Ownership Profile

Shareholder Breakdown
Shareholder Holders Values ($) % O/S Shares
Institution 86 72 20.19 6,566,795
Mutual Fund 12 6 1.79 583,155
Institutional Shareholder Rotation
Shareholder Holders Values Change ($) % O/S Shares Change
Buyers 34 4.93 1.38 448,044
Sellers 49 -7.91 2.23 -726,811
Net -- -2.99 0.85 -278,767
Institutional Shareholder Concentration
Shareholder Values ($) % O/S Shares
Top 10 Inst. 42 11.79 3,836,423
Top 20 Inst. 57.84 16.24 5,280,894
Top 50 Inst. 70.25 19.76 6,428,508
Total Inst. 70.25 19.76 6,428,508
Institutional Shareholder Style
Shareholder Holders Values ($) % O/S Shares
Index 6 6 1.52 495,735
CoreGrowth 9 7 1.93 627,402
Growth 2 1 0.19 63,172
Yield 2 6 1.73 562,305
BrokerDealer 10 9 2.53 823,267
GARP 3 4 1.06 344,238
HedgeFund 10 11 3.00 976,338
CoreValue 11 4 1.22 397,827
DeepValue 3 6 1.57 509,816
Top Holders: Institutional Investor
Holder Shares Held % O/S Shares Change Filing Date
Gladstone (David John) 621,973 1.91 0 06/19/2017
Advisors Asset Management, Inc. 551,805 1.70 -92,187 12/31/2017
LSV Asset Management 494,816 1.52 0 12/31/2017
UBS Financial Services, Inc. 385,100 1.18 -54,732 12/31/2017
BMO Capital Markets (US) 364,000 1.12 0 12/31/2017
Ladenburg Thalmann Asset Management Inc. (LTAM) 360,367 1.11 1,825 12/31/2017
Two Sigma Investments, LP 292,539 0.90 -32,827 12/31/2017
Davenport Asset Management 264,410 0.81 -73,888 12/31/2017
Van Eck Associates Corporation 251,498 0.77 4,175 12/31/2017
Outfitter Advisors, Ltd. 249,915 0.77 6,750 12/31/2017
CUE Financial Group, Inc. 211,550 0.65 -2,500 12/31/2017
BlackRock Asset Management Ireland Limited 208,736 0.64 17,156 12/31/2017
Janney Montgomery Scott LLC 179,377 0.55 -6,067 12/31/2017
Morgan Stanley & Co. LLC 145,182 0.45 -57,671 12/31/2017
Advantage Investment Management, LLC 137,519 0.42 1,061 12/31/2017
California Public Employees' Retirement System 122,600 0.38 40,600 12/31/2017
GSA Capital Partners LLP 121,600 0.37 -42,800 12/31/2017
Morgan Stanley Wealth Management 114,171 0.35 3,424 12/31/2017
Millennium Management LLC 105,456 0.32 73,303 12/31/2017
Legal & General Investment Management Ltd. 98,280 0.30 6,193 12/31/2017
WEDGE Capital Management, L.L.P. 97,000 0.30 0 12/31/2017
Dullum (David A R) 82,565 0.25 18,000 03/13/2017
William Blair & Company, L.L.C. (Research) 75,566 0.23 5,437 12/31/2017
LPL Financial LLC 69,349 0.21 53,856 12/31/2017
Nuveen Asset Management, LLC 64,447 0.20 -27,150 12/31/2017
WFG Advisors LP 60,928 0.19 30,102 06/30/2017
Arrowstreet Capital, Limited Partnership 60,794 0.19 60,794 12/31/2017
Sound Income Strategies, LLC 56,833 0.17 56,833 12/31/2017
Garner Asset Management Corporation 55,430 0.17 -497 12/31/2017
Cornerstone Wealth Management, LLC 53,032 0.16 2,758 12/31/2017
Archford Capital Strategies, LLC 43,779 0.13 -8,000 12/31/2017
Wells Fargo Advisors 37,682 0.12 -3,000 12/31/2017
Brubaker (Theresa Lee) 35,452 0.11 6,280 06/19/2017
Harris Associates L.P. 32,600 0.10 0 12/31/2017
Stratos Wealth Partners, Ltd. 32,432 0.10 16,768 12/31/2017
Confluence Investment Management LLC 29,360 0.09 0 12/31/2017
RBC Capital Markets Wealth Management 29,218 0.09 -302 12/31/2017
Commonwealth Financial Network 26,476 0.08 9,452 12/31/2017
Susquehanna Financial Group, LLLP 25,093 0.08 5,737 12/31/2017
Tudor Investment Corporation 23,067 0.07 9,455 12/31/2017
J.P. Morgan Securities LLC 19,658 0.06 -10,650 12/31/2017
Parametric Portfolio Associates LLC 18,692 0.06 -31 12/31/2017
Raymond James & Associates, Inc. 17,833 0.05 -1,082 12/31/2017
Eagle Global Advisors, LLC 17,173 0.05 0 12/31/2017
Ninepoint Partners LP 17,000 0.05 0 12/31/2017
Sprott, Inc. 17,000 0.05 17,000 09/30/2017
Wilkinson (Walter H Jr) 14,020 0.04 5,730 11/28/2017
Parker (Anthony W) 11,915 0.04 995 06/19/2017
Doyle Wealth Management, Inc. 11,900 0.04 0 12/31/2017
BB&T Securities, LLC 11,320 0.03 110 12/31/2017

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
10.14
+ 0.05 (0.50%)
1:00 PM ET on Feb 22, 2018
Delayed at least 20 minutes.