Yorktown Management & Research Company, Inc.

Latest statistics and disclosures from Yorktown Management & Research's latest quarterly 13F-HR filing:

Yorktown Management & Research portfolio companies for September 2016 quarter

Company (Ticker) Portfolio Weight Share Count Price Last Trade
Ares Capital Corporation (ARCC) 5.70 1.69M +156.00% 15.50 16.86
Solar Cap Ltd 4.51 1.01M +60.00% 20.52 0.00
PennyMac Mortgage Investment Trust (PMT) 3.77 1.11M +133.00% 15.58 20.65
Two Harbors Investment (TWO) 3.64 1.96M +37.00% 8.53 10.30
Blackstone Mtg Tr 3.51 547500 +33.00% 29.45 0.00
Doubleline Total Etf etf 2.04 187000 +2571.00% 50.19 0.00
American Capital Agency (AGNC) 1.91 450000 -18.00% 19.54 20.97
AT&T; (T) 1.87 211300 40.61 32.70
Tpg Specialty Lnding Inc equity 1.85 469500 18.11 0.00
Invesco Mortgage Capital (IVR) 1.82 550000 -12.00% 15.23 15.44
Goldmansachsbdcinc shs 1.78 375600 -6.00% 21.77 0.00
Ag Mtg Invt Tr 1.71 500000 +4.00% 15.75 0.00
New Residential Invt 1.69 563500 -5.00% 13.81 0.00
Hercules Technology Growth Capital (HTGC) 1.68 570000 -14.00% 13.56 13.99
PowerShares Preferred Portfolio (PGX) 1.68 510000 +27.00% 15.13 14.83
New Mountain Finance Corp 1.62 540000 +4.00% 13.76 0.00
Fs Investment Corporation 1.59 770000 +10.00% 9.47 0.00
Annaly Capital Management (NLY) 1.58 689200 10.50 10.36
Verizon Communications (VZ) 1.58 139600 51.98 48.01
American Capital Mortgage In 1.50 400000 +11.00% 17.19 0.00
Tcp Capital 1.50 422000 -4.00% 16.38 0.00
Pimco Total Return Etf totl 1.49 63550 +1690.00% 107.95 0.00
Golub Capital BDC (GBDC) 1.46 360000 -7.00% 18.57 17.53
Apollo Commercial Real Est. Finance (ARI) 1.36 382466 +41.00% 16.37 16.81
Main Street Capital Corporation (MAIN) 1.27 170000 -15.00% 34.33 30.38
BGC Partners (BGCP) 1.26 662000 8.75 8.57
Fidus Invt 1.22 355000 -5.00% 15.75 0.00
Zais Financial 1.15 365000 14.43 0.00
Prudential Sht Duration Hg Y 1.11 320000 -11.00% 15.99 0.00
Invesco Van Kampen Dyn Cr Opp Fund (VTA) 1.08 420000 11.76 11.96
BlackRock Ltd. Duration Income Trust (BLW) 1.05 311104 15.52 15.88
PowerShares Fin. Preferred Port. (PGF) 1.04 250000 -16.00% 19.05 18.45
BlackRock Corporate High Yield Fund VI, (HYT) 1.02 435000 10.82 11.27
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 0.96 520000 8.48 9.03
Prudential Gl Sh Dur Hi Yld 0.96 290485 15.11 0.00
Blackrock Multi-sector Incom other 0.89 240000 17.07 0.00
Eaton Vance Limited Duration Income Fund (EVV) 0.87 290000 13.71 14.26
Starwood Property Trust (STWD) 0.83 170000 -62.00% 22.52 23.57
Ellington Financial Llc 0.83 230000 -34.00% 16.67 0.00
