Stock Transactions — FIDUS INVT CORP

Total Bought
924,401
52 transactions
Total Sold
584,755
39 transactions
Net
+339,646
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
TWO SIGMA ADVISERS, LP381,913565,313+183,4000.020.02+0.01buy
VAN ECK ASSOCIATES CORP600,862725,873+125,0110.020.02+0.00buy
Legacy Capital Wealth Partners, LLC078,060+78,0600.000.39+0.39buy
TWO SIGMA INVESTMENTS, LP377,988454,918+76,9300.020.02+0.00buy
Qube Research & Technologies Ltd39,21392,319+53,1060.000.00+0.00buy
Y-Intercept (Hong Kong) Ltd045,750+45,7500.000.05+0.05buy
Cetera Investment Advisers197,965233,826+35,8610.010.01+0.00buy
ENVESTNET ASSET MANAGEMENT INC192,430225,904+33,4740.000.00+0.00buy
FRANKLIN RESOURCES INC61,33485,046+23,7120.000.00+0.00buy
Atom Investors LP12,90334,682+21,7790.030.07+0.04buy
Clearstead Advisors, LLC020,320+20,3200.000.01+0.01buy
Koss-Olinger Consulting, LLC017,205+17,2050.000.03+0.03buy
GRIMES & COMPANY, INC.015,840+15,8400.000.01+0.01buy
MORGAN STANLEY381,450396,806+15,3560.000.00-0.00buy
VIRTUS ADVISERS, LLC31,08246,159+15,0770.330.44+0.11buy
GOLDMAN SACHS GROUP INC014,380+14,3800.000.00+0.00buy
Campbell & CO Investment Adviser LLC014,092+14,0920.000.02+0.02buy
WELLS FARGO & COMPANY/MN4,33917,497+13,1580.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.10,70823,666+12,9580.000.00+0.00buy
GraniteShares Advisors LLC85,84498,076+12,2320.900.64-0.26buy
NewEdge Advisors, LLC111,995122,359+10,3640.020.02-0.00buy
CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC44,84854,127+9,2790.420.45+0.03buy
IFP Advisors, Inc07,334+7,3340.000.01+0.01buy
Legal & General Group Plc240,208247,313+7,1050.000.00-0.00buy
Capital Investment Advisory Services, LLC43,28450,385+7,1010.090.10+0.01buy
PFG Advisors171,669178,404+6,7350.250.23-0.01buy
Farther Finance Advisors, LLC06,041+6,0410.000.01+0.01buy
Arlington Trust Co LLC06,000+6,0000.000.03+0.03buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP17,83723,494+5,6570.000.00+0.00buy
IHT Wealth Management, LLC47,03752,034+4,9970.040.04+0.00buy
LEVEL FOUR ADVISORY SERVICES, LLC28,29232,897+4,6050.030.03-0.00buy
Muzinich & Co., Inc.65,04167,341+2,3001.111.05-0.06buy
COMMONWEALTH EQUITY SERVICES, LLC26,52928,801+2,2720.000.00+0.00buy
CITADEL ADVISORS LLC31,05833,255+2,1970.000.00+0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC10,72612,866+2,1400.000.00+0.00buy
D.A. DAVIDSON & CO.23,74725,867+2,1200.000.00+0.00buy
Cornerstone Wealth Management, LLC15,93717,599+1,6620.030.03+0.00buy
WETZEL INVESTMENT ADVISORS, INC.01,640+1,6400.000.02+0.02buy
ROYAL BANK OF CANADA10,53812,156+1,6180.000.00+0.00buy
Palogic Value Management, L.P.54,83056,297+1,4670.470.46-0.00buy
Tower Research Capital LLC (TRC)236938+7020.000.00+0.00buy
MGB Wealth Management, LLC87,45688,054+5980.700.65-0.05buy
HighTower Advisors, LLC32,83033,263+4330.000.00-0.00buy
CANADA LIFE ASSURANCE Co24,47724,877+4000.000.00-0.00buy
BNP PARIBAS FINANCIAL MARKETS0398+3980.000.00+0.00buy
CITIGROUP INC7661,154+3880.000.00+0.00buy
