Purchases and Sales Made in Q3 2021 in Gladstone Investment Corporation\De (GAIN)
This table provides information about the institutional ownership of Gladstone Investment Corporation\De (GAIN) during Q3 2021. The information is specifically focused on institutions that hold shares of GLADSTONE INVESTMENT CORPORATION\DE.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Nov 15, 2021
Q3 2021
|
Morgan Stanley
New York, NY |
BUY
|
- |
143KNew |
$1.98M - $2.16M
|
143K
$1.82M
|
|
|
Nov 15, 2021
Q3 2021
|
Legacy Capital Wealth Partners, LLC
Little Rock, AR |
BUY
|
- |
87.9KNew |
$1.22M - $1.33M
|
87.9K
$1.12M
|
|
|
Oct 21, 2021
Q3 2021
|
Concorde Asset Management, LLC
|
BUY
|
- |
66.1K+ 338.83% |
$917K - $1M
|
85.6K
$1.09M
|
|
|
Nov 15, 2021
Q3 2021
|
Two Sigma Investments, LP
New York, NY |
BUY
|
- |
51.7K+ 78.87% |
$718K - $783K
|
117K
$1.49M
|
|
|
Nov 12, 2021
Q3 2021
|
Advisors Asset Management, Inc.
Monument, CO |
BUY
|
- |
40.4K+ 17.12% |
$560K - $611K
|
276K
$3.52M
|
|
|
Nov 09, 2021
Q3 2021
|
Black Rock Inc.
New York, NY |
BUY
|
- |
30.1K+ 14.0% |
$418K - $456K
|
245K
$3.12M
|
|
|
Nov 15, 2021
Q3 2021
|
Exodus Point Capital Management, LP
New York, NY |
BUY
|
- |
23.1KNew |
$321K - $350K
|
23.1K
$294K
|
|
|
Nov 15, 2021
Q3 2021
|
David A. Siegel
Two Sigma Advisers, LP | New York, Ny
|
BUY
|
- |
22K+ 18.78% |
$305K - $333K
|
139K
$1.77M
|
|
|
Oct 14, 2021
Q3 2021
|
Davenport & CO LLC
|
BUY
|
- |
17.9K+ 6.25% |
$248K - $271K
|
305K
$3.88M
|
|
|
Nov 08, 2021
Q3 2021
|
Mackenzie Financial Corp
Toronto Ontario, A6 |
BUY
|
- |
13.1K+ 15.71% |
$182K - $198K
|
96.5K
$1.23M
|
|
|
Nov 16, 2021
Q3 2021
|
Jane Street Group, LLC
New York, NY |
BUY
|
- |
12.3KNew |
$171K - $186K
|
12.3K
$157K
|
|
|
Nov 15, 2021
Q3 2021
|
Paul Tudor Jones
Tudor Investment Corp Et Al | Stamford, Ct
|
BUY
|
- |
11.5KNew |
$160K - $175K
|
11.5K
$147K
|
|
|
Nov 15, 2021
Q3 2021
|
Ken Griffin
Citadel Advisors LLC | Chicago, Il
|
BUY
|
- |
11K+ 33.24% |
$153K - $167K
|
44.1K
$561K
|
|
|
Nov 02, 2021
Q3 2021
|
Raymond James Financial Services Advisors, Inc.
St. Petersburg, FL |
BUY
|
- |
10.9KNew |
$152K - $165K
|
10.9K
$139K
|
|
|
Nov 15, 2021
Q3 2021
|
Ubs Group Ag
|
BUY
|
- |
8.45K+ 19.15% |
$117K - $128K
|
52.6K
$669K
|
|
|
Nov 04, 2021
Q3 2021
|
Deutsche Bank Ag\
Frankfurt Am Main, 2M |
BUY
|
- |
7.04K+ 166.48% |
$97.6K - $106K
|
11.3K
$143K
|
|
|
Nov 15, 2021
Q3 2021
|
Lpl Financial LLC
Fort Mill, SC |
BUY
|
- |
3.33K+ 3.02% |
$46.1K - $50.3K
|
113K
$1.44M
|
|
|
Nov 12, 2021
Q3 2021
|
Blair William & CO
Chicago, IL |
BUY
|
- |
2.49K+ 1.75% |
$34.5K - $37.6K
|
144K
$1.84M
|
|
|
Nov 15, 2021
Q3 2021
|
Royal Bank Of Canada
Toronto, A6 |
BUY
|
- |
2.48K+ 7.18% |
$34.4K - $37.6K
|
37.1K
$471K
|
|
|
Nov 12, 2021
Q3 2021
|
Jpmorgan Chase & CO
New York, NY |
BUY
|
- |
2.2KNew |
$30.5K - $33.3K
|
2.2K
$28K
|
|
|
Oct 13, 2021
Q3 2021
|
Fny Investment Advisers, LLC
|
BUY
|
- |
1.5KNew |
$20.8K - $22.7K
|
1.5K
$19.1K
|
|
|
Nov 15, 2021
Q3 2021
|
Great West Life Assurance CO
Winnipeg, A2 |
BUY
|
- |
1.15K+ 10.7% |
$16K - $17.4K
|
11.9K
$152K
|
|
|
Nov 15, 2021
Q3 2021
|
Belpointe Asset Management LLC
|
BUY
|
- |
1.11K+ 3.42% |
$15.5K - $16.9K
|
33.7K
$429K
|
|
|
Nov 15, 2021
Q3 2021
|
Tower Research Capital LLC (Trc)
New York, NY |
BUY
|
- |
929New |
$12.9K - $14.1K
|
929
$11.8K
|
|
|
Sep 21, 2023
Q3 2021
|
Halpern Financial, Inc.
