President / CCO

0001597298-18-000004.txt : 20181113 0001597298-18-000004.hdr.sgml : 20181113 20181113090125 ACCESSION NUMBER: 0001597298-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Verity Asset Management, Inc. CENTRAL INDEX KEY: 0001597298 IRS NUMBER: 561981693 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15857 FILM NUMBER: 181175516 BUSINESS ADDRESS: STREET 1: 280 S. MANGUM ST. SUITE 550 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: 919-490-6717 MAIL ADDRESS: STREET 1: 280 S. MANGUM ST. SUITE 550 CITY: DURHAM STATE: NC ZIP: 27701 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001597298 XXXXXXXX 09-30-2018 09-30-2018 Verity Asset Management, Inc.

280 S. MANGUM ST. SUITE 550 DURHAM NC 27701

13F HOLDINGS REPORT 028-15857 N Gordon Wegwart President / CCO 919-490-6717 x109 Gordon Wegwart Durham NC 11-13-2018 0 134 101341 false INFORMATION TABLE 2 Verity.13F.2018.Nov.xml ABBOTT LABS COM 002824100 481 6561 SH SOLE 0 0 6561 ACACIA RESEARCH CORPORATION - COMMON STOCK $0.001 ACACIA TCH COM 003881307 86 26846 SH SOLE 0 0 26846 AECOM COM 00766T100 488 14931 SH SOLE 0 0 14931 AEVI GENOMIC MEDICINE INC COM 00835P105 17 14000 SH SOLE 0 0 14000 AIR LEASE CORP CL A 00912X302 540 11776 SH SOLE 0 0 11776 ALASKA AIR GROUP COMMON STOCK COM 011659109 316 4587 SH SOLE 0 0 4587 ALEXION PHARMACEUTICALS COM 015351109 411 2955 SH SOLE 0 0 2955 ALPS ETF TR ALERIAN MLP ETF ALERIAN MLP 00162Q866 1272 119081 SH SOLE 0 0 119081 ALTRIA GROUP INC COM COM 02209S103 362 6005 SH SOLE 0 0 6005 AMC NETWORKS INC CL A CL A 00164V103 421 6351 SH SOLE 0 0 6351 AMERICAN EXPRESS COM 025816109 1381 12966 SH SOLE 0 0 12966 AMGEN COMMON COM 031162100 529 2552 SH SOLE 0 0 2552 ANDEAVOR COM 03349M105 224 1459 SH SOLE 0 0 1459 APACHE CORP COM 037411105 244 5120 SH SOLE 0 0 5120 APPLE COMPUTER INC COM COM 037833100 3463 15342 SH SOLE 0 0 15342 ASURE SOFTWARE INC COM COM 04649U102 228 18327 SH SOLE 0 0 18327 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 084670702 1169 5462 SH SOLE 0 0 5462 BLACKROCK INC COM 09247X101 271 574 SH SOLE 0 0 574 BOSTON SCIENTIFIC CORP COM 101137107 425 11034 SH SOLE 0 0 11034 CABOT OIL & GAS CORP COM 127097103 524 23256 SH SOLE 0 0 23256 CAPITAL ONE FINANCIAL CORP. COM 14040H105 425 4474 SH SOLE 0 0 4474 CISCO SYSTEMS, INC. COM 17275R102 1586 32604 SH SOLE 0 0 32604 COCA-COLA CO COM 191216100 488 10561 SH SOLE 0 0 10561 COHERENT INC COM 192479103 451 2618 SH SOLE 0 0 2618 COMMERCIAL METALS CO COM 201723103 834 40630 SH SOLE 0 0 40630 COTY INC COM CL A COM CL A 222070203 394 31337 SH SOLE 0 0 31337 DANA INCORPORATED COM 235825205 417 22313 