Ownership Profile

Shareholder Breakdown
Shareholder Holders Values ($) % O/S Shares
Institution 97 72 28.13 8,515,703
Mutual Fund 15 11 4.50 1,361,246
Institutional Shareholder Rotation
Shareholder Holders Values Change ($) % O/S Shares Change
Buyers 34 13.82 5.26 1,591,004
Sellers 41 -7.13 2.79 -845,511
Net -- 6.69 2.46 745,493
Institutional Shareholder Concentration
Shareholder Values ($) % O/S Shares
Top 10 Inst. 42 16.50 4,995,974
Top 20 Inst. 57.58 22.61 6,843,242
Top 50 Inst. 69.89 27.38 8,288,535
Total Inst. 69.89 27.38 8,288,535
Institutional Shareholder Style
Shareholder Holders Values ($) % O/S Shares
Index 6 2 3.93 304,500
CoreGrowth 15 5 8.22 636,888
Growth 3 1 1.65 127,618
IncomeValue 1 8 10.97 850,150
Yield 3 7 10.12 784,329
BrokerDealer 11 10 15.80 1,224,929
HedgeFund 13 10 15.10 1,170,169
GARP 7 7 11.15 864,505
CoreValue 11 7 11.62 900,534
DeepValue 3 4 6.16 477,691
Top Holders: Institutional Investor
Holder Shares Held % O/S Shares Change Filing Date
Karpus Investment Management 850,150 2.81 850,150 09/30/2016
Advisors Asset Management, Inc. 740,998 2.45 82,371 12/31/2016
Gladstone (David John) 621,973 2.05 5,000 03/13/2017
UBS Securities LLC 612,312 2.02 40,905 12/31/2016
LSV Asset Management 471,516 1.56 -12,900 12/31/2016
Caisse de Depot et Placement du Quebec 415,874 1.37 0 12/31/2015
Two Sigma Investments, LP 394,331 1.30 -100,739 12/31/2016
Ladenburg Thalmann Asset Management Inc. (LTAM) 313,758 1.04 228,546 12/31/2016
Davenport Asset Management 309,676 1.02 -8,598 12/31/2016
British Columbia Investment Management Corp. 265,386 0.88 -25,666 03/31/2016
Morgan Stanley & Co. LLC 248,556 0.82 8,785 12/31/2016
Outfitter Advisors, Ltd. 244,765 0.81 -1,850 12/31/2016
CUE Financial Group, Inc. 219,950 0.73 7,500 12/31/2016
BlackRock Asset Management Ireland Limited 204,775 0.68 49,657 12/31/2016
Algert Global LLC 185,102 0.61 55,004 12/31/2016
Van Eck Associates Corporation 179,416 0.59 40,733 12/31/2016
Janney Montgomery Scott LLC 161,050 0.53 -5,622 12/31/2016
Confluence Investment Management LLC 142,533 0.47 0 12/31/2016
BlackRock Advisors (UK) Limited 131,320 0.43 -867 01/31/2016
Nuveen Asset Management, LLC 129,801 0.43 -2,702 12/31/2016
WEDGE Capital Management, L.L.P. 97,000 0.32 0 12/31/2016
GSA Capital Partners LLP 91,796 0.30 91,796 12/31/2016
Morgan Stanley Wealth Management 88,710 0.29 8,136 12/31/2016
Dullum (David A R) 82,565 0.27 9,000 03/13/2017
California Public Employees' Retirement System 82,000 0.27 0 12/31/2016
Cornerstone Wealth Management, LLC 73,210 0.24 -3,006 12/31/2016
Millennium Management LLC 71,924 0.24 -159,887 12/31/2016
ICM Asset Management, Inc. 66,220 0.22 -5,225 12/31/2016
Legal & General Investment Management Ltd. 64,959 0.21 0 12/31/2016
Hillsdale Investment Management Inc. 62,300 0.21 -58,300 12/31/2016
J.P. Morgan Securities LLC 56,974 0.19 -21,385 12/31/2016
Morgan Stanley Investment Management Inc. (US) 55,374 0.18 -47,266 12/31/2016
LPL Financial LLC 43,891 0.14 10,919 12/31/2016
D. E. Shaw & Co., L.P. 43,398 0.14 27,426 12/31/2016
WFG Advisors LP 42,778 0.14 340 12/31/2016
Berson & Corrado Investment Advisors, LLC 42,246 0.14 42,246 12/31/2016
Archford Capital Strategies, LLC 41,779 0.14 -200 12/31/2016
Deere & Company 36,925 0.12 0 09/30/2016
Wells Fargo Advisors 36,850 0.12 4,594 12/31/2016
Goldman Sachs & Company, Inc. 36,060 0.12 -35,393 12/31/2016
Harris Associates L.P. 32,600 0.11 0 01/31/2017
Brubaker (Theresa Lee) 29,172 0.10 -164,899 03/06/2017
Raymond James & Associates, Inc. 24,923 0.08 3,607 12/31/2016
Yellowstone Partners LLC 22,540 0.07 1,990 09/30/2016
Blackstone Alternative Investment Advisors LLC 22,400 0.07 1,300 09/30/2016
RBC Capital Markets Wealth Management 21,925 0.07 1,847 12/31/2016
Morgan Stanley Investment Management Ltd. (UK) 20,694 0.07 -19,445 12/31/2016
Parametric Portfolio Associates LLC 18,572 0.06 6 12/31/2016
TFS Capital LLC 18,508 0.06 -27,650 12/31/2016
Sprott Asset Management LP 17,000 0.06 0 12/31/2016

Ownership data is provided by Thomson Reuters, a third party service, and Gladstone Investment Corporation does not maintain or provide information directly to this service.

NASDAQ: GAIN
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1:39 PM ET on Mar 24, 2017
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