Stock Transactions — Gladstone Investment Corp - US

Total Bought
2,287,857
49 transactions
Total Sold
326,467
30 transactions
Net
+1,961,390
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
Kingstone Capital Partners Texas, LLC01,759,421+1,759,4210.000.01+0.01buy
MILLENNIUM MANAGEMENT LLC77,424169,197+91,7730.000.00+0.00buy
Invesco Ltd.051,478+51,4780.000.00+0.00buy
BlackRock, Inc.199,998251,201+51,2030.000.00+0.00buy
Melia Wealth LLC1,088,7981,133,030+44,2327.507.74+0.24buy
HRT FINANCIAL LP15,95557,501+41,5460.000.00+0.00buy
UBS Group AG221,099255,656+34,5570.000.00+0.00buy
Realta Investment Advisors10,00042,227+32,2270.060.24+0.18buy
MORGAN STANLEY256,184286,395+30,2110.000.00+0.00buy
MARSHALL WACE, LLP029,972+29,9720.000.00+0.00buy
VAN ECK ASSOCIATES CORP808,440836,641+28,2010.010.01-0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC015,410+15,4100.000.00+0.00buy
Virtu Financial LLC012,592+12,5920.000.01+0.01buy
NORTHERN TRUST CORP12,35724,854+12,4970.000.00+0.00buy
State of Wyoming3,95412,033+8,0790.010.02+0.01buy
Quantbot Technologies LP07,392+7,3920.000.00+0.00buy
JPMORGAN CHASE & CO05,304+5,3040.000.00+0.00buy
Allworth Financial LP135,030+5,0170.000.00+0.00buy
First Horizon Advisors, Inc.02,259+2,2590.000.00+0.00buy
ROYAL BANK OF CANADA75,63877,867+2,2290.000.00-0.00buy
CANADA LIFE ASSURANCE Co35,10237,238+2,1360.000.00+0.00buy
United Advisor Group, LLC76,35178,434+2,0830.210.19-0.02buy
COMMONWEALTH EQUITY SERVICES, LLC34,61236,633+2,0210.000.00+0.00buy
EXCHANGE TRADED CONCEPTS, LLC01,901+1,9010.000.00+0.00buy
LPL Financial LLC186,656188,193+1,5370.000.00-0.00buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP30,63332,155+1,5220.000.00+0.00buy
UNITED CAPITAL FINANCIAL ADVISORS, LLC12,00013,500+1,5000.000.00+0.00buy
OUTFITTER FINANCIAL LLC201,145202,295+1,1502.422.46+0.04buy
BLAIR WILLIAM & CO/IL168,436169,571+1,1350.010.01-0.00buy
Union Bancaire Privee, UBP SA18,84719,806+9590.000.59+0.58buy
COMERICA BANK0950+9500.000.00+0.00buy
ASSETMARK, INC0845+8450.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC40,04340,857+8140.000.00-0.00buy
Hardy Reed LLC10,16710,733+5660.010.01+0.00buy
Equitable Holdings, Inc.10,07610,602+5260.000.00-0.00buy
Cetera Investment Advisers30,23630,681+4450.000.00-0.00buy
Mid-American Wealth Advisory Group, Inc.0401+4010.000.00+0.00buy
Geneos Wealth Management Inc.8,4608,849+3890.000.00-0.00buy
Focus Partners Wealth19,52719,855+3280.000.00-0.00buy
SIGNATUREFD, LLC9991,322+3230.000.00+0.00buy
MAI Capital Management557871+3140.000.00+0.00buy
Private Advisor Group, LLC15,59915,751+1520.000.00-0.00buy
Oakworth Capital, Inc.0100+1000.000.00+0.00buy
Farther Finance Advisors, LLC5,2825,364+820.000.00-0.00buy
ENVESTNET ASSET MANAGEMENT INC16,74816,794+460.000.00-0.00buy
Transce3nd, LLC935+260.000.00+0.00buy
Larson Financial Group LLC220224+40.000.00-0.00buy
