Stock Transactions — Gladstone Investment Corp - US

Total Bought
2,189,471
44 transactions
Total Sold
892,200
38 transactions
Net
+1,297,271
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
PANORAMIC INVESTMENT ADVISORS, LLC01,069,685+1,069,6850.004.23+4.23buy
TWO SIGMA INVESTMENTS, LP190,243804,263+614,0200.000.01+0.01buy
TUDOR INVESTMENT CORP ET AL0125,209+125,2090.000.01+0.01buy
Squarepoint Ops LLC0103,510+103,5100.000.00+0.00buy
JANE STREET GROUP, LLC069,763+69,7630.000.00+0.00buy
Legal & General Group Plc273,752300,698+26,9460.000.00+0.00buy
UBS Group AG713,016732,231+19,2150.000.00-0.00buy
GREENWOOD GEARHART INC017,900+17,9000.000.01+0.01buy
SIMPLEX TRADING, LLC015,997+15,9970.000.01+0.01buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP30,74246,142+15,4000.000.00+0.00buy
Advisors Asset Management, Inc.94,780108,973+14,1930.020.03+0.00buy
AMERIPRISE FINANCIAL INC013,959+13,9590.000.00+0.00buy
Creative Planning013,246+13,2460.000.00+0.00buy
HighTower Advisors, LLC011,572+11,5720.000.00+0.00buy
PFG Advisors305,248315,330+10,0820.210.22+0.01buy
HRT FINANCIAL LP010,017+10,0170.000.00+0.00buy
Legacy Capital Wealth Partners, LLC111,329119,068+7,7390.330.35+0.01buy
United Advisor Group, LLC70,75277,612+6,8600.130.14+0.01buy
OSAIC HOLDINGS, INC.88,41095,255+6,8450.000.00+0.00buy
WELLS FARGO & COMPANY/MN14,77717,418+2,6410.000.00+0.00buy
MORGAN STANLEY335,654338,072+2,4180.000.00+0.00buy
DAVENPORT & Co LLC137,862139,862+2,0000.010.01+0.00buy
Burk Holdings LLC01,706+1,7060.000.01+0.01buy
NOMURA ASSET MANAGEMENT CO LTD01,467+1,4670.000.00+0.00buy
ALBERT D MASON INC66,83367,936+1,1030.610.62+0.01buy
FIFTH THIRD BANCORP01,049+1,0490.000.00+0.00buy
DHJJ Financial Advisors, Ltd.51,005+1,0000.000.00+0.00buy
COMMONWEALTH EQUITY SERVICES, LLC28,39629,188+7920.000.00+0.00buy
OUTFITTER FINANCIAL LLC204,345205,120+7752.252.25+0.01buy
Cetera Investment Advisers30,93631,653+7170.000.00+0.00buy
Focus Partners Wealth20,29520,743+4480.000.00+0.00buy
Private Advisor Group, LLC14,28514,628+3430.000.00+0.00buy
Advisory Services Network, LLC0200+2000.000.00+0.00buy
Hardy Reed LLC11,10811,300+1920.010.01+0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC11,97012,116+1460.000.00-0.00buy
JONES FINANCIAL COMPANIES LLLP1,2911,388+970.000.00-0.00buy
SIGNATUREFD, LLC9991,080+810.000.00+0.00buy
AMERIFLEX GROUP, INC.19,30819,358+500.140.14-0.00buy
Allworth Financial LP5,1675,196+290.000.00+0.00buy
Ritter Daniher Financial Advisory LLC / DE1,5431,570+270.000.00+0.00buy
BNP PARIBAS FINANCIAL MARKETS014+140.000.00+0.00buy
Sunbelt Securities, Inc.704717+130.000.00-0.00buy
Larson Financial Group LLC232236+40.000.00-0.00buy
HUNTINGTON NATIONAL BANK01+10.000.00+0.00buy
MAI Capital Management1,4071,40700.000.00-0.00hold
North Star Investment Management Corp.5,0005,00000.000.00-0.00hold
ASSETMARK, INC62262200.000.00+0.00hold
Oakworth Capital, Inc.10010000.000.00-0.00hold
