Stock Transactions — FIDUS INVT CORP

Total Bought
693,394
50 transactions
Total Sold
1,960,410
50 transactions
Net
-1,267,016
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
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Type
FJ Capital Management LLC0104,004+104,0040.000.21+0.21buy
VAN ECK ASSOCIATES CORP518,813600,862+82,0490.020.02-0.00buy
FRANKLIN RESOURCES INC061,334+61,3340.000.00+0.00buy
BARCLAYS PLC060,415+60,4150.000.00+0.00buy
Cetera Investment Advisers139,197197,965+58,7680.020.01-0.01buy
Legal & General Group Plc192,843240,208+47,3650.000.00+0.00buy
Invesco Ltd.563,958604,493+40,5350.000.00-0.00buy
HRT FINANCIAL LP034,516+34,5160.000.00+0.00buy
Qube Research & Technologies Ltd11,10439,213+28,1090.000.00+0.00buy
ENVESTNET ASSET MANAGEMENT INC169,961192,430+22,4690.000.00+0.00buy
Atom Investors LP012,903+12,9030.000.03+0.03buy
GraniteShares Advisors LLC74,92485,844+10,9201.330.90-0.43buy
ADVISORY RESEARCH INC010,487+10,4870.000.04+0.04buy
VIRTUS ADVISERS, LLC20,99731,082+10,0850.260.33+0.06buy
COMMONWEALTH EQUITY SERVICES, LLC17,62626,529+8,9030.000.00+0.00buy
Advisors Asset Management, Inc.198,323207,091+8,7680.080.08-0.00buy
NewEdge Advisors, LLC104,136111,995+7,8590.020.02-0.00buy
IHT Wealth Management, LLC39,57947,037+7,4580.030.04+0.00buy
NOVARE CAPITAL MANAGEMENT LLC182,298189,460+7,1620.370.34-0.03buy
Aquatic Capital Management LLC16,50022,700+6,2000.010.01+0.01buy
JPMORGAN CHASE & CO06,200+6,2000.000.00+0.00buy
LPL Financial LLC72,39978,266+5,8670.000.00-0.00buy
UBS Group AG63,11568,050+4,9350.000.00-0.00buy
Cornerstone Wealth Management, LLC11,25115,937+4,6860.020.03+0.01buy
D.A. DAVIDSON & CO.19,46723,747+4,2800.000.00+0.00buy
Palogic Value Management, L.P.51,06354,830+3,7670.450.47+0.02buy
EverSource Wealth Advisors, LLC03,596+3,5960.000.01+0.01buy
Quantbot Technologies LP11,55714,788+3,2310.010.02+0.00buy
Capital Investment Advisory Services, LLC40,10043,284+3,1840.070.09+0.02buy
TRUIST FINANCIAL CORP44,91847,683+2,7650.000.00+0.00buy
CANADA LIFE ASSURANCE Co22,12924,477+2,3480.000.00+0.00buy
Sumitomo Mitsui Trust Group, Inc.63,40665,706+2,3000.000.00-0.00buy
HighTower Advisors, LLC30,53832,830+2,2920.000.00+0.00buy
EntryPoint Capital, LLC02,281+2,2810.000.04+0.04buy
PNC FINANCIAL SERVICES GROUP, INC.7502,750+2,0000.000.00+0.00buy
Steward Partners Investment Advisory, LLC21,92323,649+1,7260.010.01-0.00buy
Gilliland Jeter Wealth Management LLC01,500+1,5000.000.01+0.01buy
Quarry LP01,455+1,4550.000.01+0.01buy
GROUP ONE TRADING LLC01,300+1,3000.000.00+0.00buy
CIBC Private Wealth Group LLC01,000+1,0000.000.00+0.00buy
Sound Income Strategies, LLC8,2538,974+7210.010.01-0.00buy
Janney Montgomery Scott LLC38,92939,429+5000.000.00-0.00buy
CITIGROUP INC509766+2570.000.00+0.00buy
OAK HARBOR WEALTH PARTNERS, LLC24,58724,830+2430.160.15-0.01buy
Prospera Financial Services Inc19,96620,172+2060.010.01-0.00buy
Davis Investment Partners, LLC96,11896,318+2000.930.83-0.10buy
MeadowBrook Investment Advisors LLC2,8803,050+1700.050.06+0.00buy
FMR LLC031+310.000.00+0.00buy
