Stock Transactions — GLADSTONE CAPITAL CORP

Total Bought
661,987
34 transactions
Total Sold
1,509,505
42 transactions
Net
-847,518
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
DnB Asset Management AS0205,743+205,7430.000.01+0.01buy
MARSHALL WACE, LLP0145,333+145,3330.000.00+0.00buy
CITADEL ADVISORS LLC153,288238,811+85,5230.000.00+0.00buy
Legal & General Group Plc293,169354,976+61,8070.000.00+0.00buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP027,886+27,8860.000.00+0.00buy
Qube Research & Technologies Ltd21,90642,776+20,8700.000.00+0.00buy
Brevan Howard Capital Management LP016,821+16,8210.000.02+0.02buy
VIRTUS ADVISERS, LLC39,72656,178+16,4520.270.32+0.05buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO015,000+15,0000.000.00+0.00buy
HRT FINANCIAL LP14,48327,223+12,7400.000.00+0.00buy
D.A. DAVIDSON & CO.167,578179,334+11,7560.020.02-0.00buy
IEQ CAPITAL, LLC011,000+11,0000.000.00+0.00buy
Register Financial Advisors LLC06,457+6,4570.000.04+0.04buy
SIMPLEX TRADING, LLC06,265+6,2650.000.00+0.00buy
OSAIC HOLDINGS, INC.30,63134,903+4,2720.000.00+0.00buy
Compound Planning, Inc.25,13627,748+2,6120.040.03-0.01buy
Aquatic Capital Management LLC7,2009,100+1,9000.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.14,79116,315+1,5240.000.00+0.00buy
ADVISORY RESEARCH INC11,84013,257+1,4170.020.03+0.01buy
WELLS FARGO & COMPANY/MN56,35957,509+1,1500.000.00-0.00buy
PNC FINANCIAL SERVICES GROUP, INC.01,000+1,0000.000.00+0.00buy
Kovack Advisors, Inc.68,74669,602+8560.090.09+0.00buy
LPL Financial LLC352,662353,348+6860.000.00-0.00buy
OLD POINT TRUST & FINANCIAL SERVICES N A0500+5000.000.00+0.00buy
FNY Investment Advisers, LLC0400+4000.000.00+0.00buy
GRIMES & COMPANY, INC.16,13216,514+3820.010.01-0.00buy
GROUP ONE TRADING LLC9,2419,619+3780.000.00+0.00buy
PRIVATE TRUST CO NA1,5951,896+3010.000.00+0.00buy
EntryPoint Capital, LLC2,1442,413+2690.020.05+0.02buy
XML Financial, LLC17,57717,791+2140.020.02-0.00buy
Steward Partners Investment Advisory, LLC0198+1980.000.00+0.00buy
Parallel Advisors, LLC0168+1680.000.00+0.00buy
Good Life Advisors, LLC14,95515,032+770.020.01-0.00buy
HUNTINGTON NATIONAL BANK131+300.000.00+0.00buy
EAGLE GLOBAL ADVISORS LLC16,12016,12000.010.01-0.00hold
West Oak Capital, LLC80080000.000.00-0.00hold
NOVARE CAPITAL MANAGEMENT LLC57,07757,07700.060.06-0.01hold
Private Advisor Group, LLC19,58319,58300.000.00-0.00hold
Prime Capital Investment Advisors, LLC10,53910,53900.000.00-0.00hold
Balefire, LLC30030000.000.00-0.00hold
RDA Financial Network11,40011,40000.050.04-0.00hold
Key FInancial Inc20020000.000.00-0.00hold
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC32,08132,08100.040.04-0.01hold
Main Street Group, LTD10010000.000.00+0.00hold
HAZLETT, BURT & WATSON, INC.31031000.000.00-0.00hold
CREATIVE FINANCIAL DESIGNS INC /ADV24824800.000.00-0.00hold
COMERICA BANK2,5002,50000.000.00-0.00hold
DEUTSCHE BANK AG\19,01919,01900.000.00-0.00hold
Parallel Advisors, LLC180-180.000.00-0.00sell
Shulman DeMeo Asset Management LLC47,00446,870-1340.140.13-0.01sell
Cape Investment Advisory, Inc.2000-2000.000.00-0.00sell
VALLEY NATIONAL ADVISERS INC2000-2000.000.00-0.00sell
COMMONWEALTH EQUITY SERVICES, LLC23,94123,616-3250.000.00-0.00sell
Ausdal Financial Partners, Inc.36,54236,077-4650.050.04-0.00sell
HARBOUR INVESTMENTS, INC.1,0000-1,0000.000.00-0.00sell
DAVENPORT & Co LLC17,31216,312-1,0000.000.00-0.00sell
Quarry LP1,0150-1,0150.010.00-0.01sell
Tower Research Capital LLC (TRC)1,3040-1,3040.000.00-0.00sell
PFS Partners, LLC1,5390-1,5390.010.00-0.01sell
Creekmur Asset Management LLC6,2364,100-2,1360.020.02-0.01sell
ROYAL BANK OF CANADA50,16047,989-2,1710.000.00-0.00sell
WEDBUSH SECURITIES INC14,59811,631-2,9670.010.00-0.00sell
MORGAN STANLEY184,768181,738-3,0300.000.00-0.00sell
Advisors Asset Management, Inc.271,782268,306-3,4760.060.06-0.00sell
Garner Asset Management Corp4,1000-4,1000.020.00-0.02sell
Advisory Services Network, LLC5,6960-5,6960.000.00-0.00sell
BNP PARIBAS FINANCIAL MARKETS5,7000-5,7000.000.00-0.00sell
Quantbot Technologies LP7,2470-7,2470.000.00-0.00sell
UBS Group AG28,04420,643-7,4010.000.00-0.00sell
State of Wyoming7,5350-7,5350.020.00-0.02sell
NATIONAL BANK OF CANADA /FI/8,4000-8,4000.000.00-0.00sell
Hillsdale Investment Management Inc.9,2000-9,2000.010.00-0.01sell
Koshinski Asset Management, Inc.58,26048,528-9,7320.090.05-0.04sell
NORTHERN TRUST CORP10,8410-10,8410.000.00-0.00sell
AE Wealth Management LLC12,8950-12,8950.000.00-0.00sell
BLAIR WILLIAM & CO/IL13,3350-13,3350.000.00-0.00sell
Wambolt & Associates, LLC14,3540-14,3540.050.00-0.05sell
Trexquant Investment LP85,40770,856-14,5510.020.02-0.01sell
HARMONY ASSET MANAGEMENT LLC15,0000-15,0000.070.00-0.07sell
Jump Financial, LLC36,39119,687-16,7040.010.01-0.01sell
NewEdge Advisors, LLC22,0520-22,0520.000.00-0.00sell
CANADA LIFE ASSURANCE Co33,8390-33,8390.000.00-0.00sell
D. E. Shaw & Co., Inc.41,6460-41,6460.000.00-0.00sell
Quadrature Capital Ltd96,59636,118-60,4780.020.01-0.01sell
TWO SIGMA ADVISERS, LP375,458313,858-61,6000.010.01-0.00sell
Legacy Capital Wealth Partners, LLC149,3200-149,3200.450.00-0.45sell
DnB Asset Management AS149,6940-149,6940.010.00-0.01sell
MARSHALL WACE, LLP174,4500-174,4500.000.00-0.00sell
TWO SIGMA INVESTMENTS, LP459,468264,200-195,2680.010.01-0.00sell
MILLENNIUM MANAGEMENT LLC452,56215,075-437,4870.000.00-0.00sell
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