Skip to content
Disclosery

PVG Asset Management

Follow

13F filer, CIK 1624741, GOLDEN, CO

PVG Asset Management reported $284,611,987 across 64 holdings for the quarter ended 2015-09-30, in a 13F-HR filed 2015-11-05. Its ten largest share positions make up 50.19% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001624741-15-000004

Period
2015-09-30
Reported value
$285M
Holdings
64
Top 10 weight
50.19%
New
20
Sold out
32

Largest buys vs the previous quarter

SecurityShares changeApprox. value
PROSHARESadded+835,172$18.8M
AT&T, Inc.(t)new+169,073$5.51M
COPnew+93,848$4.5M
COMMUNICATIONS SALES&LEAS INnew+222,730$3.99M
SENIOR HSG PPTYS TRadded+230,349$3.73M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
PROSHARES TRreduced-645,045-$15M
Texited-167,942-$5.97M
FIFTH STREET FIN CORP COMreduced-689,364-$4.25M
FITBexited-202,764-$4.22M
BACexited-232,533-$3.96M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2015

Share positions as resolved from 13F-HR 0001624741-15-000004, largest first. % of portfolio is the value over $284,611,987, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 877,183 shares; 2015Q2: 2,713,814 shares; 2015Q3: 2,068,769 shares 2,068,769$48.2M16.92%-645,045
PROSHARESPROSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,952,077 shares; 2015Q2: 29,219 shares; 2015Q3: 864,391 shares 864,391$19.5M6.84%+835,172
MEDLEY CAP CORPMEDLEY CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,844,004 shares; 2015Q2: 1,965,541 shares; 2015Q3: 1,684,554 shares 1,684,554$12.5M4.4%-280,987
PowerShares CEF Income Comp…PowerShares CEF Income CompositeQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 692,987 shares; 2015Q2: 677,703 shares; 2015Q3: 557,452 shares 557,452$11.7M4.11%-120,251
PSECPROSPECT CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,103,529 shares; 2015Q2: 1,083,471 shares; 2015Q3: 1,337,710 shares 1,337,710$9.54M3.35%+254,239Timeline
SENIOR HSG PPTYS TRSENIOR HSG PPTYS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 345,529 shares; 2015Q2: 338,702 shares; 2015Q3: 569,051 shares 569,051$9.22M3.24%+230,349
VZVERIZON COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 156,848 shares; 2015Q2: 151,881 shares; 2015Q3: 211,050 shares 211,050$9.18M3.23%+59,169Timeline
GENERAL ELEC COGENERAL ELEC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 464,839 shares; 2015Q2: 448,910 shares; 2015Q3: 355,632 shares 355,632$8.97M3.15%-93,278
PNNTPENNANTPARK INVTS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 935,812 shares; 2015Q2: 1,176,724 shares; 2015Q3: 1,103,957 shares 1,103,957$7.14M2.51%-72,767Timeline
XLESELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 93,620 shares; 2015Q3: 113,418 shares 113,418$6.94M2.44%+19,798Timeline
SLRCSLR INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 36,244 shares; 2015Q2: 342,468 shares; 2015Q3: 391,442 shares 391,442$6.19M2.18%+48,974Timeline
IVVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 37,150 shares; 2015Q2: 36,780 shares; 2015Q3: 30,014 shares 30,014$5.78M2.03%-6,766Timeline
SPYSTATE STR SPDR S&P 500 ETF TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 37,470 shares; 2015Q2: 37,100 shares; 2015Q3: 30,171 shares 30,171$5.78M2.03%-6,929Timeline
VOOVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 39,755 shares; 2015Q2: 39,550 shares; 2015Q3: 32,521 shares 32,521$5.71M2.01%-7,029Timeline
ALPS ETF TRALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 443,212 shares; 2015Q3: 456,625 shares 456,625$5.7M2%+13,413
WSRWHITESTONE REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 237,693 shares; 2015Q2: 205,867 shares; 2015Q3: 486,251 shares 486,251$5.61M1.97%+280,384Timeline
AT&T, Inc.(t)AT&T, Inc.(t)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 169,073 shares 169,073$5.51M1.94%new
ERICTELEFONAKTIEBOLAGET LM ERICSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 496,290 shares; 2015Q3: 546,307 shares 546,307$5.34M1.88%+50,017Timeline
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 98,045 shares; 2015Q2: 62,617 shares; 2015Q3: 101,490 shares 101,490$5.01M1.76%+38,873Timeline
CYPRESS SEMICONDUCTOR CORPCYPRESS SEMICONDUCTOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 244,415 shares; 2015Q2: 430,093 shares; 2015Q3: 569,147 shares 569,147$4.85M1.7%+139,054
BLACKROCK CAP INVT CORPBLACKROCK CAP INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 690,650 shares; 2015Q2: 651,930 shares; 2015Q3: 541,185 shares 541,185$4.79M1.68%-110,745
INVESCO MORTGAGE CAPITAL INCINVESCO MORTGAGE CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 368,963 shares; 2015Q2: 471,412 shares; 2015Q3: 376,464 shares 376,464$4.61M1.62%-94,948
IRTINDEPENDENCE RLTY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 622,284 shares; 2015Q2: 790,940 shares; 2015Q3: 628,891 shares 628,891$4.53M1.59%-162,049Timeline
COPCONOCOPHILLIPSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 93,848 shares 93,848$4.5M1.58%newTimeline
CCITIGROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 75,090 shares; 2015Q2: 72,717 shares; 2015Q3: 80,806 shares 80,806$4.01M1.41%+8,089Timeline
COMMUNICATIONS SALES&LEAS INCOMMUNICATIONS SALES&LEAS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 222,730 shares 222,730$3.99M1.4%new
CYS Investments REITCYS Investments REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 673,100 shares; 2015Q2: 650,367 shares; 2015Q3: 515,701 shares 515,701$3.74M1.32%-134,666
