0001624741-15-000004.txt : 20151105 0001624741-15-000004.hdr.sgml : 20151105 20151104185458 ACCESSION NUMBER: 0001624741-15-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151105 DATE AS OF CHANGE: 20151104 EFFECTIVENESS DATE: 20151105 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: 151198377 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 09-30-2015 09-30-2015 PVG Asset Management

24918 GENESEE TRAIL RD GOLDEN CO 80401

13F HOLDINGS REPORT 028-16561 N Sinh Ly 303-874-7473 Sinh Ly Centennial CO 11-04-2015 0 64 284611987 false INFORMATION TABLE 2 093015.xml ProShares UltraShort S&P 500 (sds) ETF 74347B300 48160942 2068769 SH SOLE 2068769 0 0 Short S&P500 ProShares (sh) ETF 74347R503 19457441 864391 SH SOLE 864391 0 0 MEDLEY CAPITAL CORP (mcc) COM 58503F106 12533087 1684554 SH SOLE 1684554 0 0 PowerShares CEF Income ETF (pcef) ETF 73936Q843 11706506 557452 SH SOLE 557452 0 0 Prospect Capital Corp. (psec) COM 74348T102 9537874 1337710 SH SOLE 1337710 0 0 Sr. Housing Properties Trust (snh) ETF 81721M109 9218626 569051 SH SOLE 569051 0 0 Verizon Communications (vz) COM 92343V104 9182827 211050 SH SOLE 211050 0 0 General Electric Company (ge) COM 369604103 8969041 355632 SH SOLE 355632 0 0 PENNANTPARK INVSTMNT CRP (pnnt) COM 708062104 7142604 1103957 SH SOLE 1103957 0 0 SELECT SECTOR SPDR TRUST ENERG (xle) ETF 81369Y506 6941181 113418 SH SOLE 113418 0 0 Solar Capital Ltd. (slrc) COM 83413U100 6192617 391442 SH SOLE 391442 0 0 S&P 500 INDX (ivv) ETF 464287200 5783997 30014 SH SOLE 30014 0 0 SPDR S&P 500 TRUST ETF (spy) ETF 78462F103 5781668 30171 SH SOLE 30171 0 0 Vanguard Index S&P 500 (voo) ETF 922908363 5714264 32521 SH SOLE 32521 0 0 ALPS ALERIAN MLP ETF (amlp) COM 00162Q866 5698680 456625 SH SOLE 456625 0 0 Whitestone REIT (wsr) COM 966084204 5606474 486251 SH SOLE 486251 0 0 AT&T, Inc.(t) COM 00206F102 5508399 169073 SH SOLE 169073 0 0 ERICSSON (LM) TEL-SP ADR NEW (eric) ADR 294821608 5342882 546307 SH SOLE 546307 0 0 Merck & Company Inc. (mrk) COM 58933Y105 5012604 101490 SH SOLE 101490 0 0 Cypress Semiconductor (cy) COM 232806109 4849133 569147 SH SOLE 569147 0 0 BlackRock Kelso Capital Corp. (bkcc) COM 092533108 4794905 541185 SH SOLE 541185 0 0 Invesco Mortgage Capital (ivr) COM 46131B100 4607930 376464 SH SOLE 376464 0 0 Independence Realty Trust, Inc. (irt) COM 45378A106 4534310 628891 SH SOLE 628891 0 0 ConocoPhillips (cop) COM 20825C104 4500950 93848 SH SOLE 93848 0 0 CITIGROUP INC COM (c) COM 172967424 4008789 80806 SH SOLE 80806 0 0 Communications Sales & Leasing Inc. (csal) COM 20341J104 3986867 222730 SH SOLE 222730 0 0 CYS INVESTMENTS INC (cys) COM 23281A307 3743989 515701 SH SOLE 515701 0 0 TICC Capital Corp (ticc) COM 87244T109 3623880 540071 SH SOLE 