Roble, Belko & Company, Inc9293+10.000.00-0.00buy
Quarry LP01+10.000.00+0.00buy
North Star Investment Management Corp.5,0005,00000.000.00+0.00hold
NewEdge Advisors, LLC19,62619,62600.000.00-0.00hold
PFG Advisors100,404100,40400.070.07-0.01hold
EverSource Wealth Advisors, LLC1,2001,20000.000.00-0.00hold
Steward Partners Investment Advisory, LLC3,6003,60000.000.00-0.00hold
Pflug Koory, LLC67567500.010.00-0.00hold
DHJJ Financial Advisors, Ltd.5500.000.00-0.00hold
Cassaday & Co Wealth Management LLC112,500112,50000.040.04-0.00hold
Kentucky Trust Co2,0002,00000.020.02+0.00hold
CALDWELL SUTTER CAPITAL, INC.80080000.010.01+0.00hold
CONCOURSE FINANCIAL GROUP SECURITIES, INC.0000.000.000.00hold
Legal & General Group Plc242,600242,60000.000.00-0.00hold
VALLEY NATIONAL ADVISERS INC15015000.000.00-0.00hold
HARBOUR INVESTMENTS, INC.101000.000.00-0.00hold
JONES FINANCIAL COMPANIES LLLP1,2911,29100.000.00-0.00hold
CREATIVE FINANCIAL DESIGNS INC /ADV60060000.000.00-0.00hold
Wilmington Savings Fund Society, FSB88488400.000.00+0.00hold
NATIONAL BANK OF CANADA /FI/1,0001,00000.000.00-0.00hold
Creekmur Asset Management LLC10-10.000.00-0.00sell
QUADRANT CAPITAL GROUP LLC370-370.000.00-0.00sell
FMR LLC430-430.000.00-0.00sell
Parallel Advisors, LLC365263-1020.000.00-0.00sell
Aquatic Capital Management LLC2840-2840.000.00-0.00sell
Federation des caisses Desjardins du Quebec5000-5000.000.00-0.00sell
Advisors Asset Management, Inc.115,458114,865-5930.030.03+0.00sell
Baird Financial Group, Inc.91,43690,800-6360.000.00-0.00sell
BNP PARIBAS FINANCIAL MARKETS8550-8550.000.00-0.00sell
Garner Asset Management Corp37,70136,805-8960.220.24+0.02sell
WELLS FARGO & COMPANY/MN13,10612,107-9990.000.00-0.00sell
Cornerstone Wealth Management, LLC11,82810,479-1,3490.010.01-0.00sell
OSAIC HOLDINGS, INC.26,40524,828-1,5770.000.00-0.00sell
CITIGROUP INC2,2661-2,2650.000.00-0.00sell
Tower Research Capital LLC (TRC)3,956971-2,9850.000.00-0.00sell
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO3,0000-3,0000.000.00-0.00sell
Atlantic Union Bankshares Corp88,61385,613-3,0000.070.03-0.04sell
ALBERT D MASON INC51,24148,056-3,1850.470.50+0.03sell
Legacy Capital Wealth Partners, LLC106,088102,257-3,8310.350.33-0.02sell
SIMPLEX TRADING, LLC6,9070-6,9070.000.00-0.00sell
Prosperity Financial Group, Inc.31,75024,700-7,0500.210.15-0.06sell
JANE STREET GROUP, LLC22,58014,193-8,3870.000.00-0.00sell
Sound Income Strategies, LLC14,8310-14,8310.010.00-0.01sell
DAVENPORT & Co LLC154,539135,262-19,2770.010.01-0.00sell
TWO SIGMA INVESTMENTS, LP79,12056,075-23,0450.000.00-0.00sell
Virtus Investment Advisers, LLC86,77153,768-33,0030.320.26-0.06sell
Qube Research & Technologies Ltd35,9700-35,9700.000.00-0.00sell
TWO SIGMA ADVISERS, LP42,2420-42,2420.000.00-0.00sell
AMERIFLEX GROUP, INC.46,2050-46,2050.250.00-0.25sell
D. E. Shaw & Co., Inc.63,4120-63,4120.000.00-0.00sell
Page 1 of 1