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Disclosery

PVG Asset Management

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13F filer, CIK 1624741, GOLDEN, CO

PVG Asset Management reported $247,670,509 across 65 holdings for the quarter ended 2015-12-31, in a 13F-HR filed 2016-02-11. Its ten largest share positions make up 46.42% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001624741-16-000005

Period
2015-12-31
Reported value
$248M
Holdings
65
Top 10 weight
46.42%
New
23
Sold out
22

Largest buys vs the previous quarter

SecurityShares changeApprox. value
HATTERAS FINL CORPnew+431,213$5.67M
WMTnew+83,323$5.11M
CATnew+72,533$4.93M
XLFnew+205,900$4.91M
TWO HARBORS INVESTMENT CORPadded+601,211$4.87M

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-408,168-$8.13M
PNNTexited-1,103,957-$7.14M
XLEexited-113,418-$6.94M
VZreduced-129,505-$5.99M
GENERAL ELEC COreduced-185,338-$5.77M

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, Q4 2015

Share positions as resolved from 13F-HR 0001624741-16-000005, largest first. % of portfolio is the value over $247,670,476, 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; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 877,183 shares; 2015Q2: 2,713,814 shares; 2015Q3: 2,068,769 shares; 2015Q4: 1,660,601 shares 1,660,601$33.1M13.36%-408,168
MEDLEY CAP CORPMEDLEY CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,844,004 shares; 2015Q2: 1,965,541 shares; 2015Q3: 1,684,554 shares; 2015Q4: 1,945,746 shares 1,945,746$14.6M5.91%+261,192
PROSHARESPROSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,952,077 shares; 2015Q2: 29,219 shares; 2015Q3: 864,391 shares; 2015Q4: 694,582 shares 694,582$14.5M5.85%-169,809
PowerShares CEF Income Comp…PowerShares CEF Income CompositeQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 692,987 shares; 2015Q2: 677,703 shares; 2015Q3: 557,452 shares; 2015Q4: 556,765 shares 556,765$11.9M4.8%-687
SENIOR HSG PPTYS TRSENIOR HSG PPTYS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 345,529 shares; 2015Q2: 338,702 shares; 2015Q3: 569,051 shares; 2015Q4: 689,236 shares 689,236$10.2M4.13%+120,185
SLRCSLR INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 36,244 shares; 2015Q2: 342,468 shares; 2015Q3: 391,442 shares; 2015Q4: 440,207 shares 440,207$7.23M2.92%+48,765Timeline
TWO HARBORS INVESTMENT CORPTWO HARBORS INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 367,784 shares; 2015Q2: 360,427 shares; 2015Q3: 285,238 shares; 2015Q4: 886,449 shares 886,449$7.18M2.9%+601,211
HATTERAS FINL CORPHATTERAS FINL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 431,213 shares 431,213$5.67M2.29%new
GENERAL ELEC COGENERAL ELEC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 464,839 shares; 2015Q2: 448,910 shares; 2015Q3: 355,632 shares; 2015Q4: 170,294 shares 170,294$5.3M2.14%-185,338
AT&T, Inc.(t)AT&T, Inc.(t)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 169,073 shares; 2015Q4: 152,586 shares 152,586$5.25M2.12%-16,487
WSRWHITESTONE REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 237,693 shares; 2015Q2: 205,867 shares; 2015Q3: 486,251 shares; 2015Q4: 431,150 shares 431,150$5.18M2.09%-55,101Timeline
PSECPROSPECT CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,103,529 shares; 2015Q2: 1,083,471 shares; 2015Q3: 1,337,710 shares; 2015Q4: 732,329 shares 732,329$5.11M2.06%-605,381Timeline
WMTWALMART INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 50,412 shares; 2015Q3: not reported; 2015Q4: 83,323 shares 83,323$5.11M2.06%newTimeline
FIFTH STREET FIN CORP COMFIFTH STREET FIN CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 1,064,533 shares; 2015Q2: 1,234,558 shares; 2015Q3: 545,194 shares; 2015Q4: 797,146 shares 797,146$5.09M2.05%+251,952
CATCATERPILLAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 72,533 shares 72,533$4.93M1.99%newTimeline
XLFSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 155,285 shares; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 205,900 shares 205,900$4.91M1.98%newTimeline
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 98,045 shares; 2015Q2: 62,617 shares; 2015Q3: 101,490 shares; 2015Q4: 91,927 shares 91,927$4.86M1.96%-9,563Timeline
SPYSTATE STR SPDR S&P 500 ETF TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 37,470 shares; 2015Q2: 37,100 shares; 2015Q3: 30,171 shares; 2015Q4: 23,510 shares 23,510$4.79M1.94%-6,661Timeline
VOOVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 39,755 shares; 2015Q2: 39,550 shares; 2015Q3: 32,521 shares; 2015Q4: 25,565 shares 25,565$4.78M1.93%-6,956Timeline
IVVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 37,150 shares; 2015Q2: 36,780 shares; 2015Q3: 30,014 shares; 2015Q4: 23,273 shares 23,273$4.77M1.93%-6,741Timeline
COMMUNICATIONS SALES&LEAS INCOMMUNICATIONS SALES&LEAS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 222,730 shares; 2015Q4: 252,278 shares 252,278$4.72M1.9%+29,548
IRTINDEPENDENCE RLTY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 622,284 shares; 2015Q2: 790,940 shares; 2015Q3: 628,891 shares; 2015Q4: 566,430 shares 566,430$4.25M1.72%-62,461Timeline
VZVERIZON COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 156,848 shares; 2015Q2: 151,881 shares; 2015Q3: 211,050 shares; 2015Q4: 81,545 shares 81,545$3.77M1.52%-129,505Timeline
IWMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 32,164 shares 32,164$3.62M1.46%newTimeline
ALPS ETF TRALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 443,212 shares; 2015Q3: 456,625 shares; 2015Q4: 293,285 shares 293,285$3.53M1.43%-163,340
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 175,675 shares; 2015Q3: 550,613 shares; 2015Q4: 503,583 shares 503,583$3.24M1.31%-47,030
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 332,894 shares; 2015Q4: 298,451 shares 298,451$2.99M1.21%-34,443