540071 0 0 HEWLETT-PACKARD COMPANY (hpq) COM 428236103 3530941 137873 SH SOLE 137873 0 0 WindStream Corp (win) COM 97382A101 3380763 550613 SH SOLE 550613 0 0 FIFTH STREET FINANCE CORP (fsc) COM 31678A103 3363852 545194 SH SOLE 545194 0 0 Fifth Street Ser Floating Rate Corp (fsfr) COM 31679F101 3291342 377015 SH SOLE 377015 0 0 Spirit Realty Capital, Inc. (src) COM 84860W102 3042651 332894 SH SOLE 332894 0 0 LEXINGTON REALTY TRUST REIT (lxp) COM 529043101 2767308 341643 SH SOLE 341643 0 0 KOHLS CORP (kss) COM 500255104 2578274 55674 SH SOLE 55674 0 0 The Dow Chemical Company (dow) COM 260543103 2575139 60734 SH SOLE 60734 0 0 TWO HARBORS INVT CORP (two) COM 90187B101 2515807 285238 SH SOLE 285238 0 0 ISHARES S&P 500 ETF GROWTH (ivw) ETF 464287309 2399628 22260 SH SOLE 22260 0 0 American Movil SA (amx) COM 02364W105 2338961 141326 SH SOLE 141326 0 0 AVON PRODUCTS INC (avp) COM 054303102 2243595 690337 SH SOLE 690337 0 0 New York Mortgage Trust (nymt) COM 649604501 2225305 405338 SH SOLE 405338 0 0 Olin Corp. (oln) COM 680665205 2193368 130480 SH SOLE 130480 0 0 Gap Inc. (gps) COM 364760108 2154172 75585 SH SOLE 75585 0 0 Apollo Investment Corp (ainv) COM 03761U106 1993765 363825 SH SOLE 363825 0 0 Trinseo SA (tse) COM L9340P101 1636452 64810 SH SOLE 64810 0 0 SELECT INCOME REIT (sir) ETF 81618T100 1360735 71580 SH SOLE 71580 0 0 KB HOME (kbh) COM 48666K109 1269851 93716 SH SOLE 93716 0 0 ISHARES NASDAQ BIOTECH (ibb) ETF 464287556 841740 2775 SH SOLE 2775 0 0 Horizon Technology Finance Corp (hrzn) COM 44045A102 816129 90180 SH SOLE 90180 0 0 IShares S&P Global Telecommunictions (ixp) ETF 464287275 728568 12845 SH SOLE 12845 0 0 First Tr Exchange FD Focus 5 ETF (fv) ETF 33738R605 647592 29530 SH SOLE 29530 0 0 ISHARES ETF S&P SMALL CAP 600 VALUE (ijs) ETF 464287879 599922 5725 SH SOLE 5725 0 0 Ishare MSCI Eafe SM (scz) ETF 464288273 382160 8000 SH SOLE 8000 0 0 Solar Senior Capital Ltd. (suns) COM 83416M105 277318 19502 SH SOLE 19502 0 0 Credit Suisse High Yield Bond Fund (dhy) BOND 22544F103 253002 111455 SH SOLE 111455 0 0 Pacholder High Yield Fd (phf) BOND 693742108 210487 33305 SH SOLE 33305 0 0 First Tr Strategic High Income Fd (fhy) BOND 337353304 175478 15259 SH SOLE 15259 0 0 Avenue Income Credit Strategies (acp) COM 05358E106 168078 13080 SH SOLE 13080 0 0 Pimco High Income Fund (phk) BOND 723456109 139240 18690 SH SOLE 18690 0 0 Eaton Vance Tax-Advantaged FD (exd) COM 27829M103 135958 11135 SH SOLE 11135 0 0 Wells Fargo Adv (ead) COM 94987b105 121082 15995 SH SOLE 15995 0 0 Full Circle Cap Corp (full) COM 359671104 53034 17275 SH SOLE 17275 0 0 Kcap Financial Inc. (kcap) COM 500233101 48933 10850 SH SOLE 10850 0 0 UQM Technologies Inc. (uqm) COM 903213106 8890 14000 SH SOLE 14000 0 0