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Gladstone Investment Corp
GAIN

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

350% more first-time investments, than exits

New positions opened: 18 | Existing positions closed: 4

118% more repeat investments, than reductions

Existing positions increased: 24 | Existing positions reduced: 11

50% more capital invested

Capital invested by funds: $35.6M → $53.5M (+$17.9M)

25% more funds holding

Funds holding: 56 → 70 (+14)

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

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$2.02M
2
AG
Algert Global
California
+$1.09M
3
AAM
Advisors Asset Management
Colorado
+$1.01M
4
HIM
Hillsdale Investment Management
Ontario, Canada
+$1.01M
5
OA
Outfitter Advisors
Virginia
+$690K

Top Sellers

Rank Fund Capital Flow
1
Janney Montgomery Scott
Janney Montgomery Scott
Pennsylvania
-$1.31M
2
D.E. Shaw & Co
D.E. Shaw & Co
New York
-$773K
3
Grantham, Mayo, Van Otterloo & Co (GMO)
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
-$490K
4
DC
Davenport & Co
Virginia
-$477K
5
VKH
Virtu KCG Holdings
New York
-$168K
Name Holding Trade Value Shares
Change 		Change in
Stake
AAM
1
Advisors Asset Management
Colorado
$5.86M +$1.01M +120,703 +22%
UBS Group
2
UBS Group
Switzerland
$5.08M +$291K +34,803 +6%
LSV Asset Management
3
LSV Asset Management
Illinois
$4.31M – – –
Morgan Stanley
4
Morgan Stanley
New York
$4.12M +$2.02M +241,363 +109%
DC
5
Davenport & Co
Virginia
$2.83M -$477K -57,115 -15%
Two Sigma Investments
6
Two Sigma Investments
New York
$2.24M +$443K +53,081 +27%
OA
7
Outfitter Advisors
Virginia
$2.19M +$690K +82,600 +50%
Millennium Management
8
Millennium Management
New York
$2.06M +$641K +76,800 +50%
Two Sigma Advisers
9
Two Sigma Advisers
New York
$2.02M +$12.2K +1,465 +0.6%
CAS
10
Cue Advisory Services
Arizona
$1.89M +$25.1K +3,000 +1%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$1.48M -$1.31M -156,274 -48%
BG
12
BlackRock Group
United Kingdom
$1.38M -$60.6K -7,261 -4%
CIM
13
Confluence Investment Management
Missouri
$1.27M – – –
VanEck Associates
14
VanEck Associates
New York
$1.23M +$83K +9,937 +8%
NFA
15
Nuveen Fund Advisors
Illinois
$1.18M +$87.2K +10,436 +9%
AG
16
Algert Global
California
$1.16M +$1.09M +130,098 New
HIM
17
Hillsdale Investment Management
Ontario, Canada
$1.07M +$1.01M +120,600 New
WCM
18
Wedge Capital Management
North Carolina
$862K – – –
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$757K +$30.5K +3,648 +4%
California Public Employees Retirement System
20
California Public Employees Retirement System
California
$729K – – –
JP Morgan Chase
21
JP Morgan Chase
New York
$722K +$184K +21,994 +37%
CWM
22
Cornerstone Wealth Management
Missouri
$683K +$637K +76,216 New
DTL
23
Dynamic Technology Lab
Singapore
$678K +$637K +76,260 New
IAM
24
ICM Asset Management
Washington
$635K -$2.09K -250 -0.3%
Goldman Sachs
25
Goldman Sachs
New York
$635K +$447K +53,492 +298%
1
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GAIN Hedge Fund Activity: Q3 2016 in Review

70 of the 3,748 institutional investors tracked by Wall St. Rank reported a position in Gladstone Investment Corp (GAIN) for Q3 2016, worth a combined $53.5M — up 50% from $35.6M a quarter earlier.

Buyers outnumbered sellers: 18 funds opened new GAIN positions and 4 closed out — a net gain of 14 holders — while 24 added to existing stakes and 11 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $2.02M. The largest seller was Janney Montgomery Scott, cutting an estimated $1.31M.

  • 70 institutional investors held Gladstone Investment Corp (GAIN) as of Q3 2016, up from 56 in Q2 2016.
  • Funds reported $53.5M of Gladstone Investment Corp stock for Q3 2016, up 50% quarter-over-quarter.
  • 18 funds opened new Gladstone Investment Corp positions in Q3 2016 and 4 closed out, a net change of +14 holders.
  • The largest Gladstone Investment Corp buyer in Q3 2016 was Morgan Stanley, an estimated $2.02M added.
  • The largest Gladstone Investment Corp seller in Q3 2016 was Janney Montgomery Scott, an estimated $1.31M sold.

Based on aggregated 13F filings for Q3 2016.