AMGNAMGEN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 16,708 shares 16,708$2.71M1.1%newTimeline
FITBFIFTH THIRD BANCORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 210,840 shares; 2015Q2: 202,764 shares; 2015Q3: not reported; 2015Q4: 131,076 shares 131,076$2.63M1.06%newTimeline
IBMINTERNATIONAL BUSINESS MACHSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 19,079 shares 19,079$2.63M1.06%newTimeline
PBIPITNEY BOWES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 124,620 shares 124,620$2.57M1.04%newTimeline
QCOMQUALCOMM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 50,870 shares 50,870$2.54M1.03%newTimeline
CSXCSX CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 97,644 shares 97,644$2.53M1.02%newTimeline
AXPAMERICAN EXPRESS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 36,159 shares 36,159$2.51M1.02%newTimeline
NORDSTROM INCNORDSTROM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 49,693 shares 49,693$2.48M1%new
XHBSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 71,987 shares 71,987$2.46M0.99%newTimeline
LXPLXP INDUSTRIAL TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 341,643 shares; 2015Q4: 307,038 shares 307,038$2.46M0.99%-34,605Timeline
MMACYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 69,776 shares 69,776$2.44M0.99%newTimeline
TEXTEREX CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 130,295 shares 130,295$2.41M0.97%newTimeline
IVWISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 10,580 shares; 2015Q2: 10,800 shares; 2015Q3: 22,260 shares; 2015Q4: 20,682 shares 20,682$2.39M0.97%-1,578Timeline
CYS Investments REITCYS Investments REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 673,100 shares; 2015Q2: 650,367 shares; 2015Q3: 515,701 shares; 2015Q4: 330,590 shares 330,590$2.36M0.95%-185,111
BLACKROCK CAP INVT CORPBLACKROCK CAP INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 690,650 shares; 2015Q2: 651,930 shares; 2015Q3: 541,185 shares; 2015Q4: 247,759 shares 247,759$2.33M0.94%-293,426
CCITIGROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 75,090 shares; 2015Q2: 72,717 shares; 2015Q3: 80,806 shares; 2015Q4: 44,844 shares 44,844$2.32M0.94%-35,962Timeline
CYPRESS SEMICONDUCTOR CORPCYPRESS SEMICONDUCTOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 244,415 shares; 2015Q2: 430,093 shares; 2015Q3: 569,147 shares; 2015Q4: 231,888 shares 231,888$2.27M0.92%-337,259
COPCONOCOPHILLIPSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 93,848 shares; 2015Q4: 45,037 shares 45,037$2.1M0.85%-48,811Timeline
GAPGAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 75,585 shares; 2015Q4: 82,431 shares 82,431$2.04M0.82%+6,846Timeline
TICC CAPITAL CORPTICC CAPITAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 562,766 shares; 2015Q2: 555,409 shares; 2015Q3: 540,071 shares; 2015Q4: 216,532 shares 216,532$1.32M0.53%-323,539
SELECT INCOME REITSELECT INCOME REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 71,580 shares; 2015Q4: 64,459 shares 64,459$1.28M0.52%-7,121
XLKSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 90,025 shares; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 27,545 shares 27,545$1.18M0.48%newTimeline
XSDSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 26,535 shares 26,535$1.16M0.47%newTimeline
IGVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 10,366 shares; 2015Q2: 9,658 shares; 2015Q3: not reported; 2015Q4: 10,575 shares 10,575$1.1M0.44%newTimeline
HRZNHORIZON TECHNOLOGY FIN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 90,180 shares; 2015Q4: 81,319 shares 81,319$954K0.39%-8,861Timeline
IBBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 2,775 shares; 2015Q4: 2,585 shares 2,585$875K0.35%-190Timeline
Rait Finl Tr Pfd Ser A Cum …Rait Finl Tr Pfd Ser A Cum DivQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 321,745 shares 321,745$869K0.35%new
SCZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 8,000 shares; 2015Q4: 7,285 shares 7,285$364K0.15%-715Timeline
XDHYXCREDIT SUISSE HIGH YIELD CREQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 111,455 shares; 2015Q4: 139,855 shares 139,855$319K0.13%+28,400Timeline
IHIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 2,480 shares 2,480$304K0.12%newTimeline
MANAGED HIGH YIELD PLUS FD IMANAGED HIGH YIELD PLUS FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: not reported; 2015Q4: 128,040 shares 128,040$225K0.09%new
PACHOLDER HIGH YIELD FD INCPACHOLDER HIGH YIELD FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 33,305 shares; 2015Q4: 30,780 shares 30,780$187K0.08%-2,525
BABSON CAP GLB SHT DURHGH YLBABSON CAP GLB SHT DURHGH YLQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 10,025 shares; 2015Q2: 800,000 shares; 2015Q3: not reported; 2015Q4: 10,325 shares 10,325$170K0.07%new
FIRST TR STRATEGIC HIGH INCFIRST TR STRATEGIC HIGH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: not reported; 2015Q3: 15,259 shares; 2015Q4: 14,699 shares 14,699$164K0.07%-560
PINNACLE ENTMT INCPINNACLE ENTMT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 18,800 shares; 2015Q2: not reported; 2015Q3: 18,690 shares; 2015Q4: 19,475 shares 19,475$159K0.06%+785
EATON VANCE TAX-ADVANTAGED …EATON VANCE TAX-ADVANTAGED BONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 10,500 shares; 2015Q2: 10,670 shares; 2015Q3: 11,135 shares; 2015Q4: 10,020 shares 10,020$126K0.05%-1,115
XEADXALLSPRING INCOME OPPORTUNITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: 17,270 shares; 2015Q2: 16,575 shares; 2015Q3: 15,995 shares; 2015Q4: 14,470 shares 14,470$108K0.04%-1,525Timeline
UQM TECHNOLOGIES INCUQM TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q1: restricted; 2014Q2: restricted; 2014Q3: restricted; 2014Q4: restricted; 2015Q1: not reported; 2015Q2: 14,000 shares; 2015Q3: 14,000 shares; 2015Q4: 14,000 shares 14,000$9.31K<0.01%0

