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Gladstone Investment Corp
GAIN

Overview Fund Activity

70 hedge funds and large institutions have $53.5M invested in Gladstone Investment Corp in 2016 Q3 according to their latest regulatory filings, with 18 funds opening new positions, 24 increasing their positions, 11 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
70
Holders Change
+14
Holders Change %
+25%
% of All Funds
1.87%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
18
Increased
24
Reduced
11
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Morgan Stanley
1
Morgan Stanley
New York
$4.12M
2
AG
2
Algert Global
California
$1.16M
3
AAM
3
Advisors Asset Management
Colorado
$5.86M
4
HIM
4
Hillsdale Investment Management
Ontario, Canada
$1.07M
5
OA
5
Outfitter Advisors
Virginia
$2.19M

Top Sellers

1
Janney Montgomery Scott
1
Janney Montgomery Scott
Pennsylvania
$1.48M
2
D.E. Shaw & Co
2
D.E. Shaw & Co
New York
$142K
3
Grantham, Mayo, Van Otterloo & Co (GMO)
3
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$238K
4
DC
4
Davenport & Co
Virginia
$2.83M
5
VKH
5
Virtu KCG Holdings
New York
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
Legal & General Group
26
Legal & General Group
United Kingdom
$578K +$46.2K +5,195 +9%
TC
27
TFS Capital
Pennsylvania
$410K +$410K +46,158 New
Citadel Advisors
28
Citadel Advisors
Florida
$397K +$397K +44,690 New
WA
29
WFG Advisors
Texas
$377K +$365K +41,088 +3,044%
ACS
30
Archford Capital Strategies
Illinois
$372K +$319K +35,979 +600%
DC
31
Deere & Company
Illinois
$328K – – –
Susquehanna International Group
32
Susquehanna International Group
Pennsylvania
$313K +$313K +35,217 New
Wells Fargo
33
Wells Fargo
California
$298K -$57.3K -6,444 -16%
LPL Financial
34
LPL Financial
California
$295K +$49.6K +5,542 +20%
Grantham, Mayo, Van Otterloo & Co (GMO)
35
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$238K -$523K -58,682 -69%
YP
36
Yellowstone Partners
Idaho
$200K +$17.7K +1,990 +10%
RJA
37
Raymond James & Associates
Florida
$189K -$2.64K -298 -1%
Royal Bank of Canada
38
Royal Bank of Canada
Ontario, Canada
$182K +$24.6K +2,782 +16%
PCM
39
Prelude Capital Management
New York
$180K +$180K +20,200 New
NCCM
40
Nine Chapters Capital Management
New Jersey
$180K +$180K +20,200 New
PPA
41
Parametric Portfolio Associates
Washington
$165K +$71 +8 +0%
SI
42
Sprott Inc
Ontario, Canada
$151K – – –
Citigroup
43
Citigroup
New York
$150K +$8.37K +944 +6%
D.E. Shaw & Co
44
D.E. Shaw & Co
New York
$142K -$823K -92,544 -85%
Creative Planning
45
Creative Planning
Kansas
$138K +$84.6K +9,500 +158%
TSS
46
Two Sigma Securities
New York
$134K +$134K +15,057 New
EGA
47
Eagle Global Advisors
Texas
$118K +$118K +13,310 New
GH
48
GAM Holding
Switzerland
$114K +$114K +12,830 New
AIM
49
Acrospire Investment Management
Illinois
$110K +$110K +12,332 New
RCA
50
Rowland Carmichael Advisors
Arizona
$101K +$101K +11,361 New
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2
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