Stock Transactions — Gladstone Investment Corp - US

Total Bought
983,899
44 transactions
Total Sold
2,181,419
34 transactions
Net
-1,197,520
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
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Type
MARSHALL WACE, LLP29,972295,342+265,3700.000.00+0.00buy
UBS Group AG255,656484,848+229,1920.000.00+0.00buy
Melia Wealth LLC1,133,0301,197,594+64,5647.747.25-0.50buy
BlackRock, Inc.251,201315,598+64,3970.000.00+0.00buy
D. E. Shaw & Co., Inc.043,149+43,1490.000.00+0.00buy
AMERIFLEX GROUP, INC.042,338+42,3380.000.22+0.22buy
MORGAN STANLEY286,395317,936+31,5410.000.00-0.00buy
Magnetar Financial LLC030,090+30,0900.000.00+0.00buy
Janney Montgomery Scott LLC019,375+19,3750.000.00+0.00buy
VAN ECK ASSOCIATES CORP836,641854,730+18,0890.010.01-0.00buy
OXFORD ASSET MANAGEMENT LLP017,727+17,7270.000.08+0.08buy
Virtus Investment Advisers, LLC53,76870,254+16,4860.260.28+0.02buy
Cassaday & Co Wealth Management LLC112,500128,000+15,5000.040.04+0.00buy
Atlantic Union Bankshares Corp85,61399,789+14,1760.030.03-0.00buy
Mirae Asset Global Investments Co., Ltd.014,000+14,0000.000.00+0.00buy
State of Wyoming12,03326,003+13,9700.020.04+0.02buy
CANADA LIFE ASSURANCE Co37,23848,371+11,1330.000.00+0.00buy
Verition Fund Management LLC011,054+11,0540.000.00+0.00buy
Prime Capital Investment Advisors, LLC010,730+10,7300.000.00+0.00buy
Mariner, LLC010,114+10,1140.000.00+0.00buy
Invesco Ltd.51,47859,447+7,9690.000.00+0.00buy
LPL Financial LLC188,193195,758+7,5650.000.00-0.00buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP32,15538,094+5,9390.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC40,85743,953+3,0960.000.00-0.00buy
ALBERT D MASON INC48,05651,013+2,9570.500.46-0.04buy
Cetera Investment Advisers30,68133,383+2,7020.000.00-0.00buy
NORTHERN TRUST CORP24,85427,439+2,5850.000.00-0.00buy
JPMORGAN CHASE & CO5,3047,249+1,9450.000.00+0.00buy
WELLS FARGO & COMPANY/MN12,10713,277+1,1700.000.00-0.00buy
ORG Partners LLC01,000+1,0000.000.00+0.00buy
Crewe Advisors LLC0766+7660.000.00+0.00buy
SIMPLEX TRADING, LLC0747+7470.000.00+0.00buy
Quarry LP1738+7370.000.00+0.00buy
Sunbelt Securities, Inc.0692+6920.000.00+0.00buy
Focus Partners Wealth19,85520,195+3400.000.00-0.00buy
Hardy Reed LLC10,73310,918+1850.010.01-0.00buy
Wealthspire Advisors, LLC0180+1800.000.00+0.00buy
Geneos Wealth Management Inc.8,8499,001+1520.000.00+0.00buy
Allworth Financial LP5,0305,140+1100.000.00-0.00buy
QUADRANT CAPITAL GROUP LLC037+370.000.00+0.00buy
Advisory Services Network, LLC015+150.000.00+0.00buy
CITIGROUP INC110+90.000.00+0.00buy
Larson Financial Group LLC224228+40.000.00-0.00buy
Roble, Belko & Company, Inc9395+20.000.00-0.00buy
North Star Investment Management Corp.5,0005,00000.000.00-0.00hold
Oakworth Capital, Inc.10010000.000.00-0.00hold
Baird Financial Group, Inc.90,80090,80000.000.00-0.00hold