Frontier Communications (FTR) 0.81 900000 4.16 7.40
BlackRock Debt Strategies Fund (DSU) 0.79 1000000 3.65 3.73
Western Asset Hgh Yld Dfndfd 0.74 220000 15.41 0.00
Eaton Vance Floating-Rate Income Trust (EFT) 0.72 232600 -24.00% 14.20 14.57
New America High Income Fund I 0.71 355000 9.21 0.00
Newfleet Multi-sector Income E 0.71 67000 +81.00% 48.93 0.00
Compass Diversified Holdings (CODI) 0.68 180000 -21.00% 17.38 16.27
Medley Capital Corporation 0.66 400248 NEW 7.63 0.00
Nuveen Floating Rate Income Fund (JFR) 0.64 265000 -10.00% 11.03 11.30
Nuveen Senior Income Fund (NSL) 0.62 435000 6.54 6.69
BlackRock Floating Rate Income Trust (BGT) 0.60 202509 13.52 13.44
Apollo Sr Floating Rate Fd I 0.59 160000 16.95 0.00
Pioneer Floating Rate Trust (PHD) 0.57 222451 11.80 11.58
BlackRock Floating Rate Income Strat. Fn (FRA) 0.56 185000 13.86 13.92
Nuveen Fltng Rte Incm Opp Fd 0.56 233915 -19.00% 11.06 0.00
Eaton Vance Senior Income Trust (EVF) 0.55 390000 6.44 6.49
Crown Castle Intl 0.55 26800 +7.00% 94.22 0.00
Lehman Brothers First Trust IOF (NHS) 0.53 207000 11.86 12.56
Nuveen Global High Inc Fd 0.51 150000 15.70 0.00
Ivy High Income Opportunities Fd 0.50 160000 14.38 0.00
iShares S&P; US Pref Stock Idx Fnd (PFF) 0.43 50000 -77.00% 39.50 39.78
Ares Dynamic Cr Allocation 0.40 124150 -19.00% 14.85 0.00
Deutsche Multi-mkt Income Tr Shs cef 0.38 205019 -28.00% 8.55 0.00
Tri-Continental Corporation (TY) 0.33 70239 21.38 21.62
Wells Fargo Adv Inc Opport Fund (EAD) 0.33 181614 8.36 9.02
Vodafone (VOD) 0.32 50000 29.16 32.37
Vanguard Short Term Corporate Bond ETF (VCSH) 0.32 18000 -16.00% 80.56 79.79
Nuveen Sht Dur Cr Opp Fd 0.32 87091 16.84 0.00
Ladder Capital Corp Class A 0.31 108537 +47.00% 13.24 0.00
Diversified Real Asset Inc F 0.30 80000 17.24 0.00
Western Asset Global Cp Defi 0.29 75122 17.69 0.00
PIONEER DIV HIGH INCOME TRUS COM Bene Inter 0.27 75000 16.32 0.00
First Trust/Four Corners SFRI Fund II (FCT) 0.26 87900 -25.00% 13.67 13.69
BlackRock Credit All Inc Trust IV (BTZ) 0.26 90000 13.36 13.18
Avenue Income Cr Strat Com 0.25 90000 12.97 0.00
Western Asst High Incm Opprtnty Fnd (HIO) 0.23 210000 5.05 5.37
Apollo Tactical Income Fd In 0.20 60000 15.50 0.00
Eaton Vance Fltg Rate In 0.19 57180 15.63 0.00
Western Asset Global High Income Fnd (EHI) 0.17 77377 NEW 10.18 11.12
Western Asset Corporate Loan F 0.17 72900 10.70 0.00
AllianceBernstein Global Hgh Incm Fd (AWF) 0.16 60000 12.62 12.60
Ares Coml Real Estate 0.16 60000 +9.00% 12.60 0.00
Alere (ALR) 0.14 14500 43.24 47.27
