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Gladstone Investment Corp
GAIN

78 hedge funds and large institutions have $74.6M invested in Gladstone Investment Corp in 2019 Q4 according to their latest regulatory filings, with 19 funds opening new positions, 27 increasing their positions, 17 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

138% more first-time investments, than exits

New positions opened: 19 | Existing positions closed: 8

59% more repeat investments, than reductions

Existing positions increased: 27 | Existing positions reduced: 17

33% more capital invested

Capital invested by funds: $56M → $74.6M (+$18.6M)

18% more call options, than puts

Call options by funds: $218K | Put options by funds: $184K

15% more funds holding

Funds holding: 68 → 78 (+10)

3.23% more ownership

Funds ownership: 13.93% → 17.16% (+3.2%)

Holders
78
Holders Change
+10
Holders Change %
+14.71%
% of All Funds
1.54%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.02%
New
19
Increased
27
Reduced
17
Closed
8
Calls
$218K
Puts
$184K
Net Calls
+$34K
Net Calls Change
-$1.48M

Top Buyers

Rank Fund Capital Flow
1
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
+$4.22M
2
Marshall Wace
Marshall Wace
United Kingdom
+$2.58M
3
DCM
Driehaus Capital Management
Illinois
+$2.39M
4
ECM
ExodusPoint Capital Management
New York
+$1.11M
5
VanEck Associates
VanEck Associates
New York
+$952K

Top Sellers

Rank Fund Capital Flow
1
Two Sigma Investments
Two Sigma Investments
New York
-$968K
2
VEA
Virtus ETF Advisers
New York
-$857K
3
DC
Davenport & Co
Virginia
-$676K
4
UBS Group
UBS Group
Switzerland
-$517K
5
AAM
Advisors Asset Management
Colorado
-$215K
Name Holding Trade Value Shares
Change 		Change in
Stake
TI
51
Trexquant Investment
Connecticut
$212K +$216K +15,964 New
JP Morgan Chase
52
JP Morgan Chase
New York
$202K +$207K +15,277 New
D.E. Shaw & Co
53
D.E. Shaw & Co
New York
$189K +$193K +14,282 New
CRWM
54
Castle Rock Wealth Management
California
$186K – – –
CANY
55
Caxton Associates (New York)
New York
$181K +$185K +13,644 New
BAM
56
Belpointe Asset Management
Nevada
$168K +$11.5K +850 +7%
Canada Life
57
Canada Life
Manitoba, Canada
$142K +$146K +10,817 New
DIA
58
Dana Investment Advisors
Wisconsin
$133K – – –
ASN
59
Advisory Services Network
Georgia
$122K +$82.8K +6,122 +198%
SAS
60
Stelac Advisory Services
New York
$101K +$103K +7,643 New
Citigroup
61
Citigroup
New York
$66K – – –
NSIM
62
North Star Investment Management
Illinois
$66K – – –
APA
63
American Portfolios Advisors
New York
$61.5K – – –
WAP
64
Wealthcare Advisory Partners
Pennsylvania
$57K – – –
FGAM
65
Financial Gravity Asset Management
Texas
$51K +$15.3K +1,128 +42%
WEC
66
Winslow Evans & Crocker
Massachusetts
$46K +$8.12K +600 +22%
Northwestern Mutual Wealth Management
67
Northwestern Mutual Wealth Management
Wisconsin
$43K – – –
Lazard Asset Management
68
Lazard Asset Management
New York
$16K – – –
US Bancorp
69
US Bancorp
Minnesota
$14K – – –
PFGIA
70
Patriot Financial Group Insurance Agency
Massachusetts
$7K – – –
FDCDDQ
71
Federation des caisses Desjardins du Quebec
Quebec, Canada
$6.63K – – –
SWM
72
Selective Wealth Management
Virginia
$5K – – –
ACM
73
Allred Capital Management
Texas
$3.31K +$3.38K +250 New
HGWM
74
Harvest Group Wealth Management
Massachusetts
$2K +$27 +2 +1%
CFGS
75
Concourse Financial Group Securities
Alabama
$1K – – –
1 2
3
4

GAIN Hedge Fund Activity: Q4 2019 in Review

78 of the 5,076 institutional investors tracked by Wall St. Rank reported a position in Gladstone Investment Corp (GAIN) for Q4 2019, worth a combined $74.6M — up 33% from $56M a quarter earlier.

Buyers outnumbered sellers: 19 funds opened new GAIN positions and 8 closed out — a net gain of 11 holders — while 27 added to existing stakes and 17 trimmed.

The largest buyer was Arrowstreet Capital, opening a new position worth an estimated $4.22M. The largest seller was Two Sigma Investments, cutting an estimated $968K.

  • 78 institutional investors held Gladstone Investment Corp (GAIN) as of Q4 2019, up from 68 in Q3 2019.
  • Funds reported $74.6M of Gladstone Investment Corp stock for Q4 2019, up 33% quarter-over-quarter.
  • 19 funds opened new Gladstone Investment Corp positions in Q4 2019 and 8 closed out, a net change of +11 holders.
  • The largest Gladstone Investment Corp buyer in Q4 2019 was Arrowstreet Capital, an estimated $4.22M added.
  • The largest Gladstone Investment Corp seller in Q4 2019 was Two Sigma Investments, an estimated $968K sold.

Based on aggregated 13F filings for Q4 2019.