TICC CAPITAL CORPTICC CAPITAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 562,766 shares; 2015Q2: 555,409 shares; 2015Q3: 540,071 shares 540,071$3.62M1.27%-15,338
HEWLETT PACKARD COHEWLETT PACKARD COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 178,395 shares; 2015Q2: 172,740 shares; 2015Q3: 137,873 shares 137,873$3.53M1.24%-34,867
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 175,675 shares; 2015Q3: 550,613 shares 550,613$3.38M1.19%+374,938
FIFTH STREET FIN CORP COMFIFTH STREET FIN CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,064,533 shares; 2015Q2: 1,234,558 shares; 2015Q3: 545,194 shares 545,194$3.36M1.18%-689,364
FIFTH STR SR FLOATNG RATE C…FIFTH STR SR FLOATNG RATE CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 351,574 shares; 2015Q2: 474,156 shares; 2015Q3: 377,015 shares 377,015$3.29M1.16%-97,141
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 332,894 shares 332,894$3.04M1.07%new
LXPLXP INDUSTRIAL TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 341,643 shares 341,643$2.77M0.97%newTimeline
KSSKOHLS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 28,667 shares; 2015Q2: 27,796 shares; 2015Q3: 55,674 shares 55,674$2.58M0.91%+27,878Timeline
Dow Chemical CompanyDow Chemical CompanyQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 79,495 shares; 2015Q2: 75,662 shares; 2015Q3: 60,734 shares 60,734$2.58M0.9%-14,928
TWO HARBORS INVESTMENT CORPTWO HARBORS INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 367,784 shares; 2015Q2: 360,427 shares; 2015Q3: 285,238 shares 285,238$2.52M0.88%-75,189
IVWISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 10,580 shares; 2015Q2: 10,800 shares; 2015Q3: 22,260 shares 22,260$2.4M0.84%+11,460Timeline
AMERICA MOVIL-SPN ADR CL LAMERICA MOVIL-SPN ADR CL LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 183,405 shares; 2015Q2: 177,480 shares; 2015Q3: 141,326 shares 141,326$2.34M0.82%-36,154
AVON PRODS INCAVON PRODS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 690,337 shares 690,337$2.24M0.79%new
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 405,338 shares 405,338$2.23M0.78%new
OLNOLIN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 130,480 shares 130,480$2.19M0.77%newTimeline
GAPGAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 75,585 shares 75,585$2.15M0.76%newTimeline
APOLLO INVT CORPAPOLLO INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 468,164 shares; 2015Q2: 459,968 shares; 2015Q3: 363,825 shares 363,825$1.99M0.7%-96,143
TRINSEO S ATRINSEO S AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 64,810 shares 64,810$1.64M0.57%new
SELECT INCOME REITSELECT INCOME REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 71,580 shares 71,580$1.36M0.48%new
KBHKB HOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 93,716 shares 93,716$1.27M0.45%newTimeline
IBBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 2,775 shares 2,775$842K0.3%newTimeline
HRZNHORIZON TECHNOLOGY FIN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 90,180 shares 90,180$816K0.29%newTimeline
IXPISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 12,955 shares; 2015Q3: 12,845 shares 12,845$729K0.26%-110Timeline
FVFIRST TR EXCHANGE TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 29,530 shares 29,530$648K0.23%newTimeline
IJSISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 5,860 shares; 2015Q3: 5,725 shares 5,725$600K0.21%-135Timeline
SCZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 8,000 shares 8,000$382K0.13%newTimeline
SOLAR SENIOR CAPITAL LTDSOLAR SENIOR CAPITAL LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 12,304 shares; 2015Q2: 24,045 shares; 2015Q3: 19,502 shares 19,502$277K0.1%-4,543
DHYCREDIT SUISSE HIGH YIELD CREQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 111,455 shares 111,455$253K0.09%newTimeline
PACHOLDER HIGH YIELD FD INCPACHOLDER HIGH YIELD FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 33,305 shares 33,305$210K0.07%new
FIRST TR STRATEGIC HIGH INCFIRST TR STRATEGIC HIGH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 15,259 shares 15,259$175K0.06%new
AVENUE INCOME CR STRATEGIESAVENUE INCOME CR STRATEGIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 12,080 shares; 2015Q2: 13,020 shares; 2015Q3: 13,080 shares 13,080$168K0.06%+60
PINNACLE ENTMT INCPINNACLE ENTMT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 18,800 shares; 2015Q2: not reported; 2015Q3: 18,690 shares 18,690$139K0.05%new
EATON VANCE TAX-ADVANTAGED …EATON VANCE TAX-ADVANTAGED BONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 10,500 shares; 2015Q2: 10,670 shares; 2015Q3: 11,135 shares 11,135$136K0.05%+465
XEADXALLSPRING INCOME OPPORTUNITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 17,270 shares; 2015Q2: 16,575 shares; 2015Q3: 15,995 shares 15,995$121K0.04%-580Timeline
Full Circle Capital Corp.Full Circle Capital Corp.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 15,560 shares; 2015Q2: 17,020 shares; 2015Q3: 17,275 shares 17,275$53K0.02%+255
Kcap Financial Inc. (kcap)Kcap Financial Inc. (kcap)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 11,995 shares; 2015Q3: 10,850 shares 10,850$48.9K0.02%-1,145
UQM TECHNOLOGIES INCUQM TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q4: restricted; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 14,000 shares; 2015Q3: 14,000 shares 14,000$8.89K<0.01%0

