighton Mich Area Sch Dist (109367PC0)
BOND
109367PC0
13881
15000
PRN
SOLE
15000
0
0
Banc America Alt Loan Trust (05948KB40)
BOND
05948KB40
12917
14661
PRN
SOLE
14661
0
0
Baltimore MD 6.04 GO UTX Due
BOND
059189LP3
11508
10000
PRN
SOLE
10000
0
0
Lincoln Natl Corp Ind Sr (534187AY5)
BOND
534187AY5
11038
10000
PRN
SOLE
10000
0
0
Potlatch Corp New GTD (737630AB9)
BOND
737630AB9
10925
10000
PRN
SOLE
10000
0
0
Manulife Finl Corp Sr (56501RAB2)
BOND
56501RAB2
10750
10000
PRN
SOLE
10000
0
0
Applied Matls Inc (038222AF2)
BOND
038222AF2
10742
10000
PRN
SOLE
10000
0
0
Du Pont E I De Nemours & Co (dd.hs)
BOND
263534109
10653
10000
PRN
SOLE
10000
0
0
Shell International Fin Bv (822582AJ1)
BOND
822582AJ1
10609
10000
PRN
SOLE
10000
0
0
Monsanto Co New Sr Nt (mon.gi)
BOND
61166W101
10388
10000
PRN
SOLE
10000
0
0
AT&T Inc Global Fixed Rt (t.me)
BOND
00206RCA8
10302
10000
PRN
SOLE
10000
0
0
Ebay Inc. 3.25 Due (278642ac7)
BOND
278642AC7
10230
10000
PRN
SOLE
10000
0
0
General Elec Cap Corp (36966THX3)
BOND
36966TXH3
10148
10000
PRN
SOLE
10000
0
0
Juniper Networks Inc Fxd (48203RAH7)
BOND
48203RAH7
10138
10000
PRN
SOLE
10000
0
0
Oracle Corp (68389XAQ8)
BOND
68389XAQ8
10131
10000
PRN
SOLE
10000
0
0
Golman Sachs Group Inc (38141geu4)
BOND
38141GEU4
10011
10000
PRN
SOLE
10000
0
0