Ashburn, VA |
BUY
|
- |
837New |
$11.6K - $12.7K
|
837
$10.6K
|
|
|
Mar 22, 2023
Q3 2021
|
American Portfolios Advisors
Holbrook, NY |
BUY
|
- |
469+ 10.11% |
$6.51K - $7.1K
|
5.11K
$65K
|
|
|
Nov 02, 2021
Q3 2021
|
Parallel Advisors, LLC
|
BUY
|
- |
435+ 193.33% |
$6.03K - $6.58K
|
660
$8.4K
|
|
|
Nov 10, 2021
Q3 2021
|
Jnba Financial Advisors
|
BUY
|
- |
393New |
$5.45K - $5.95K
|
393
$5K
|
|
|
Nov 15, 2021
Q3 2021
|
Wells Fargo & Company
San Francisco, CA |
BUY
|
- |
377+ 3.23% |
$5.23K - $5.7K
|
12K
$153K
|
|
|
Nov 15, 2021
Q3 2021
|
D. E. Shaw & Co., Inc.
New York, NY |
BUY
|
- |
195+ 1.76% |
$2.7K - $2.95K
|
11.3K
$144K
|
|
|
Oct 29, 2021
Q3 2021
|
Garner Asset Management Corp
|
BUY
|
- |
3+ 0.01% |
$41.6 - $45.4
|
41.3K
$526K
|
|
|
Oct 15, 2021
Q3 2021
|
Wolff Wiese Magana LLC
|
BUY
|
- |
2+ 1.87% |
$27.7 - $30.3
|
109
$1.39K
|
|
|
Nov 10, 2021
Q3 2021
|
Institutional & Family Asset Management, LLC
|
BUY
|
- |
1+ 1.82% |
$13.9 - $15.1
|
56
$712
|
|
|
Oct 28, 2021
Q3 2021
|
Signaturefd, LLC
Atlanta, GA |
SELL
|
- |
-38- 38.0% |
$527 - $575
|
62
$789
|
|
|
Nov 10, 2021
Q3 2021
|
Column Capital Advisors, LLC
|
SELL
|
- |
-76Closed |
$1.05K - $1.15K
|
0
$0
|
|
|
Oct 28, 2021
Q3 2021
|
Simplex Trading, LLC
|
SELL
|
- |
-200- 3.69% |
$2.77K - $3.03K
|
5.23K
$66.5K
|
|
|
Nov 12, 2021
Q3 2021
|
Group One Trading, L.P.
Chicago, IL |
SELL
|
- |
-204Closed |
$2.83K - $3.09K
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Enterprise Financial Services Corp
Clayton, MO |
SELL
|
- |
-231Closed |
$3.2K - $3.5K
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Bank Of America Corp
Charlotte, NC |
SELL
|
- |
-265- 7.6% |
$3.68K - $4.01K
|
3.22K
$41K
|
|
|
Nov 02, 2021
Q3 2021
|
Raymond James & Associates
St Petersburg, FL |
SELL
|
- |
-267- 0.88% |
$3.7K - $4.04K
|
30.2K
$385K
|
|
|
Nov 15, 2021
Q3 2021
|
Ameriprise Financial Inc
Minneapolis, MN |
SELL
|
- |
-272- 1.08% |
$3.77K - $4.12K
|
24.9K
$317K
|
|
|
Oct 13, 2021
Q3 2021
|
Albert D Mason Inc
|
SELL
|
- |
-333- 0.39% |
$4.62K - $5.04K
|
85.6K
$1.09M
|
|
|
Nov 05, 2021
Q3 2021
|
Truist Financial Corp
|
SELL
|
- |
-594- 3.7% |
$8.24K - $8.99K
|
15.5K
$197K
|
|
|
Nov 09, 2021
Q3 2021
|
Providence Capital Advisors, LLC
Charlotte, NC |
SELL
|
- |
-700Closed |
$9.71K - $10.6K
|
0
$0
|
|
|
Oct 26, 2021
Q3 2021
|
Atlantic Union Bankshares Corp
|
SELL
|
- |
-850- 0.7% |
$11.8K - $12.9K
|
121K
$1.53M
|
|
|
Oct 29, 2021
Q3 2021
|
Commonwealth Equity Services, LLC
|
SELL
|
- |
-1.11K- 2.85% |
$15.4K - $16.8K
|
37.9K
$481K
|
|
|
Oct 26, 2021
Q3 2021
|
Outfitter Financial LLC
|
SELL
|
- |
-2.25K- 0.87% |
$31.2K - $34K
|
257K
$3.26M
|
|
|
Nov 16, 2021
Q3 2021
|
Schonfeld Strategic Advisors LLC
New York, NY |
SELL
|
- |
-3.2K- 9.38% |
$44.4K - $48.4K
|
30.9K
$393K
|
|
|
Nov 15, 2021
Q3 2021
|
Virtus ETF Advisers LLC
New York, NY |
SELL
|
- |
-3.81K- 10.32% |
$52.9K - $57.7K
|
33.1K
$422K
|
|
|
Nov 02, 2021
Q3 2021
|
Cambridge Investment Research Advisors, Inc.
|
SELL
|
- |
-4.6K- 27.11% |
$63.8K - $69.6K
|
12.4K
$157K
|