Parallel Advisors, LLC26326300.000.00-0.00hold
EverSource Wealth Advisors, LLC1,2001,20000.000.00-0.00hold
Union Bancaire Privee, UBP SA19,80619,80600.590.58-0.01hold
Steward Partners Investment Advisory, LLC3,6003,60000.000.00-0.00hold
Pflug Koory, LLC67567500.000.00-0.00hold
DHJJ Financial Advisors, Ltd.5500.000.00-0.00hold
United Advisor Group, LLC78,43478,43400.190.15-0.05hold
Creekmur Asset Management LLC0000.000.00-0.00hold
Kentucky Trust Co2,0002,00000.020.01-0.00hold
CALDWELL SUTTER CAPITAL, INC.80080000.010.00-0.00hold
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
DAVENPORT & Co LLC135,262135,26200.010.01-0.00hold
Wilmington Savings Fund Society, FSB88488400.000.00+0.00hold
COMERICA BANK95095000.000.00-0.00hold
NATIONAL BANK OF CANADA /FI/1,0001,00000.000.00+0.00hold
MAI Capital Management871857-140.000.00-0.00sell
Private Advisor Group, LLC15,75115,720-310.000.00-0.00sell
Transce3nd, LLC350-350.000.00-0.00sell
ASSETMARK, INC845622-2230.000.00-0.00sell
SIGNATUREFD, LLC1,3221,090-2320.000.00-0.00sell
NewEdge Advisors, LLC19,62619,376-2500.000.00-0.00sell
OUTFITTER FINANCIAL LLC202,295201,895-4002.462.26-0.20sell
Mid-American Wealth Advisory Group, Inc.4010-4010.000.00-0.00sell
Tower Research Capital LLC (TRC)971551-4200.000.00-0.00sell
Garner Asset Management Corp36,80536,289-5160.240.20-0.04sell
PFG Advisors100,40499,744-6600.070.06-0.01sell
Advisors Asset Management, Inc.114,865113,832-1,0330.030.03-0.00sell
Legacy Capital Wealth Partners, LLC102,257101,206-1,0510.330.30-0.03sell
ENVESTNET ASSET MANAGEMENT INC16,79415,391-1,4030.000.00-0.00sell
EXCHANGE TRADED CONCEPTS, LLC1,90156-1,8450.000.00-0.00sell
FOUNDATIONS INVESTMENT ADVISORS, LLC15,41012,452-2,9580.000.00-0.00sell
Farther Finance Advisors, LLC5,3641,217-4,1470.000.00-0.00sell
BLAIR WILLIAM & CO/IL169,571164,914-4,6570.010.01-0.00sell
Prosperity Financial Group, Inc.24,70019,400-5,3000.150.10-0.05sell
COMMONWEALTH EQUITY SERVICES, LLC36,63331,100-5,5330.000.00-0.00sell
OSAIC HOLDINGS, INC.24,82817,844-6,9840.000.00-0.00sell
Quantbot Technologies LP7,3920-7,3920.000.00-0.00sell
Cornerstone Wealth Management, LLC10,4790-10,4790.010.00-0.01sell
Equitable Holdings, Inc.10,6020-10,6020.000.00-0.00sell
Virtu Financial LLC12,5920-12,5920.010.00-0.01sell
UNITED CAPITAL FINANCIAL ADVISORS, LLC13,5000-13,5000.000.00-0.00sell
JANE STREET GROUP, LLC14,1930-14,1930.000.00-0.00sell
ROYAL BANK OF CANADA77,86763,227-14,6400.000.00-0.00sell
Legal & General Group Plc242,600222,547-20,0530.000.00-0.00sell
Realta Investment Advisors42,2270-42,2270.240.00-0.24sell
TWO SIGMA INVESTMENTS, LP56,0750-56,0750.000.00-0.00sell
HRT FINANCIAL LP57,5010-57,5010.000.00-0.00sell
MILLENNIUM MANAGEMENT LLC169,19744,546-124,6510.000.00-0.00sell
Kingstone Capital Partners Texas, LLC1,759,4210-1,759,4210.010.00-0.01sell
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