Stock Transactions — Gladstone Investment Corp - US

Total Bought
1,036,249
42 transactions
Total Sold
554,463
40 transactions
Net
+481,786
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
UBS Group AG484,848713,016+228,1680.000.00+0.00buy
PFG Advisors99,744305,248+205,5040.060.21+0.15buy
TWO SIGMA INVESTMENTS, LP0190,243+190,2430.000.00+0.00buy
TWO SIGMA ADVISERS, LP0111,418+111,4180.000.00+0.00buy
OSAIC HOLDINGS, INC.17,84488,410+70,5660.000.00+0.00buy
Legal & General Group Plc222,547273,752+51,2050.000.00+0.00buy
TrueMark Investments, LLC041,678+41,6780.000.11+0.11buy
MORGAN STANLEY317,936335,654+17,7180.000.00+0.00buy
ALBERT D MASON INC51,01366,833+15,8200.460.61+0.16buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC012,098+12,0980.000.00+0.00buy
Sound Income Strategies, LLC010,740+10,7400.000.01+0.01buy
NorthRock Partners, LLC010,262+10,2620.000.00+0.00buy
Legacy Capital Wealth Partners, LLC101,206111,329+10,1230.300.33+0.03buy
Abel Hall, LLC010,000+10,0000.000.03+0.03buy
Register Financial Advisors LLC09,500+9,5000.000.05+0.05buy
RAYMOND JAMES FINANCIAL INC43,95349,736+5,7830.000.00+0.00buy
BlackRock, Inc.315,598319,773+4,1750.000.00-0.00buy
Cassaday & Co Wealth Management LLC128,000132,000+4,0000.040.04-0.00buy
Aquatic Capital Management LLC03,562+3,5620.000.00+0.00buy
ROYAL BANK OF CANADA63,22766,229+3,0020.000.00+0.00buy
DAVENPORT & Co LLC135,262137,862+2,6000.010.01+0.00buy
OUTFITTER FINANCIAL LLC201,895204,345+2,4502.262.25-0.01buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC02,190+2,1900.000.00+0.00buy
CANADA LIFE ASSURANCE Co48,37150,440+2,0690.000.00+0.00buy
Kestra Advisory Services, LLC01,870+1,8700.000.00+0.00buy
Ritter Daniher Financial Advisory LLC / DE01,543+1,5430.000.00+0.00buy
WELLS FARGO & COMPANY/MN13,27714,777+1,5000.000.00+0.00buy
Tower Research Capital LLC (TRC)5512,046+1,4950.000.00+0.00buy
NewEdge Advisors, LLC19,37620,460+1,0840.000.00-0.00buy
CoreCap Advisors, LLC01,009+1,0090.000.00+0.00buy
NATIONAL BANK OF CANADA /FI/1,0002,000+1,0000.000.00+0.00buy
CITIGROUP INC10805+7950.000.00+0.00buy
MAI Capital Management8571,407+5500.000.00+0.00buy
Hardy Reed LLC10,91811,108+1900.010.01-0.00buy
WealthCollab, LLC0145+1450.000.00+0.00buy
Focus Partners Wealth20,19520,295+1000.000.00-0.00buy
US BANCORP \DE\046+460.000.00+0.00buy
Allworth Financial LP5,1405,167+270.000.00-0.00buy
Sunbelt Securities, Inc.692704+120.000.00-0.00buy
Garner Asset Management Corp36,28936,293+40.200.19-0.01buy
Larson Financial Group LLC228232+40.000.00-0.00buy
Baird Financial Group, Inc.90,80090,801+10.000.00-0.00buy
Janney Montgomery Scott LLC19,37519,37500.000.00-0.00hold
North Star Investment Management Corp.5,0005,00000.000.00-0.00hold
ASSETMARK, INC62262200.000.00-0.00hold
Mirae Asset Global Investments Co., Ltd.14,00014,00000.000.00-0.00hold
Oakworth Capital, Inc.10010000.000.00-0.00hold