Sold out in Q3 2015

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
TAT&T INC167,942$5.97Mshares
FITBFIFTH THIRD BANCORP202,764$4.22Mshares
BACBANK OF AMER CORP232,533$3.96Mshares
AMERICAN CAP MTG INVT CORPAMERICAN CAP MTG INVT CORP240,191$3.84Mshares
TELFYTELEFONICA SA-SPON ADR261,803$3.72Mshares
WMTWALMART INC50,412$3.58Mshares
DISCOVER FINL SVCSDISCOVER FINL SVCS60,038$3.46Mshares
SOSOUTHERN CO80,307$3.36Mshares
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INC450,424$2.87Mshares
TELEFONICA BRASIL SA FSPONS…TELEFONICA BRASIL SA FSPONSORED A…117,887$1.64Mshares
XLVSELECT SECTOR SPDR TR16,410$1.22Mshares
ACWIISHARES TR19,035$1.13Mshares
EEMISHARES TR27,435$1.09Mshares
IGVISHARES TR9,658$961Kshares
DIASTATE STR SPDR DOW JONES IND1,385$244Kshares
BABSON CAP GLB SHT DURHGH YLBABSON CAP GLB SHT DURHGH YL10,035$200Kprincipal
PINNACLE ENTMT INCPINNACLE ENTMT INC19,125$190Kprincipal
ISHARES TRISHARES TR16,930$179Kshares
DHYCREDIT SUISSE HIGH YIELD CRE34,175$88.2Kprincipal
Bankers Tr Corptr IV Sub (0…Bankers Tr Corptr IV Sub (066365b…25,000$25.5Kprincipal
QUALCOMM INCQUALCOMM INC15,000$15Kprincipal
Potlatch Corp New GTD (7376…Potlatch Corp New GTD (737630AB9)10,000$11.3Kprincipal
Manulife Finl Corp Sr (5650…Manulife Finl Corp Sr (56501RAB2)10,000$11.1Kprincipal
Shell International Fin Bv …Shell International Fin Bv (82258…10,000$10.9Kprincipal
Applied Matls Inc (038222AF…Applied Matls Inc (038222AF2)10,000$10.7Kprincipal
Golman Sachs Group Inc (381…Golman Sachs Group Inc (38141geu4)10,000$10.6Kprincipal
Ebay Inc. 3.25 Due (278642a…Ebay Inc. 3.25 Due (278642ac7)10,000$10.3Kprincipal
Mississippi Power Co (60541…Mississippi Power Co (605417BX1)10,000$10.2Kprincipal
Oracle Corp (68389XAQ8)Oracle Corp (68389XAQ8)10,000$10.1Kprincipal
General Elec Cap Corp (3696…General Elec Cap Corp (36966THX3)10,000$10.1Kprincipal
BB&T Corp Sr Medium Term No…BB&T Corp Sr Medium Term Notes (0…10,000$9.94Kprincipal
BABSON CAP GLB SHT DURHGH YLBABSON CAP GLB SHT DURHGH YL800,000$1.76Kshares

How Q3 2015 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001624741-15-000004 base2015-11-05acceptance time not in the bulk data set