Stock Transactions — SLR INVESTMENT CORP

Total Bought
2,470,986
62 transactions
Total Sold
2,086,620
55 transactions
Net
+384,366
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
COMMONWEALTH EQUITY SERVICES, LLC104,322360,603+256,2810.000.01+0.00buy
VAN ECK ASSOCIATES CORP885,0041,104,114+219,1100.010.01-0.00buy
North Ground Capital0168,000+168,0000.002.49+2.49buy
RIVERNORTH CAPITAL MANAGEMENT, LLC0155,715+155,7150.000.09+0.09buy
Trexquant Investment LP137,754264,976+127,2220.010.02+0.01buy
BANK OF AMERICA CORP /DE/47,681167,300+119,6190.000.00+0.00buy
Clear Harbor Asset Management, LLC222,473339,975+117,5020.220.26+0.04buy
Saba Capital Management, L.P.0113,038+113,0380.000.04+0.04buy
NewGen Asset Management Ltd0108,983+108,9830.000.74+0.74buy
CONDOR CAPITAL MANAGEMENT354,864462,362+107,4980.420.43+0.00buy
MORGAN STANLEY264,180366,907+102,7270.000.00+0.00buy
THORNBURG INVESTMENT MANAGEMENT INC4,633,4314,708,772+75,3410.690.56-0.13buy
Schonfeld Strategic Advisors LLC063,871+63,8710.000.00+0.00buy
Janney Montgomery Scott LLC38,81597,994+59,1790.000.00+0.00buy
Qube Research & Technologies Ltd053,812+53,8120.000.00+0.00buy
Dynamic Technology Lab Private Ltd051,015+51,0150.000.14+0.14buy
MILLENNIUM MANAGEMENT LLC046,875+46,8750.000.00+0.00buy
UBS Group AG569,240614,510+45,2700.000.00-0.00buy
Arax Advisory Partners88945,468+44,5790.000.00+0.00buy
BALYASNY ASSET MANAGEMENT L.P.040,864+40,8640.000.00+0.00buy
Curi Capital, LLC039,975+39,9750.000.01+0.01buy
CITADEL ADVISORS LLC035,695+35,6950.000.00+0.00buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP034,343+34,3430.000.00+0.00buy
NORTHERN TRUST CORP031,636+31,6360.000.00+0.00buy
Legal & General Group Plc420,681446,125+25,4440.000.00-0.00buy
Sound Income Strategies, LLC021,604+21,6040.000.01+0.01buy
Cerity Partners LLC21,81742,861+21,0440.000.00+0.00buy
AMERIPRISE FINANCIAL INC123,570141,525+17,9550.000.00-0.00buy
SMH CAPITAL ADVISORS INC015,714+15,7140.000.76+0.76buy
StoneX Group Inc.014,314+14,3140.000.01+0.01buy
Squarepoint Ops LLC013,623+13,6230.000.00+0.00buy
Attessa Capital LLC012,000+12,0000.000.07+0.07buy
LPL Financial LLC150,880162,732+11,8520.000.00-0.00buy
SMITHBRIDGE ASSET MANAGEMENT INC/DE010,800+10,8000.000.02+0.02buy
Black Maple Capital Management LP010,000+10,0000.000.08+0.08buy
CANADA LIFE ASSURANCE Co59,48968,843+9,3540.000.00-0.00buy
Triumph Capital Management46,86854,814+7,9460.140.12-0.01buy
Catalyst Capital Advisors LLC06,826+6,8260.000.00+0.00buy
MERIDIAN INVESTMENT COUNSEL INC.62,27568,625+6,3500.210.18-0.03buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC2,7158,715+6,0000.000.01+0.00buy
ROYAL BANK OF CANADA225,968231,903+5,9350.000.00-0.00buy
Muzinich & Co., Inc.538,843544,210+5,3672.702.30-0.40buy
Advisors Asset Management, Inc.227,959232,891+4,9320.050.04-0.01buy
WEDBUSH SECURITIES INC54,12058,539+4,4190.020.02-0.00buy
ENVESTNET ASSET MANAGEMENT INC28,70832,762+4,0540.000.00-0.00buy
NewEdge Wealth, LLC98,148101,573+3,4250.020.01-0.00buy
Sumitomo Mitsui Trust Group, Inc.378,888381,476+2,5880.000.00-0.00buy