Solar Senior Capital Ltd 0.14 40000 NEW 16.20 0.00
Invesco Van Kampen Senior Income Trust (VVR) 0.13 142347 -66.00% 4.33 4.77
Kkr Income Opportunities Fd 0.12 33900 16.02 0.00
SAP AG (SAP) 0.11 5700 +67.00% 91.40 67.42
Waste Connections (WCN) 0.10 6000 74.67 47.19
Western Union Company (WU) 0.09 20100 NEW 20.80 19.29
Adobe Systems Incorporated (ADBE) 0.09 4000 108.50 76.64
Amazon (AMZN) 0.09 500 838.00 372.62
Toro Company (TTC) 0.09 9000 +100.00% 46.89 66.03
Take-Two Interactive Software (TTWO) 0.09 9000 45.11 24.53
Universal Forest Products (UFPI) 0.09 4000 98.50 51.44
Washington Federal (WFSL) 0.09 14800 26.69 0.00
iShares MSCI Brazil Index (EWZ) 0.09 12000 33.75 30.55
Stellus Capital Investment 0.09 40000 -77.00% 10.90 0.00
Lear Corporation (LEA) 0.08 3000 121.33 106.04
Copart (CPRT) 0.08 7000 53.57 36.58
LKQ Corporation (LKQX) 0.08 10000 35.50 0.00
Electronic Arts (ERTS) 0.08 4500 85.33 0.00
Herman Miller (MLHR) 0.08 12800 28.59 27.53
Cadence Design Systems (CDNS) 0.08 14300 25.52 17.85
Convergys Corporation (CVG) 0.08 12000 30.42 21.27
Starbucks Corporation (SBUX) 0.08 6400 54.06 92.23
Markel Corporation (MKL) 0.08 400 930.00 738.67
Centrais Eletricas Brasileiras 0.08 60000 -62.00% 5.88 0.00
Littelfuse (LFUS) 0.08 2700 128.89 94.91
Viad (VVI) 0.08 10000 36.90 26.73
Silicon Motion Technology (SIMO) 0.08 7300 -21.00% 51.78 27.11
Vanguard FTSE All-World ex-US ETF (VEU) 0.08 7700 45.45 47.62
Vanguard FTSE All Wld Ex USSml Cap (VSS) 0.08 3700 99.46 96.93
Ellie Mae Inc. 0.08 3500 105.43 0.00
Fortune Brands 0.08 6500 58.15 0.00
Aon 0.08 3400 112.35 0.00
Vantiv Inc Cl A 0.08 6500 56.31 0.00
Metropcs Communications 0.08 8300 46.75 0.00
Cdw 0.08 8000 45.75 0.00
Allegion Plc equity 0.08 5100 68.82 0.00
Triplepoint Venture Gr Bdc cs 0.08 35000 +16.00% 10.60 0.00
Liberty Broadband Cl C 0.08 5300 71.51 0.00
Liberty Broadband Corporation 0.08 5300 70.19 0.00
Taiwan Semiconductor Mfg (TSM) 0.07 10000 30.60 23.50
Fidelity National Information Services (FIS) 0.07 4000 77.00 65.10
Ameriprise Financial (AMP) 0.07 3000 99.67 131.20
Brookfield Asset Management (BAM.A) 0.07 9000 35.22 0.00
Automatic Data Processing (ADP) 0.07 3500 88.29 85.00
Harris Corporation (HRS) 0.07 3600 91.67 72.70
Intel Corporation (INTC) 0.07 8400 37.74 32.76
Steris Corporation (STE) 0.07 4500 73.11 64.39
Masco Corporation (MAS) 0.07 9200 -24.00% 34.35 25.99
Accenture 0.07 2500 122.00 0.00
Prestige Brands Holdings (PBH) 0.07 6800 48.24 38.46
FactSet Research Systems (FDS) 0.07 2000 162.00 150.33
AutoZone (AZO) 0.07 420 769.05 644.63
Cresud (CRESY) 0.07 17000 -37.00% 17.88 12.24
