Stock Transactions — SLR INVESTMENT CORP

Total Bought
1,348,408
63 transactions
Total Sold
1,471,523
49 transactions
Net
-123,115
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
MILLENNIUM MANAGEMENT LLC0173,335+173,3350.000.00+0.00buy
Sumitomo Mitsui Trust Group, Inc.208,606330,038+121,4320.000.00+0.00buy
Muzinich & Co., Inc.267,581389,013+121,4321.972.31+0.33buy
UBS Group AG408,401500,023+91,6220.000.00+0.00buy
BlackRock, Inc.310,580392,051+81,4710.000.00+0.00buy
TWO SIGMA INVESTMENTS, LP303,188380,119+76,9310.010.01+0.00buy
VAN ECK ASSOCIATES CORP1,120,1531,195,136+74,9830.020.02-0.00buy
BANK OF AMERICA CORP /DE/53,582127,033+73,4510.000.00+0.00buy
Neuberger Berman Group LLC88,406161,019+72,6130.000.00+0.00buy
FRANKLIN RESOURCES INC354,701416,105+61,4040.000.00+0.00buy
EPIQ PARTNERS, LLC351,960392,790+40,8302.892.84-0.06buy
AMERIPRISE FINANCIAL INC102,604141,483+38,8790.000.00+0.00buy
Apollon Wealth Management, LLC030,063+30,0630.000.01+0.01buy
Quadrature Capital Ltd026,127+26,1270.000.00+0.00buy
MARSHALL WACE, LLP025,364+25,3640.000.00+0.00buy
Garner Asset Management Corp58,90276,778+17,8760.440.50+0.06buy
LPL Financial LLC66,13283,014+16,8820.000.00+0.00buy
CANADA LIFE ASSURANCE Co52,86968,884+16,0150.000.00+0.00buy
CITIGROUP INC14,83030,034+15,2040.000.00+0.00buy
HighTower Advisors, LLC014,233+14,2330.000.00+0.00buy
Advisors Asset Management, Inc.175,121188,168+13,0470.050.05-0.00buy
Brevan Howard Capital Management LP11,97923,978+11,9990.000.01+0.00buy
JPMORGAN CHASE & CO1,331,3631,342,415+11,0520.000.00-0.00buy
RAYMOND JAMES FINANCIAL INC326,952337,554+10,6020.000.00-0.00buy
CONDOR CAPITAL MANAGEMENT341,820351,469+9,6490.480.44-0.04buy
Advisory Services Network, LLC09,326+9,3260.000.00+0.00buy
Connor, Clark & Lunn Investment Management Ltd.59,51968,397+8,8780.000.00-0.00buy
Invesco Ltd.42,46950,583+8,1140.000.00+0.00buy
Qube Research & Technologies Ltd25,79433,101+7,3070.000.00+0.00buy
OSAIC HOLDINGS, INC.78,00484,532+6,5280.000.00-0.00buy
NORTHERN TRUST CORP20,43226,670+6,2380.000.00+0.00buy
NewEdge Advisors, LLC99,497105,178+5,6810.010.01-0.00buy
Inspire Investing, LLC24,07029,550+5,4800.040.04+0.00buy
Cetera Investment Advisers40,90145,828+4,9270.000.00-0.00buy
Global Retirement Partners, LLC04,262+4,2620.000.00+0.00buy
Triumph Capital Management38,24242,394+4,1520.190.08-0.10buy
Triumph Capital Management38,24242,394+4,1520.190.08-0.10buy
Russell Investments Group, Ltd.03,168+3,1680.000.00+0.00buy
State of Alaska, Department of Revenue02,501+2,5010.000.00+0.00buy
Rockefeller Capital Management L.P.02,033+2,0330.000.00+0.00buy
Samalin Investment Counsel, LLC33,50835,356+1,8480.210.19-0.02buy
Virtus Investment Advisers, LLC42,91944,758+1,8390.230.20-0.04buy
&PARTNERS11,81713,518+1,7010.000.00-0.00buy
PRINCIPAL SECURITIES, INC.01,677+1,6770.000.00+0.00buy
BNP PARIBAS FINANCIAL MARKETS1181,758+1,6400.000.00+0.00buy
CWM, LLC7502,367+1,6170.000.00+0.00buy
MACKENZIE FINANCIAL CORP35,22236,820+1,5980.000.00-0.00buy