OPPENHEIMER & CO INC11,11013,264+2,1540.000.00-0.00buy
BNP PARIBAS FINANCIAL MARKETS1,7773,806+2,0290.000.00+0.00buy
NOMURA ASSET MANAGEMENT CO LTD01,686+1,6860.000.00+0.00buy
JONES FINANCIAL COMPANIES LLLP2731,915+1,6420.000.00+0.00buy
Mariner, LLC10,24711,775+1,5280.000.00-0.00buy
MERCER GLOBAL ADVISORS INC /ADV01,048+1,0480.000.00+0.00buy
Chicago Partners Investment Group LLC31,26031,897+6370.010.01-0.00buy
Farther Finance Advisors, LLC0253+2530.000.00+0.00buy
OSAIC HOLDINGS, INC.77,96078,092+1320.000.00-0.00buy
Ameritas Advisory Services, LLC070+700.000.00+0.00buy
&PARTNERS14,22514,282+570.000.00-0.00buy
Brevan Howard Capital Management LP27,43127,461+300.000.00+0.00buy
HARBOUR INVESTMENTS, INC.487499+120.000.00-0.00buy
Caitong International Asset Management Co., Ltd08+80.000.00+0.00buy
STIFEL FINANCIAL CORP19,97019,974+40.000.00-0.00buy
COUNTRY TRUST BANK60060000.000.00-0.00hold
WHITTIER TRUST CO OF NEVADA INC1,0001,00000.000.00-0.00hold
State of Alaska, Department of Revenue2,5012,50100.000.00-0.00hold
MANGROVE PARTNERS IM, LLC42,00842,00800.050.03-0.01hold
Allworth Financial LP7,4827,48200.000.00-0.00hold
INTREPID FAMILY OFFICE LLC240,000240,00002.992.74-0.25hold
Founders Capital Management1,1401,14000.010.01-0.00hold
EverSource Wealth Advisors, LLC4,0004,00000.000.00-0.00hold
Steward Partners Investment Advisory, LLC8,9878,98700.000.00-0.00hold
Next Capital Management LLC27,52027,52000.120.09-0.03hold
N.E.W. Advisory Services LLC2,2792,27900.000.00-0.00hold
HB Wealth Management, LLC12,61412,61400.000.00-0.00hold
Significant Wealth Partners LLC29,34929,34900.520.39-0.12hold
Abel Hall, LLC10,00010,00000.030.02-0.01hold
Hilltop National Bank24524500.000.00-0.00hold
Burk Holdings LLC1,1031,10300.010.01-0.00hold
HUNTINGTON NATIONAL BANK1100.000.00-0.00hold
VALLEY NATIONAL ADVISERS INC67367300.000.00-0.00hold
MONTAG A & ASSOCIATES INC30,71330,71300.020.02-0.00hold
ACADIAN ASSET MANAGEMENT LLC191900.000.000.00hold
UMB Bank, n.a.60060000.000.00-0.00hold
Russell Investments Group, Ltd.20-20.000.00-0.00sell
GAMMA Investing LLC700660-400.000.00-0.00sell
Advisory Services Network, LLC500-500.000.00-0.00sell
CONFLUENCE INVESTMENT MANAGEMENT LLC63,96663,853-1130.010.01-0.00sell
Tower Research Capital LLC (TRC)1310-1310.000.00-0.00sell
FLAGSHIP HARBOR ADVISORS, LLC19,42619,282-1440.010.01-0.00sell
Beaird Harris Wealth Management, LLC1630-1630.000.00-0.00sell
CAPTRUST FINANCIAL ADVISORS18,31918,149-1700.000.00-0.00sell
Westend Capital Management, LLC970634-3360.000.00-0.00sell
CITIGROUP INC4500-4500.000.00-0.00sell
Wealthspire Advisors, LLC25,58425,084-5000.000.00-0.00sell
MACKENZIE FINANCIAL CORP39,90739,400-5070.000.00-0.00sell
Virtus Investment Advisers, LLC31,33530,547-7880.120.09-0.04sell
Greykasell Wealth Strategies, Inc.3,7872,860-9270.020.01-0.01sell
Rockefeller Capital Management L.P.3,1472,202-9450.000.00-0.00sell
WELLS FARGO & COMPANY/MN11,78810,557-1,2310.000.00-0.00sell
Private Advisor Group, LLC15,36714,074-1,2930.000.00-0.00sell
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