NorthRock Partners, LLC10,26210,26200.000.00-0.00hold
QUADRANT CAPITAL GROUP LLC373700.000.00+0.00hold
EverSource Wealth Advisors, LLC1,2001,20000.000.00-0.00hold
Steward Partners Investment Advisory, LLC3,0003,00000.000.00-0.00hold
Crewe Advisors LLC76676600.000.00-0.00hold
Sound Income Strategies, LLC10,74010,74000.010.01+0.00hold
Pflug Koory, LLC67567500.000.00-0.00hold
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC2,1902,19000.000.00+0.00hold
Register Financial Advisors LLC9,5009,50000.050.05-0.00hold
Abel Hall, LLC10,00010,00000.030.03-0.00hold
Kentucky Trust Co2,0002,00000.010.01+0.00hold
CALDWELL SUTTER CAPITAL, INC.80080000.000.00-0.00hold
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
Atlantic Union Bankshares Corp97,16497,16400.030.03+0.00hold
Farther Finance Advisors, LLC673658-150.000.00-0.00sell
EXCHANGE TRADED CONCEPTS, LLC280-280.000.00-0.00sell
Parallel Advisors, LLC263221-420.000.00-0.00sell
US BANCORP \DE\460-460.000.00-0.00sell
WealthCollab, LLC1450-1450.000.00-0.00sell
Prosperity Financial Group, Inc.16,00015,700-3000.080.08+0.00sell
Prime Capital Investment Advisors, LLC10,72810,258-4700.000.00-0.00sell
NewEdge Advisors, LLC20,46019,976-4840.000.00-0.00sell
Baird Financial Group, Inc.90,80190,300-5010.000.00+0.00sell
CITIGROUP INC8058-7970.000.00-0.00sell
Janney Montgomery Scott LLC19,37518,511-8640.000.00+0.00sell
CoreCap Advisors, LLC1,0090-1,0090.000.00-0.00sell
Tower Research Capital LLC (TRC)2,046602-1,4440.000.00-0.00sell
Garner Asset Management Corp36,29334,493-1,8000.190.19-0.00sell
RAYMOND JAMES FINANCIAL INC49,73647,934-1,8020.000.00-0.00sell
Kestra Advisory Services, LLC1,8700-1,8700.000.00-0.00sell
ENVESTNET ASSET MANAGEMENT INC13,99412,015-1,9790.000.00-0.00sell
NATIONAL BANK OF CANADA /FI/2,0000-2,0000.000.00-0.00sell
Aquatic Capital Management LLC3,5620-3,5620.000.00-0.00sell
State of Wyoming14,6679,421-5,2460.020.02-0.01sell
LPL Financial LLC193,933187,438-6,4950.000.00-0.00sell
JPMORGAN CHASE & CO6,9150-6,9150.000.00-0.00sell
CANADA LIFE ASSURANCE Co50,44043,425-7,0150.000.00-0.00sell
ROYAL BANK OF CANADA66,22958,179-8,0500.000.00-0.00sell
Virtus Investment Advisers, LLC49,49541,033-8,4620.190.16-0.03sell
BLAIR WILLIAM & CO/IL154,482145,754-8,7280.010.01+0.00sell
Invesco Ltd.54,22443,241-10,9830.000.00-0.00sell
Union Bancaire Privee, UBP SA15,3933,570-11,8230.390.00-0.39sell
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC12,0980-12,0980.000.00-0.00sell
Mirae Asset Global Investments Co., Ltd.14,0000-14,0000.000.00-0.00sell
NORTHERN TRUST CORP25,3420-25,3420.000.00-0.00sell
TrueMark Investments, LLC41,6780-41,6780.110.00-0.11sell
Cassaday & Co Wealth Management LLC132,00079,000-53,0000.040.02-0.01sell
Melia Wealth LLC1,127,2961,069,486-57,8107.287.35+0.07sell
TWO SIGMA ADVISERS, LP111,4180-111,4180.000.00-0.00sell
BlackRock, Inc.319,773207,403-112,3700.000.00-0.00sell
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