STATE STREET CORP52,20953,692+1,4830.000.00-0.00buy
FLAGSHIP HARBOR ADVISORS, LLC18,76219,677+9150.010.01-0.00buy
ENVESTNET ASSET MANAGEMENT INC19,07819,902+8240.000.00-0.00buy
Chicago Partners Investment Group LLC29,92730,599+6720.010.01-0.00buy
Running Point Capital Advisors, LLC20,00020,527+5270.090.08-0.01buy
Pullen Investment Management, LLC53,97354,386+4130.520.45-0.07buy
Lido Advisors, LLC41,39341,782+3890.000.00-0.00buy
WEDBUSH SECURITIES INC51,17951,516+3370.030.03-0.00buy
Private Advisor Group, LLC12,49912,833+3340.000.00-0.00buy
Tower Research Capital LLC (TRC)6931,014+3210.000.00+0.00buy
CAPTRUST FINANCIAL ADVISORS34,11234,431+3190.000.00-0.00buy
Westend Capital Management, LLC8,2988,608+3100.040.04-0.00buy
Blue Trust, Inc.0246+2460.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.24,99425,122+1280.000.00-0.00buy
U.S. Capital Wealth Advisors, LLC17,39417,416+220.010.01-0.00buy
ROYAL BANK OF CANADA232,091232,096+50.000.00-0.00buy
MAI Capital Management1,1701,17000.000.00-0.00hold
THORNBURG INVESTMENT MANAGEMENT INC4,372,5504,372,55000.910.87-0.04hold
COUNTRY TRUST BANK60060000.000.00-0.00hold
CIBC Private Wealth Group LLC2,0002,00000.000.00-0.00hold
Allworth Financial LP7,4827,48200.000.00-0.00hold
INTREPID FAMILY OFFICE LLC250,000250,00004.363.46-0.90hold
AllSquare Wealth Management LLC1,8471,84700.020.01-0.00hold
Wealthspire Advisors, LLC25,08425,08400.000.00-0.00hold
Founders Capital Management2,6402,64000.030.02-0.00hold
CFO4Life Group, LLC12,00012,00000.030.03-0.00hold
EverSource Wealth Advisors, LLC4,0004,00000.000.00-0.00hold
Rossmore Private Capital10,00010,00000.020.02-0.00hold
Next Capital Management LLC27,52027,52000.160.14-0.02hold
BI Asset Management Fondsmaeglerselskab A/S66,40466,40400.010.01-0.00hold
N.E.W. Advisory Services LLC2,0152,01500.000.00-0.00hold
NewEdge Wealth, LLC95,57495,57400.020.02-0.00hold
HB Wealth Management, LLC12,61412,61400.000.00-0.00hold
Farther Finance Advisors, LLC87887800.000.00-0.00hold
GAMMA Investing LLC1,0711,07100.000.00-0.00hold
HUNTINGTON NATIONAL BANK1100.000.00-0.00hold
VALLEY NATIONAL ADVISERS INC67367300.000.00-0.00hold
COMERICA BANK1,8141,81400.000.00-0.00hold
Ameritas Advisory Services, LLC700-700.000.00-0.00sell
Caitong International Asset Management Co., Ltd800-800.000.00-0.00sell
AlphaCore Capital LLC52,33252,249-830.030.03-0.01sell
STIFEL FINANCIAL CORP25,30925,200-1090.000.00-0.00sell
Garde Capital, Inc.1260-1260.000.00-0.00sell
SIMPLEX TRADING, LLC2750-2750.000.00-0.00sell
Pekin Hardy Strauss, Inc.100,700100,400-3000.190.15-0.03sell
HARBOUR INVESTMENTS, INC.44545-4000.000.00-0.00sell
TRUST CO OF VERMONT5000-5000.000.00-0.00sell
Arax Advisory Partners3,0622,444-6180.000.00-0.00sell
Steward Partners Investment Advisory, LLC9,7798,987-7920.000.00-0.00sell
Aquatic Capital Management LLC9810-9810.000.00-0.00sell
Janney Montgomery Scott LLC52,53751,346-1,1910.000.00-0.00sell
Sunbelt Securities, Inc.105,566103,641-1,9250.150.11-0.04sell
WELLS FARGO & COMPANY/MN12,49310,056-2,4370.000.00-0.00sell
Page 1 of 2