AdvisorNet Financial, Inc026+260.000.00+0.00buy
NBC SECURITIES, INC.515533+180.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO4,6674,66700.000.00-0.00hold
NATIXIS10,92510,92500.000.00-0.00hold
CWM, LLC1100.000.000.00hold
Capital Advisors, Ltd. LLC2,2502,25000.010.01-0.00hold
Avior Wealth Management, LLC27227200.000.00-0.00hold
Muzinich & Co., Inc.65,04165,04101.111.110.00hold
Cedar Wealth Management, LLC99299200.010.01-0.00hold
LEVEL FOUR ADVISORY SERVICES, LLC28,29228,29200.030.03-0.00hold
Summit Trail Advisors, LLC22,50222,50200.010.01-0.00hold
GPS Wealth Strategies Group, LLC5,0925,09200.020.02-0.00hold
Laurel Wealth Advisors LLC41341300.000.00-0.00hold
Geneos Wealth Management Inc.10010000.000.00-0.00hold
Enterprise Bank & Trust Co55,91255,91200.390.38-0.01hold
Hexagon Capital Partners LLC31,75031,75000.150.14-0.01hold
Spire Wealth Management2,3512,35100.000.00-0.00hold
Activest Wealth Management1,1501,15000.010.01-0.00hold
HB Wealth Management, LLC13,59913,59900.000.00-0.00hold
RFP Financial Group LLC2,9762,97600.020.02-0.00hold
MGB Wealth Management, LLC87,45687,45600.870.70-0.17hold
DAVENPORT & Co LLC37,73737,73700.010.00-0.00hold
BLAIR WILLIAM & CO/IL12,42112,42100.000.00-0.00hold
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC10,72710,726-10.000.00-0.00sell
COMERICA BANK3,6093,524-850.000.00-0.00sell
NOMURA ASSET MANAGEMENT CO LTD1530-1530.000.00-0.00sell
PFG Advisors171,829171,669-1600.270.25-0.03sell
CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC45,47644,848-6280.480.42-0.06sell
Advisory Services Network, LLC6590-6590.000.00-0.00sell
STIFEL FINANCIAL CORP19,66518,978-6870.000.00-0.00sell
NISA INVESTMENT ADVISORS, LLC1,300500-8000.000.00-0.00sell
Tower Research Capital LLC (TRC)1,062236-8260.000.00-0.00sell
BANK OF AMERICA CORP /DE/18,96418,087-8770.000.00-0.00sell
Bragg Financial Advisors, Inc14,01113,011-1,0000.010.01-0.00sell
Hanson & Doremus Investment Management1,0350-1,0350.000.00-0.00sell
OPPENHEIMER & CO INC16,63515,491-1,1440.010.01-0.00sell
WT Wealth Management67,26865,994-1,2740.520.47-0.06sell
ROYAL BANK OF CANADA11,96210,538-1,4240.000.00-0.00sell
OPTIMUM INVESTMENT ADVISORS15,40013,900-1,5000.150.13-0.03sell
Cambridge Investment Research Advisors, Inc.12,74110,708-2,0330.000.00-0.00sell
BROWN BROTHERS HARRIMAN & CO9,7577,547-2,2100.000.00-0.00sell
First Horizon Advisors, Inc.3,527796-2,7310.000.00-0.00sell
SUSQUEHANNA INTERNATIONAL GROUP, LLP20,84117,837-3,0040.000.00-0.00sell
B. Riley Wealth Advisors, Inc.15,92512,344-3,5810.010.01-0.00sell
OSAIC HOLDINGS, INC.25,95321,548-4,4050.000.00+0.00sell
Cape Investment Advisory, Inc.4,860275-4,5850.050.00-0.04sell
AMERIPRISE FINANCIAL INC101,81296,951-4,8610.000.00-0.00sell
BNP PARIBAS FINANCIAL MARKETS6,2080-6,2080.000.00-0.00sell
WELLS FARGO & COMPANY/MN10,7084,339-6,3690.000.00-0.00sell
Verition Fund Management LLC11,7000-11,7000.000.00-0.00sell
Koss-Olinger Consulting, LLC11,8780-11,8780.020.00-0.02sell
SIMPLEX TRADING, LLC12,9110-12,9110.010.00-0.01sell
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