NATIXIS10,92511,283+3580.000.00+0.00buy
Steward Partners Investment Advisory, LLC23,64923,962+3130.010.00-0.00buy
STIFEL FINANCIAL CORP18,97819,240+2620.000.00-0.00buy
UBS Group AG68,05068,247+1970.000.00-0.00buy
NBC SECURITIES, INC.533549+160.000.00-0.00buy
OPPENHEIMER & CO INC15,49115,492+10.010.00-0.00buy
OPTIMUM INVESTMENT ADVISORS13,90013,90000.130.12-0.00hold
CIBC Private Wealth Group LLC1,0001,00000.000.00-0.00hold
Bragg Financial Advisors, Inc13,01113,01100.010.01-0.00hold
AdvisorNet Financial, Inc262600.000.00-0.00hold
Sumitomo Mitsui Trust Group, Inc.65,70665,70600.000.00+0.00hold
CWM, LLC1100.000.000.00hold
Prospera Financial Services Inc20,17220,17200.010.01-0.00hold
Capital Advisors, Ltd. LLC2,2502,25000.010.01-0.00hold
Avior Wealth Management, LLC27227200.000.00-0.00hold
Cedar Wealth Management, LLC99299200.010.01-0.00hold
Summit Trail Advisors, LLC22,50222,50200.010.01-0.00hold
EverSource Wealth Advisors, LLC3,5963,59600.010.00-0.00hold
GPS Wealth Strategies Group, LLC5,0925,09200.020.01-0.00hold
Laurel Wealth Advisors LLC41341300.000.00+0.00hold
Enterprise Bank & Trust Co55,91255,91200.380.37-0.01hold
Hexagon Capital Partners LLC31,75031,75000.140.13-0.01hold
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
Gilliland Jeter Wealth Management LLC1,5001,50000.010.01-0.00hold
PNC FINANCIAL SERVICES GROUP, INC.2,7502,75000.000.00-0.00hold
DAVENPORT & Co LLC37,73737,73700.000.00+0.00hold
NISA INVESTMENT ADVISORS, LLC50050000.000.00-0.00hold
FMR LLC310-310.000.00-0.00sell
Geneos Wealth Management Inc.10051-490.000.00-0.00sell
First Horizon Advisors, Inc.796739-570.000.00-0.00sell
ADVISORY RESEARCH INC10,48710,321-1660.040.04-0.00sell
GROUP ONE TRADING LLC1,3001,047-2530.000.00-0.00sell
Cape Investment Advisory, Inc.2750-2750.000.00-0.00sell
MeadowBrook Investment Advisors LLC3,0502,765-2850.060.05-0.01sell
NOVARE CAPITAL MANAGEMENT LLC189,460189,160-3000.340.33-0.01sell
BANK OF AMERICA CORP /DE/18,08717,742-3450.000.00-0.00sell
Quarry LP1,455664-7910.010.01-0.01sell
Sound Income Strategies, LLC8,9747,712-1,2620.010.01-0.00sell
COMERICA BANK3,5242,019-1,5050.000.00-0.00sell
Spire Wealth Management2,351500-1,8510.000.00-0.00sell
OSAIC HOLDINGS, INC.21,54819,376-2,1720.000.00-0.00sell
BROWN BROTHERS HARRIMAN & CO7,5475,337-2,2100.000.00-0.00sell
LPL Financial LLC78,26676,021-2,2450.000.00-0.00sell
EntryPoint Capital, LLC2,2810-2,2810.040.00-0.04sell
Trexquant Investment LP44,25741,782-2,4750.020.01-0.01sell
HRT FINANCIAL LP34,51631,743-2,7730.000.00-0.00sell
TRUIST FINANCIAL CORP47,68344,160-3,5230.000.00-0.00sell
OAK HARBOR WEALTH PARTNERS, LLC24,83021,156-3,6740.150.13-0.02sell
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO4,667456-4,2110.000.00-0.00sell
AMERIPRISE FINANCIAL INC96,95192,313-4,6380.000.00-0.00sell
Davis Investment Partners, LLC96,31890,763-5,5550.830.74-0.09sell
WT Wealth Management65,99459,922-6,0720.470.40-0.07sell
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