Stock Transactions — Gladstone Investment Corp - US

Total Bought
1,348,934
30 transactions
Total Sold
511,243
45 transactions
Net
+837,691
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
Melia Wealth LLC0945,539+945,5390.007.56+7.56buy
MARSHALL WACE, LLP147,318240,301+92,9830.000.01+0.00buy
VAN ECK ASSOCIATES CORP618,560704,351+85,7910.020.02-0.00buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP44,87780,560+35,6830.000.00+0.00buy
Qube Research & Technologies Ltd8,09033,041+24,9510.000.00+0.00buy
United Advisor Group, LLC35,42759,446+24,0190.600.32-0.29buy
Legal & General Group Plc257,435276,290+18,8550.000.00+0.00buy
CITADEL ADVISORS LLC51,64770,465+18,8180.000.00+0.00buy
VIRTUS ADVISERS, LLC21,99740,275+18,2780.200.30+0.11buy
MORGAN STANLEY97,248113,093+15,8450.000.00+0.00buy
Virtu Financial LLC013,938+13,9380.000.02+0.02buy
EVERGREEN CAPITAL MANAGEMENT LLC010,373+10,3730.000.01+0.01buy
Advisors Asset Management, Inc.152,469162,487+10,0180.040.04+0.00buy
MONOGRAPH WEALTH ADVISORS, LLC010,000+10,0000.000.02+0.02buy
Trexquant Investment LP10,67519,780+9,1050.000.01+0.00buy
UBS Group AG30,79534,657+3,8620.000.00-0.00buy
Garner Asset Management Corp37,88241,333+3,4510.250.29+0.04buy
FNY Investment Advisers, LLC01,400+1,4000.000.01+0.01buy
MERCER GLOBAL ADVISORS INC /ADV11,84912,950+1,1010.000.00+0.00buy
NATIONAL BANK OF CANADA /FI/01,000+1,0000.000.00+0.00buy
ROYAL BANK OF CANADA71,61872,406+7880.000.00-0.00buy
ALBERT D MASON INC67,83768,541+7040.640.60-0.03buy
NewEdge Advisors, LLC0650+6500.000.00+0.00buy
Tower Research Capital LLC (TRC)6621,294+6320.000.00+0.00buy
BLAIR WILLIAM & CO/IL154,529154,864+3350.010.01-0.00buy
CITIGROUP INC592894+3020.000.00+0.00buy
Castle Rock Wealth Management, LLC14,17514,375+2000.060.06-0.01buy
SIMPLEX TRADING, LLC9941,170+1760.000.00+0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC10,19010,325+1350.020.02-0.00buy
Larson Financial Group LLC202204+20.000.00-0.00buy
NATIXIS15,19215,19200.000.00-0.00hold
North Star Investment Management Corp.5,0005,00000.010.01-0.00hold
CAPTRUST FINANCIAL ADVISORS12,00012,00000.000.00+0.00hold
EverSource Wealth Advisors, LLC1,2001,20000.000.00-0.00hold
Pflug Koory, LLC67567500.010.00-0.00hold
DHJJ Financial Advisors, Ltd.5500.000.00-0.00hold
Northwest Financial Advisors4,0004,00000.050.04-0.00hold
Federation des caisses Desjardins du Quebec50050000.000.00-0.00hold
PNC FINANCIAL SERVICES GROUP, INC.85085000.000.00-0.00hold
CONCOURSE FINANCIAL GROUP SECURITIES, INC.10010000.000.00-0.00hold
VALLEY NATIONAL ADVISERS INC15015000.000.00-0.00hold
HARBOUR INVESTMENTS, INC.101000.000.00-0.00hold
CREATIVE FINANCIAL DESIGNS INC /ADV60060000.000.00-0.00hold