Sold out in Q4 2015

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

SecurityShares beforeValue beforeType
PNNTPENNANTPARK INVTS CORP1,103,957$7.14Mshares
XLESELECT SECTOR SPDR TR113,418$6.94Mshares
ERICTELEFONAKTIEBOLAGET LM ERICS546,307$5.34Mshares
INVESCO MORTGAGE CAPITAL INCINVESCO MORTGAGE CAPITAL INC376,464$4.61Mshares
HEWLETT PACKARD COHEWLETT PACKARD CO137,873$3.53Mshares
FIFTH STR SR FLOATNG RATE C…FIFTH STR SR FLOATNG RATE CORP COM377,015$3.29Mshares
KSSKOHLS CORP55,674$2.58Mshares
Dow Chemical CompanyDow Chemical Company60,734$2.58Mshares
AMERICA MOVIL-SPN ADR CL LAMERICA MOVIL-SPN ADR CL L141,326$2.34Mshares
AVON PRODS INCAVON PRODS INC690,337$2.24Mshares
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INC405,338$2.23Mshares
OLNOLIN CORP130,480$2.19Mshares
APOLLO INVT CORPAPOLLO INVT CORP363,825$1.99Mshares
TRINSEO S ATRINSEO S A64,810$1.64Mshares
KBHKB HOME93,716$1.27Mshares
IXPISHARES TR12,845$729Kshares
FVFIRST TR EXCHANGE TRADED FD29,530$648Kshares
IJSISHARES TR5,725$600Kshares
SOLAR SENIOR CAPITAL LTDSOLAR SENIOR CAPITAL LTD19,502$277Kshares
AVENUE INCOME CR STRATEGIESAVENUE INCOME CR STRATEGIES13,080$168Kshares
Full Circle Capital Corp.Full Circle Capital Corp.17,275$53Kshares
Kcap Financial Inc. (kcap)Kcap Financial Inc. (kcap)10,850$48.9Kshares

How Q4 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 0001624741-16-000005 base2016-02-11acceptance time not in the bulk data set