QUADRANT CAPITAL GROUP LLC373700.000.00-0.00hold
Parallel Advisors, LLC26326300.000.00+0.00hold
EverSource Wealth Advisors, LLC1,2001,20000.000.00-0.00hold
Crewe Advisors LLC76676600.000.00-0.00hold
Pflug Koory, LLC67567500.000.00-0.00hold
DHJJ Financial Advisors, Ltd.5500.000.00-0.00hold
ORG Partners LLC1,0001,00000.000.00-0.00hold
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
JONES FINANCIAL COMPANIES LLLP1,2911,29100.000.00-0.00hold
CREATIVE FINANCIAL DESIGNS INC /ADV60060000.000.00-0.00hold
COMERICA BANK95095000.000.00+0.00hold
Prime Capital Investment Advisors, LLC10,73010,728-20.000.00-0.00sell
Advisory Services Network, LLC150-150.000.00-0.00sell
EXCHANGE TRADED CONCEPTS, LLC5628-280.000.00-0.00sell
SIGNATUREFD, LLC1,090999-910.000.00-0.00sell
Roble, Belko & Company, Inc950-950.000.00-0.00sell
Wealthspire Advisors, LLC1800-1800.000.00-0.00sell
JPMORGAN CHASE & CO7,2496,915-3340.000.00+0.00sell
FOUNDATIONS INVESTMENT ADVISORS, LLC12,45211,970-4820.000.00-0.00sell
Farther Finance Advisors, LLC1,217673-5440.000.00-0.00sell
Steward Partners Investment Advisory, LLC3,6003,000-6000.000.00-0.00sell
Quarry LP7380-7380.000.00-0.00sell
SIMPLEX TRADING, LLC7470-7470.000.00-0.00sell
Wilmington Savings Fund Society, FSB8840-8840.000.00-0.00sell
ENVESTNET ASSET MANAGEMENT INC15,39113,994-1,3970.000.00-0.00sell
Private Advisor Group, LLC15,72014,285-1,4350.000.00-0.00sell
LPL Financial LLC195,758193,933-1,8250.000.00-0.00sell
NORTHERN TRUST CORP27,43925,342-2,0970.000.00-0.00sell
Cetera Investment Advisers33,38330,936-2,4470.000.00-0.00sell
Atlantic Union Bankshares Corp99,78997,164-2,6250.030.03-0.00sell
COMMONWEALTH EQUITY SERVICES, LLC31,10028,396-2,7040.000.00-0.00sell
Prosperity Financial Group, Inc.19,40016,000-3,4000.100.08-0.02sell
Union Bancaire Privee, UBP SA19,80615,393-4,4130.580.39-0.19sell
Invesco Ltd.59,44754,224-5,2230.000.00-0.00sell
SUSQUEHANNA INTERNATIONAL GROUP, LLP38,09430,742-7,3520.000.00-0.00sell
United Advisor Group, LLC78,43470,752-7,6820.150.13-0.02sell
Geneos Wealth Management Inc.9,0010-9,0010.000.00-0.00sell
Mariner, LLC10,1140-10,1140.000.00-0.00sell
BLAIR WILLIAM & CO/IL164,914154,482-10,4320.010.01-0.00sell
Verition Fund Management LLC11,0540-11,0540.000.00-0.00sell
State of Wyoming26,00314,667-11,3360.040.02-0.02sell
OXFORD ASSET MANAGEMENT LLP17,7270-17,7270.080.00-0.08sell
Advisors Asset Management, Inc.113,83294,780-19,0520.030.02-0.00sell
Virtus Investment Advisers, LLC70,25449,495-20,7590.280.19-0.09sell
AMERIFLEX GROUP, INC.42,33819,308-23,0300.220.14-0.08sell
Magnetar Financial LLC30,0900-30,0900.000.00-0.00sell
D. E. Shaw & Co., Inc.43,1490-43,1490.000.00-0.00sell
MILLENNIUM MANAGEMENT LLC44,5460-44,5460.000.00-0.00sell
VAN ECK ASSOCIATES CORP854,730798,954-55,7760.010.01-0.00sell
Melia Wealth LLC1,197,5941,127,296-70,2987.257.28+0.03sell
Page 1 of 2