Drew Industries (DW) 0.07 3500 -25.00% 98.00 59.24
IDEX Corporation (IEX) 0.07 3300 93.64 74.18
Thor Industries (THO) 0.07 4000 -20.00% 84.75 60.64
Ultimate Software (ULTI) 0.07 1500 204.67 162.96
NVR (NVR) 0.07 200 1640.00 1330.70
Investment Technology (ITG) 0.07 17700 17.12 23.52
Aspen Insurance Holdings Ltd shs 0.07 6700 46.57 0.00
Wabash National Corporation (WNC) 0.07 24000 14.25 14.35
Intuit (INTU) 0.07 3000 110.00 95.52
Teledyne Technologies Incorporated (TDY) 0.07 3000 108.00 99.65
Ulta Salon, Cosmetics & Fragrance (ULTA) 0.07 1350 237.78 141.66
Centene Corporation (CNC) 0.07 5000 67.00 63.33
Panera Bread Company (PNRA) 0.07 1600 195.00 157.74
Hanover Insurance (THG) 0.07 4000 75.50 68.76
Ormat Technologies (ORA) 0.07 6300 48.41 34.71
Woodward Governor Company (WGOV) 0.07 5500 62.55 0.00
Transportadora de Gas del Sur SA (TGS) 0.07 46000 6.83 4.90
Braskem SA (BAK) 0.07 21000 15.38 7.57
Flamel Technologies S.A. (FLML) 0.07 25000 12.40 16.43
iShares S&P; Latin America 40 Index (ILF) 0.07 12000 28.00 28.43
Trinity Biotech (TRIB) 0.07 26000 13.23 18.81
Schwab Emerging Markets Equity ETF (SCHE) 0.07 13300 23.08 23.47
Zeltiq Aesthetics 0.07 8500 39.18 0.00
Facebook Inc cl a 0.07 2500 -24.00% 128.40 0.00
Icon 0.07 4100 77.32 0.00
Global X Fds gbx x ftsear 0.07 13000 NEW 23.85 0.00
Cdk Global Inc equities 0.07 5500 57.27 0.00
Acxiom 0.07 16918 17.85 0.00
Chubb 0.07 2500 125.60 0.00
Dentsply Sirona 0.07 5079 59.46 0.00
Moody's Corporation (MCO) 0.06 2500 108.40 95.46
Tractor Supply Company (TSCO) 0.06 4000 67.25 85.18
Merck & Co Inc 0.06 4500 62.44 0.00
Regeneron Pharmaceuticals (REGN) 0.06 700 401.43 427.05
Chevron Corporation (CVX) 0.06 2550 102.75 102.86
PPG Industries (PPG) 0.06 2600 103.46 225.60
Autoliv (ALV) 0.06 2500 106.80 111.66
Rockwell Collins (COL) 0.06 3400 84.41 91.43
Gartner (IT) 0.06 3000 88.33 80.12
Apple (AAPL) 0.06 2500 113.20 123.28
NIKE (NKE) 0.06 4900 52.65 96.37
Lowe's Companies (LOW) 0.06 3600 72.22 73.15
NewMarket Corporation (NEU) 0.06 600 430.00 459.84
Axis Capital Holdings Ltd 0.06 5000 54.40 0.00
Amdocs Ltd ord 0.06 5000 57.80 0.00
Aircastle Ltd 0.06 14000 19.86 0.00
Steel Dynamics (STLD) 0.06 11100 24.95 17.52
Evercore Partners (EVR) 0.06 5000 51.60 50.69
Telecom Argentina S.A. (TEO) 0.06 16000 18.31 22.51
FMC Corporation (FMC) 0.06 6000 48.33 60.36
Hexcel Corporation (HXL) 0.06 5900 44.24 47.72
Wabtec Corporation (WAB) 0.06 3600 81.67 91.75
Compania Cervecerias Unidas S.A. (CCU) 0.06 13000 20.15 18.05
Fresenius Medical Care AG & Co. (FMS) 0.06 6800 43.82 40.45
