Stock Transactions — FIDUS INVT CORP

Total Bought
1,192,518
64 transactions
Total Sold
28,111,044
44 transactions
Net
-26,918,526
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
Cetera Investment Advisers370,335451,936+81,6010.010.01-0.00buy
ENVESTNET ASSET MANAGEMENT INC359,415439,915+80,5000.000.00+0.00buy
Columbus Macro, LLC322,543401,460+78,9170.800.93+0.13buy
UBS Group AG298,390375,736+77,3460.000.00+0.00buy
MARSHALL WACE, LLP064,929+64,9290.000.00+0.00buy
Muzinich & Co., Inc.190,228247,443+57,2151.751.94+0.19buy
Sumitomo Mitsui Trust Group, Inc.152,463209,241+56,7780.000.00+0.00buy
VAN ECK ASSOCIATES CORP846,994903,443+56,4490.020.02-0.00buy
ROCKLAND TRUST CO055,912+55,9120.000.05+0.05buy
BlackRock, Inc.193,153248,625+55,4720.000.00+0.00buy
Invesco Ltd.446,703497,921+51,2180.000.00+0.00buy
Baird Financial Group, Inc.313,002356,300+43,2980.010.01+0.00buy
D.A. DAVIDSON & CO.115,872155,751+39,8790.020.02+0.00buy
Brevan Howard Capital Management LP031,091+31,0910.000.01+0.01buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO15031,228+31,0780.000.00+0.00buy
Creative Planning028,044+28,0440.000.00+0.00buy
VestGen Advisors, LLC020,628+20,6280.000.01+0.01buy
Global Retirement Partners, LLC78821,337+20,5490.000.01+0.01buy
RIVERBRIDGE PARTNERS LLC38,97558,480+19,5050.010.02+0.01buy
Monument Capital Management019,039+19,0390.000.10+0.10buy
Plan Group Financial, LLC49,76368,713+18,9500.330.37+0.04buy
Qube Research & Technologies Ltd64,92983,214+18,2850.000.00+0.00buy
Apollon Wealth Management, LLC017,852+17,8520.000.01+0.01buy
JT Stratford LLC015,046+15,0460.000.04+0.04buy
GraniteShares Advisors LLC132,532145,333+12,8011.651.70+0.06buy
Kestra Advisory Services, LLC011,576+11,5760.000.00+0.00buy
Secure Asset Management, LLC011,366+11,3660.000.04+0.04buy
LPL Financial LLC82,99393,708+10,7150.000.00-0.00buy
CANADA LIFE ASSURANCE Co33,09443,709+10,6150.000.00+0.00buy
BLAIR WILLIAM & CO/IL09,883+9,8830.000.00+0.00buy
NOVARE CAPITAL MANAGEMENT LLC190,275199,839+9,5640.310.31-0.00buy
Capital Investment Advisory Services, LLC84,52492,082+7,5580.140.15+0.01buy
CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC77,61885,032+7,4140.560.54-0.03buy
Rockefeller Capital Management L.P.06,684+6,6840.000.00+0.00buy
Ethos Financial Group, LLC137,365142,864+5,4990.240.23-0.01buy
BANK OF AMERICA CORP /DE/17,67322,519+4,8460.000.00+0.00buy
COMMONWEALTH EQUITY SERVICES, LLC35,12439,945+4,8210.000.00+0.00buy
JPMORGAN CHASE & CO4,3988,793+4,3950.000.00+0.00buy
Palogic Value Management, L.P.69,10172,673+3,5720.590.62+0.04buy
CWM, LLC7494,123+3,3740.000.00+0.00buy
Advisory Services Network, LLC03,002+3,0020.000.00+0.00buy
NORTHERN TRUST CORP20,20223,169+2,9670.000.00+0.00buy
STIFEL FINANCIAL CORP13,99516,565+2,5700.000.00+0.00buy
Steward Partners Investment Advisory, LLC25,28427,724+2,4400.000.00-0.00buy
BNP PARIBAS FINANCIAL MARKETS382,223+2,1850.000.00+0.00buy
HighTower Advisors, LLC90,86593,028+2,1630.000.00-0.00buy
IHT Wealth Management, LLC69,58171,681+2,1000.040.04-0.00buy
Greenland Capital Management LP53,19055,000+1,8100.140.16+0.03buy