Private Advisor Group, LLC25,67425,641-330.000.00-0.00sell
Parallel Advisors, LLC477335-1420.000.00-0.00sell
ExodusPoint Capital Management, LP12,91912,765-1540.000.00-0.00sell
QUADRANT CAPITAL GROUP LLC2,7772,614-1630.000.00-0.00sell
Prosperity Financial Group, Inc.37,05036,800-2500.360.32-0.04sell
CANADA LIFE ASSURANCE Co30,31329,984-3290.000.00-0.00sell
NOMURA ASSET MANAGEMENT CO LTD3480-3480.000.00-0.00sell
SIGNATUREFD, LLC2,7722,387-3850.000.00-0.00sell
CALDWELL SUTTER CAPITAL, INC.13,96513,560-4050.100.09-0.01sell
PFG Advisors103,804103,304-5000.120.11-0.01sell
Cape Investment Advisory, Inc.7490-7490.010.00-0.01sell
Janney Montgomery Scott LLC23,83323,059-7740.000.00-0.00sell
JOHNSON INVESTMENT COUNSEL INC22,58221,792-7900.000.00-0.00sell
GROUP ONE TRADING LLC8640-8640.000.00-0.00sell
DAVENPORT & Co LLC207,842206,842-1,0000.020.02-0.00sell
OSAIC HOLDINGS, INC.21,46620,060-1,4060.000.00+0.00sell
Frazier Financial Advisors, LLC1,5000-1,5000.020.00-0.02sell
WEDBUSH SECURITIES INC30,26528,493-1,7720.020.02-0.00sell
Atlantic Union Bankshares Corp92,25890,058-2,2000.120.11-0.01sell
COMMONWEALTH EQUITY SERVICES, LLC38,65835,615-3,0430.000.00-0.00sell
Sound Income Strategies, LLC31,12327,763-3,3600.040.03-0.01sell
BNP PARIBAS FINANCIAL MARKETS3,46916-3,4530.000.00-0.00sell
Jump Financial, LLC20,80017,137-3,6630.010.01-0.00sell
Creekmur Asset Management LLC7,4033,603-3,8000.030.02-0.02sell
EntryPoint Capital, LLC4,752923-3,8290.060.01-0.05sell
CAROLINAS WEALTH CONSULTING LLC4,1000-4,1000.010.00-0.01sell
State of Wyoming13,9258,483-5,4420.040.02-0.02sell
WELLS FARGO & COMPANY/MN10,6474,848-5,7990.000.00-0.00sell
Quarry LP5,9700-5,9700.040.00-0.04sell
OUTFITTER FINANCIAL LLC213,795207,545-6,2502.642.42-0.22sell
Baird Financial Group, Inc.100,93692,348-8,5880.000.00-0.00sell
TRUIST FINANCIAL CORP10,0000-10,0000.000.00-0.00sell
AE Wealth Management LLC10,1720-10,1720.000.00-0.00sell
LPL Financial LLC165,841153,069-12,7720.000.00-0.00sell
Quantbot Technologies LP12,8050-12,8050.010.00-0.01sell
BOOTHBAY FUND MANAGEMENT, LLC13,9300-13,9300.010.00-0.01sell
AMERIPRISE FINANCIAL INC14,8980-14,8980.000.00-0.00sell
Strategic Financial Concepts, LLC15,4390-15,4390.130.00-0.13sell
GOLDMAN SACHS GROUP INC16,8120-16,8120.000.00-0.00sell
MILLENNIUM MANAGEMENT LLC145,386109,385-36,0010.000.00-0.00sell
WINTON GROUP Ltd36,8710-36,8710.040.00-0.04sell
TWO SIGMA ADVISERS, LP260,242221,542-38,7000.010.01-0.00sell
D. E. Shaw & Co., Inc.42,9790-42,9790.000.00-0.00sell
TWO SIGMA INVESTMENTS, LP300,646224,334-76,3120.010.01-0.00sell
Legacy Capital Wealth Partners, LLC102,4910-102,4910.410.00-0.41sell
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