SH SOLE 0 0 22313 DEL FRISCOS RESTAURANT GROUP INC COM 245077102 208 25005 SH SOLE 0 0 25005 DENISON MINES CP NEW COM 248356107 12 18450 SH SOLE 0 0 18450 DICKS SPORTING GOODS INC COM COM 253393102 201 5660 SH SOLE 0 0 5660 DIREXION SHS ETF TR DAILY SEMICONDUCTOR BEAR 3X SHS NEW DLY SEMICNDTR 3X 25460E836 193 19828 SH SOLE 0 0 19828 DOMINION ENERGY INC COM 25746U109 382 5436 SH SOLE 0 0 5436 DUKE ENERGY CORP NEW COM COM NEW 26441C204 415 5181 SH SOLE 0 0 5181 EMERSON ELEC. CO. COM 291011104 295 3855 SH SOLE 0 0 3855 ENTERPRISE PRODUCTS PARTNERS L P COM 293792107 317 11035 SH SOLE 0 0 11035 EXXON MOBIL CORP COM COM 30231G102 274 3225 SH SOLE 0 0 3225 FEDEX CORPORATION COM 31428X106 209 866 SH SOLE 0 0 866 FINISAR CORP COM NEW COM NEW 31787A507 659 34617 SH SOLE 0 0 34617 FORD MOTOR COMPANY COM PAR $0.01 345370860 149 16070 SH SOLE 0 0 16070 G III APPAREL GROUP LTD COM 36237H101 399 8283 SH SOLE 0 0 8283 GENERAL MILLS COM 370334104 329 7665 SH SOLE 0 0 7665 GENUINE PARTS CO. COM 372460105 212 2133 SH SOLE 0 0 2133 GREENSKY INC CL A 39572G100 265 14719 SH SOLE 0 0 14719 HALLIBURTON CO. COM 406216101 332 8195 SH SOLE 0 0 8195 HCA HEALTHCARE INC COM 40412C101 1980 14234 SH SOLE 0 0 14234 HEICO CORPORATION COM 422806109 394 4250 SH SOLE 0 0 4250 HELMERICH & PAYNE INC COM 423452101 329 4786 SH SOLE 0 0 4786 HP INC COM COM 40434L105 243 9447 SH SOLE 0 0 9447 HUNTINGTON BANCSHARES INCORPORATED COM 446150104 411 27544 SH SOLE 0 0 27544 HUNTSMAN COPORATION COMMON STOCK, $0.01 PAR VALUE COM 447011107 305 11210 SH SOLE 0 0 11210 INTEL CORP COM 458140100 377 7967 SH SOLE 0 0 7967 INTERNATIONAL BUSINESS MACHINES CORP COM 459200101 1950 12895 SH SOLE 0 0 12895 INTERNATIONAL PAPER COM 460146103 212 4311 SH SOLE 0 0 4311 INVESCO BULLETSHARES 2018 HIGH YIELD CORPORATE BOND ETF BULSHS 2018 HY 46138J205 333 13239 SH SOLE 0 0 13239 INVESCO BULLETSHARES 2019 HIGH YIELD CORPORATE BOND ETF BULSYS 2019 HY 46138J403 365 15046 SH SOLE 0 0 15046 INVESCO DB US DOLLAR INDEX BULLISH FUND BULLISH FD 46141D203 763 30217 SH SOLE 0 0 30217 INVESCO QQQ TRUST UNIT SER 1 46090E103 1953 10514 SH SOLE 0 0 10514 INVESCO WATER RESOURCES ETF WATER RES ETF 46137V142 1865 58633 SH SOLE 0 0 58633 ISHARES COMEX GOLD TR ISHARES ISHARES 464285105 186 16277 SH SOLE 0 0 16277 ISHARES CORE S&P 500 ETF ETF 464287200 290 991 SH SOLE 0 0 991 ISHARES CORE US AGGREGATE BOND ETF CORE US AGGBD ET 464287226 393 3721 SH SOLE 0 0 3721 ISHARES FLOATING RATE BOND ETF ETF 46429B655 8454 165699 SH SOLE 0 0 165699 ISHARES GOLDMAN SACHS SOFTWARE INDEX FUND NA TEC SFTWR ETF 464287515 1332 6497 SH SOLE 0 0 6497 ISHARES IBOXX $ INVESTMENT GRADE CO ETF ETF 464287242 836 7273 SH SOLE 0 0 7273 ISHARES S&P SMALLCAP 600 GROWTH ETF S&P SML 600 GWT 464287887 222 1101 SH SOLE 0 0 1101 ISHARES TR RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 464287614 335 2150 SH SOLE 0 0 2150 ISHARES TR RUSSELL 2000 ETF ETF 464287655 2638 15652 SH SOLE 0 0 15652 ISHARES US CONSUMER SERVICES ETF U.S. CNSM SV ETF 464287580 377 1780 SH SOLE 0 0 1780 ISHARES US HEALTHCARE ETF US HLTHCARE ETF 464287762 1050 5175 SH SOLE 0 0 5175 ISHARES US TECHNOLOGY ETF U.S. TECH ETF 464287721 506 2608 SH SOLE 0 0 2608 J P MORGAN CHASE & CO COM COM 46625H100 1887 16725 SH SOLE 0 0 16725 JOHNSON & JOHNSON COM 478160104 276 1997 SH SOLE 0 0 1997 KIMBERLY - CLARK CORP COM COM 494368103 334 2940 SH SOLE 0 0 2940 LIGAND PHARMACEUTICALS INC COM NEW COM NEW 53220K504 477 1736 SH SOLE 0 0 1736 LOCKHEED MARTIN CORP COM 539830109 308 891 SH SOLE 0 0 891 LYONDELLBASELL INDUSTRIES N V ORD SHS CL A SHS - A - N53745100 1709 16676 SH SOLE 0 0 16676 M & T BANK CORPORATION COM 55261F104 333 2025 SH SOLE 0 0 2025 MAGELLAN MIDSTREAM PARTNERS LP COM UNIT REPSTG LTD PARTNER INT UNIT LP 559080106 418 6175 SH SOLE 0 0 6175 MAIN STREET CAPITAL CORPORATION - COMMON STOCK COM 56035L104 335 8695 SH SOLE 0 0 8695 MANPOWER GROUP COM 56418H100 276 3208 SH SOLE 0 0 3208 MCDONALDS CORP COM 580135101 209 1249 SH SOLE 0 0 1249 MERIDIAN BIOSCIENCE INC. COM 589584101 366 24545 SH SOLE 0 0 24545 MICROSOFT CORP COM 594918104 1188 10389 SH SOLE 0 0 10389 MOLSON COORS BREWING COMPANY CLASS B COMMON STOCK (NON-VOTING), NO PAR VALUE CL B 60871R209 207 3368 SH SOLE 0 0 3368 NETGEAR INC COM COM 64111Q104 302 4799 SH SOLE 0 0 4799 NORTHROP GRUMMAN CORP COM 666807102 1306 4115 SH SOLE 0 0 4115 OCH-ZIFF CAPITAL MANAGEMENT GROUP LLC CLASS A SHARES REPRESENTING CLASS A LIMITED LIABILITY COMPANY INTERESTS CL A 67551U105 64 43091 SH SOLE 0 0 43091 OMNICOM GROUP INC COM COM 681919106 267 3930 SH SOLE 0 0 3930 ORACLE CORP COM 68389X105 260 5049 SH SOLE 0 0 5049 PACCAR INC COM 693718108 230 3374 SH SOLE 0 0 3374 PAYPAL HLDGS INC COM 70450Y103 1638 18650 SH SOLE 0 0 18650 PEPSICO INC COM 713448108 299 2671 SH SOLE 0 0 2671 PETMED EXPRESS, INC. - COMMON STOCK COM 716382106 204 6189 SH SOLE 0 0 6189 PFIZER INC COM 717081103 807 18309 SH SOLE 0 0 18309 PHILLIPS 66 COM COM 718546104 1015 9001 SH SOLE 0 0 9001 PIMCO ETF TR ENHANCED SHORT MAT ACTIVE ETF ETF 72201R833 3680 36215 SH SOLE 0 0 36215 PROCTER & GAMBLE COM 742718109 448 5381 SH SOLE 0 0 5381 PROSHARES TR II PROSHARES ULTRASHORT EURO ULTRASHRT EURO 74347W882 323 13854 SH SOLE 0 0 13854 PROSHARES TR ULTRASHORT 20 YR TREAS