US Ecology (ECOL) 0.06 6500 44.77 49.93
Genpact Limited shs 0.06 12000 23.92 0.00
O'reilly Automotive Inc 0.06 1000 280.00 0.00
ISHARES TR MSCI Small Cap msci small cap 0.06 5500 52.36 0.00
iShares MSCI Jpan Smll Cap Ind Fund (SCJ) 0.06 4500 64.67 55.02
Invesco Van Kampen High Inc Trust II (VLT) 0.06 20000 -50.00% 14.60 15.04
WisdomTree Intl. SmallCap Div Fd. (DLS) 0.06 4500 61.33 57.78
Chunghwa Telecom Co Ltd - Adr 0.06 8500 35.06 0.00
Ishares Inc em mkt min vol 0.06 4700 54.04 0.00
Express Scripts Holding 0.06 3600 70.56 0.00
Phillips 66 0.06 3200 80.62 0.00
FIRST TR EXCH TRD ALPHA FD I switzlnd alpha 0.06 7000 41.14 0.00
First Tr Exch Trd Alpha Fd I europe alpha 0.06 9000 29.56 0.00
Palo Alto Networks 0.06 1600 NEW 159.38 0.00
Ptc 0.06 6500 44.31 0.00
Dbx Etf Tr ex us hdg eqty 0.06 11000 23.09 0.00
Allergan 0.06 1100 230.00 0.00
Cardtronics Plc Shs Cl A 0.06 6500 NEW 44.62 0.00
* Commercehub Inc Com Ser C stock 0.06 17927 NEW 15.90 0.00
AU Optronics (AUO) 0.05 57000 NEW 3.65 4.74
Fomento Economico Mexicano SAB (FMX) 0.05 2700 92.22 86.48
Infosys Technologies (INFY) 0.05 14000 15.79 34.81
JPMorgan Chase & Co. (JPM) 0.05 3500 66.57 60.16
U.S. Ban (USB) 0.05 5000 NEW 42.80 43.76
Arthur J. Gallagher & Co. (AJG) 0.05 4100 NEW 50.98 45.96
Safety Insurance (SAFT) 0.05 3100 NEW 67.10 58.05
M&T; Bank Corporation (MTB) 0.05 2000 116.00 121.63
Cullen/Frost Bankers (CFR) 0.05 3000 NEW 72.00 68.36
Cummins (CMI) 0.05 1700 NEW 128.24 137.75
Greif (GEF) 0.05 4200 NEW 49.52 36.08
Western Digital (WDC) 0.05 3700 NEW 58.38 97.30
Whirlpool Corporation (WHR) 0.05 1300 NEW 162.31 197.86
Intersil Corporation (ISIL) 0.05 10000 21.90 14.75
Agrium Inc. 0.05 2500 90.80 0.00
AstraZeneca (AZN) 0.05 6400 NEW 32.81 64.92
Horace Mann Educators Corporation (HMN) 0.05 5800 NEW 36.72 32.77
Diageo (DEO) 0.05 1800 116.11 110.91
Honeywell International (HON) 0.05 1800 NEW 116.67 100.92
Sanofi-Aventis SA (SNY) 0.05 5500 38.18 47.19
iShares MSCI EAFE Index Fund (EFA) 0.05 3500 NEW 68.29 62.56
Danaher Corporation (DHR) 0.05 3100 78.39 84.59
Syngenta AG (SYT) 0.05 2450 NEW 87.76 66.54
Novo Nordisk A/S (NVO) 0.05 5000 41.60 46.07
Tupperware Brands Corporation (TUP) 0.05 3200 NEW 65.31 66.12
Oracle Corporation (ORCL) 0.05 6200 39.35 41.62
Juniper Networks (JNPR) 0.05 10000 24.10 23.46
Bruker Corporation (BRKR) 0.05 11000 22.64 18.90
Omega Healthcare Investors (OHI) 0.05 6000 NEW 35.50 38.61
British American Tobac (BTI) 0.05 1800 127.78 108.89
Celgene Corporation (CELG) 0.05 2100 104.76 118.26
Provident Financial Services (PFS) 0.05 10000 NEW 21.20 18.14
