State Street’s Gladstone Investment Corp GAIN Stock Holding History

State Street’s Portfolio GAIN Stock Details GAIN Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q3	–	Sell	-12,100	Closed	-$96K	–	3726
2015 Q2	$96K	Sell	12,100 -41,800	-78%	-$318K	﹤0.01%	3541
2015 Q1	$399K	Sell	53,900 -93,212	-63%	-$699K	﹤0.01%	3405
2014 Q4	$1.03M	Buy	147,112 +2,900	+2%	+$20.9K	﹤0.01%	3256
2014 Q3	$1.02M	Buy	144,212 +1,600	+1%	+$12K	﹤0.01%	3255
2014 Q2	$1.06M	Sell	142,612 -288,727	-67%	-$2.24M	﹤0.01%	3239
2014 Q1	$3.56M	Buy	431,339 +79,334	+23%	+$640K	﹤0.01%	2766
2013 Q4	$2.84M	Buy	352,005 +2,078	+0.6%	+$15.3K	﹤0.01%	2906
2013 Q3	$2.47M	Sell	349,927 -6,518	-2%	-$47K	﹤0.01%	2932
2013 Q2	$2.62M	Buy	+356,445	New	+$2.61M	﹤0.01%	2824

Other funds holding GAIN

VBA

Van Berkom & Associates Montreal, Quebec, Canada $3.08B AUM 12.07% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

LSV Asset Management Chicago, Illinois $46.4B AUM 27.74% 1-Year Est. Return

Davenport & Co Richmond, Virginia $20.4B AUM 18.11% 1-Year Est. Return

Outfitter Advisors Mclean, Virginia $221M AUM 13.61% 1-Year Est. Return

CAS

Cue Advisory Services Phoenix, Arizona $167M AUM 18.62% 1-Year Est. Return

Two Sigma Advisers New York $51.4B AUM 31.07% 1-Year Est. Return

CIM

Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

State Street's GAIN Position: Q3 2015 in Review

State Street sold out of Gladstone Investment Corp (GAIN) in Q3 2015, closing a stake of 12,100 shares — an estimated $96K sold.

State Street first reported a position in GAIN in Q2 2013 and held it in 9 quarters. The position peaked at $3.56M in Q1 2014. 55 funds tracked by Wall St. Rank hold GAIN as of Q3 2015.

State Street reported no remaining Gladstone Investment Corp position as of Q3 2015 after selling out during the quarter.
State Street sold 12,100 Gladstone Investment Corp shares in Q3 2015, an estimated $96K.
State Street first reported a position in Gladstone Investment Corp in Q2 2013 and held it in 9 quarters.
State Street's Gladstone Investment Corp position peaked at $3.56M in Q1 2014.
55 funds tracked by Wall St. Rank held Gladstone Investment Corp as of Q3 2015.

Based on State Street's 13F filing for Q3 2015, filed 16 Nov 2015.