Verition Fund Management LLC14,10015,700+1,6000.000.00+0.00buy
Atlantic Union Bankshares Corp01,500+1,5000.000.00+0.00buy
State of Alaska, Department of Revenue01,431+1,4310.000.00+0.00buy
Cornerstone Wealth Management, LLC27,17327,792+6190.030.03-0.00buy
Golden State Equity Partners15,74016,305+5650.060.06-0.00buy
OPPENHEIMER & CO INC20,32320,859+5360.010.01-0.00buy
Mariner, LLC11,51512,038+5230.000.00-0.00buy
LEVEL FOUR ADVISORY SERVICES, LLC30,48730,994+5070.020.02-0.00buy
SouthState Corp0500+5000.000.00+0.00buy
Private Advisor Group, LLC14,73415,085+3510.000.00-0.00buy
MERCER GLOBAL ADVISORS INC /ADV29,78330,089+3060.000.00-0.00buy
OPTIMUM INVESTMENT ADVISORS20,39320,628+2350.180.17-0.01buy
Peterson Wealth Services122343+2210.000.00-0.00buy
FLAGSHIP WEALTH ADVISORS, LLC084+840.000.00+0.00buy
Davis Investment Partners, LLC77,10477,133+290.560.54-0.03buy
Private Wealth Asset Management, LLC010+100.000.00+0.00buy
MAI Capital Management3,1323,13200.000.00-0.00hold
EAGLE GLOBAL ADVISORS LLC22,32522,32500.020.02-0.00hold
Bragg Financial Advisors, Inc13,01113,01100.010.01-0.00hold
BROWN BROTHERS HARRIMAN & CO5,3375,33700.000.00-0.00hold
Accredited Investors Inc.20,00020,00000.020.02-0.00hold
Capital Advisors, Ltd. LLC2,2502,25000.010.01-0.00hold
Stratos Wealth Partners, LTD.26,20026,20000.010.01-0.00hold
1 NORTH WEALTH SERVICES LLC60060000.000.00+0.00hold
Cedar Wealth Management, LLC99299200.010.01-0.00hold
OSAIC HOLDINGS, INC.13,09213,09200.000.00-0.00hold
Russell Investments Group, Ltd.727200.000.00-0.00hold
Summit Trail Advisors, LLC22,50222,50200.010.01-0.00hold
Beacon Pointe Advisors, LLC22,62822,62800.000.00-0.00hold
Quantinno Capital Management LP27,16527,16500.000.00-0.00hold
Geneos Wealth Management Inc.515100.000.00+0.00hold
N.E.W. Advisory Services LLC626200.000.00-0.00hold
Koss-Olinger Consulting, LLC16,15316,15300.030.03+0.00hold
HB Wealth Management, LLC13,59913,59900.000.00-0.00hold
OAK HARBOR WEALTH PARTNERS, LLC17,98117,98100.100.09-0.01hold
Fiduciary Alliance LLC13,02513,02500.020.02-0.00hold
Caitong International Asset Management Co., Ltd4400.000.00-0.00hold
ORG Partners LLC1,4161,41600.010.01-0.00hold
Farther Finance Advisors, LLC7,3467,34600.000.00-0.00hold
Smartleaf Asset Management LLC7700.000.00-0.00hold
Millstone Evans Group, LLC3,6863,68600.050.05-0.00hold
Promus Capital, LLC2,0232,02300.030.03-0.00hold
Sage Investment Counsel LLC12,07012,07000.280.27-0.01hold
PNC FINANCIAL SERVICES GROUP, INC.75075000.000.00-0.00hold
Janney Montgomery Scott LLC10,46310,458-50.000.00-0.00sell
Sound Income Strategies, LLC1,8981,783-1150.000.00-0.00sell
ADVISORY RESEARCH INC10,57410,403-1710.030.03-0.01sell
Ameritas Advisory Services, LLC2000-2000.000.00-0.00sell
Prospera Financial Services Inc20,17119,966-2050.010.01-0.00sell
Cambridge Investment Research Advisors, Inc.26,90526,595-3100.000.00-0.00sell
DAVENPORT & Co LLC36,23735,887-3500.000.00-0.00sell
GPS Wealth Strategies Group, LLC2,7392,378-3610.010.01-0.00sell
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