NEW PSHS TR 74347B201 2096 54676 SH SOLE 0 0 54676 PROSHARES TR ULTRASHORT FTSE EUROPE NEW JAN 2014 ULTSHT FTSE EURO 74348A434 228 7244 SH SOLE 0 0 7244 ROYAL GOLD, INC. COM 780287108 292 3783 SH SOLE 0 0 3783 SEATTLE GENETICS, INC. COM 812578102 402 5218 SH SOLE 0 0 5218 SELECT SECTOR SPDR TR MATLS SPDR TR 81369Y100 218 3759 SH SOLE 0 0 3759 SHORT S&P 500 PROSHARES SHORT S&P 500 NE 74347B425 426 15609 SH SOLE 0 0 15609 SKECHERS U.S.A. INC CL A 830566105 281 10063 SH SOLE 0 0 10063 SOUTHERN CO COM 842587107 619 14197 SH SOLE 0 0 14197 SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1 ETF 78467X109 5185 19610 SH SOLE 0 0 19610 SPDR SER TR S&P BIOTECH ETF S&P BIOTECH 78464A870 1889 19702 SH SOLE 0 0 19702 STANLEY BLACK & DECKER INC COM COM 854502101 224 1531 SH SOLE 0 0 1531 STEEL DYNAMICS INC COM COM 858119100 977 21614 SH SOLE 0 0 21614 SWEDISH EXPT CR CORP ELEMENTS LKD TO ROGERS INTL COMMODITY INDEX AGRI TOTAL RETURN ROG AGRI ETN22 870297603 1672 294446 SH SOLE 0 0 294446 T. ROWE PRICE GROUP, INC. COM 74144T108 375 3437 SH SOLE 0 0 3437 TYSON FOODS INC CL A 902494103 408 6853 SH SOLE 0 0 6853 ULTRAGENYX PHARMACEUTICAL INC COM COM 90400D108 425 5570 SH SOLE 0 0 5570 UNITED PARCEL SERVICE COM 911312106 391 3352 SH SOLE 0 0 3352 UNITED TECHNOLOGIES CORP COM 913017109 277 1978 SH SOLE 0 0 1978 UNITEDHEALTH GROUP INC COM COM 91324P102 1869 7024 SH SOLE 0 0 7024 UR ENERGY INC COM ISIN#CA91688R1082 COM 91688R108 120 150435 SH SOLE 0 0 150435 VANECK VECTORS GOLD MINERS ETF GOLD MINERS ETF 92189F106 811 43796 SH SOLE 0 0 43796 VANGUARD INDEX FDS S&P 500 ETF SHS NEW ETF 922908363 6287 23542 SH SOLE 0 0 23542 VANGUARD MUN BD FDS TAX EXEMPT BD INDEX FD ETF TAX EXEMPT BD 922907746 225 4446 SH SOLE 0 0 4446 VANGUARD STAR FD VANGUARD TOTAL INTL STOCK INDEX FD ETF SHS VG TL INTL STK F 921909768 478 8858 SH SOLE 0 0 8858 VANGUARD TOT WORLD STK INDEX ETF TT WRLD ST ETF 922042742 343 4523 SH SOLE 0 0 4523 VANGUARD TOTAL STOCK MARKET VIPERS TOTAL STK MKT 922908769 855 5716 SH SOLE 0 0 5716 VENTAS INC REIT COM 92276F100 214 3935 SH SOLE 0 0 3935 VERIZON COMMUNICATIONS COM 92343V104 594 11125 SH SOLE 0 0 11125 VIRTU FINL INC CL A CL A 928254101 280 13690 SH SOLE 0 0 13690 VISA INC COM CL A COM CL A 92826C839 288 1918 SH SOLE 0 0 1918 WACCAMAW BANKSHARES INC - COMMON STOCK COM 929741106 0 20000 SH SOLE 0 0 20000 WALMART, INC. COM 931142103 739 7873 SH SOLE 0 0 7873 WELLS FARGO & CO NEW COM COM 949746101 246 4679 SH SOLE 0 0 4679 WISDOMTREE TR INDIA EARNINGS FD INDIA TR 97717W422 1752 72685 SH SOLE 0 0 72685 ZIMMER BIOMET HOLDINGS INC COM 98956P102 292 2223 SH SOLE 0 0 2223