Tessera Technologies (TSRA) 0.05 6500 NEW 38.46 39.62
Scotts Miracle-Gro Company (SMG) 0.05 2500 NEW 83.20 68.34
National Health Investors (NHI) 0.05 2700 NEW 78.52 67.79
M.D.C. Holdings (MDC) 0.05 8200 NEW 25.85 26.13
Quanex Building Products Corporation (NX) 0.05 14000 17.29 18.74
iShares MSCI Mexico Inv. Mt. Idx. (EWW) 0.05 5000 48.40 56.03
Camden Property Trust (CPT) 0.05 2500 NEW 83.60 74.92
Alexander's (ALX) 0.05 500 NEW 420.00 417.49
iShares MSCI Thailand Index Fund (THD) 0.05 3000 73.67 78.75
Allied World Assurance Co New 0.05 6000 40.50 0.00
Vanguard Pacific ETF (VPL) 0.05 4000 60.50 59.67
Vanguard European ETF (VGK) 0.05 4500 -50.00% 48.67 53.41
Noah Holdings (NOAH) 0.05 9500 26.11 20.05
iShares MSCI Israel Capped Inv Mar ETF (EIS) 0.05 5100 48.04 47.77
Claymore AlphaShares China All Cap ETF (YAO) 0.05 9000 27.00 27.15
Ishares Tr cmn 0.05 4600 54.35 0.00
Ishares Inc core msci emkt 0.05 5500 45.64 0.00
Starz - Liberty Capital stock 0.05 8000 31.25 0.00
Ishares Inc msci india index 0.05 8400 29.40 0.00
Controladora Vuela Cia Spon Ad 0.05 14000 17.36 0.00
Criteo Sa Ads 0.05 7000 35.14 0.00
Liberty Tripadvisor Hldgs 0.05 10000 21.90 0.00
Liberty Media Corp Delaware Com A Siriusxm 0.05 7200 34.03 0.00
Commercehub Inc Com Ser A stock 0.05 15463 NEW 15.78 0.00
Packaging Corporation of America (PKG) 0.04 2500 NEW 81.20 77.86
Legg Mason (LM) 0.04 6000 NEW 33.50 54.88
Paychex (PAYX) 0.04 3500 58.00 48.92
Dow Chemical Company (DOW) 0.04 3925 NEW 51.72 47.09
General Dynamics Corporation (GD) 0.04 1300 NEW 155.38 133.60
Penske Automotive (PAG) 0.04 4200 NEW 48.10 48.36
Rogers Communications -cl B 0.04 4800 NEW 42.50 0.00
Pennsylvania R.E.I.T. (PEI) 0.04 8700 NEW 22.99 21.82
Synchronoss Technologies (SNCR) 0.04 5000 NEW 41.20 41.93
Trustmark Corporation (TRMK) 0.04 7400 NEW 27.57 23.63
Wipro (WIT) 0.04 19400 9.69 13.06
Enersis S.A. (ENI) 0.04 21000 8.19 15.66
Columbia Banking System (COLB) 0.04 6200 NEW 32.74 27.93
Aviva (AV) 0.04 15000 11.53 16.55
Bldrs Index Fds Tr eur 100 adr 0.04 10000 19.50 0.00
Spirit Realty Capital 0.04 13000 13.31 0.00
Monroe Cap 0.04 13000 15.69 0.00
Atlas Financial Holdings Inc shs 0.04 13000 15.77 0.00
Nuveen Flexible Invt Income 0.04 11600 17.16 0.00
Alphabet Inc Class A cs 0.04 250 NEW 804.00 0.00
ING Groep N.V. (ING) 0.03 13000 12.31 14.08
Mitsubishi UFJ Financial (MTU) 0.02 22000 5.05 6.19
Sumitomo Mitsui Financial Grp (SMFG) 0.02 16000 6.75 7.77
Western Asset High Incm Fd I 0.02 14600 7.19 0.00
Independence Realty Trust In 0.02 12400 NEW 9.03 0.00