Ownership Profile

Shareholder Breakdown
Shareholder Holders Values ($) % O/S Shares
Institution 90 64 20.81 6,768,833
Mutual Fund 12 6 1.79 580,875
Institutional Shareholder Rotation
Shareholder Holders Values Change ($) % O/S Shares Change
Buyers 40 3.64 1.18 383,654
Sellers 36 -5.21 1.69 -548,386
Net -- -1.57 0.51 -164,732
Institutional Shareholder Concentration
Shareholder Values ($) % O/S Shares
Top 10 Inst. 39 12.54 4,077,307
Top 20 Inst. 52.74 17.10 5,563,523
Top 50 Inst. 62.53 20.27 6,592,179
Total Inst. 62.53 20.27 6,592,179
Institutional Shareholder Style
Shareholder Holders Values ($) % O/S Shares
Index 6 4 1.37 445,530
CoreGrowth 9 6 1.89 615,405
Growth 2 1 0.24 78,028
Yield 1 6 1.98 643,992
BrokerDealer 12 9 2.86 929,589
GARP 3 4 1.26 410,248
HedgeFund 11 9 2.88 937,361
CoreValue 10 3 0.89 288,699
DeepValue 3 5 1.57 510,116
Top Holders: Institutional Investor
Holder Shares Held % O/S Shares Change Filing Date
Advisors Asset Management, Inc. 643,992 1.98 -138,676 09/30/2017
Gladstone (David John) 621,973 1.91 0 06/19/2017
LSV Asset Management 494,816 1.52 -7,100 09/30/2017
UBS Financial Services, Inc. 439,832 1.35 32,199 09/30/2017
BMO Capital Markets (US) 364,000 1.12 0 09/30/2017
Ladenburg Thalmann Asset Management Inc. (LTAM) 358,542 1.10 13,932 09/30/2017
Davenport Asset Management 338,298 1.04 20,481 09/30/2017
Two Sigma Investments, LP 325,366 1.00 -99,809 09/30/2017
Van Eck Associates Corporation 247,323 0.76 -33,532 09/30/2017
Outfitter Advisors, Ltd. 243,165 0.75 -3,100 09/30/2017
CUE Financial Group, Inc. 214,050 0.66 -2,700 09/30/2017
Morgan Stanley & Co. LLC 202,853 0.62 -6,927 09/30/2017
BlackRock Asset Management Ireland Limited 191,580 0.59 -14,347 09/30/2017
Janney Montgomery Scott LLC 185,444 0.57 6,583 09/30/2017
GSA Capital Partners LLP 164,400 0.51 -78,300 09/30/2017
Advantage Investment Management, LLC 136,458 0.42 3,489 09/30/2017
Morgan Stanley Wealth Management 110,747 0.34 2,625 09/30/2017
WEDGE Capital Management, L.L.P. 97,000 0.30 0 09/30/2017
Legal & General Investment Management Ltd. 92,087 0.28 11,829 09/30/2017
Nuveen Asset Management, LLC 91,597 0.28 -11,738 09/30/2017
Dullum (David A R) 82,565 0.25 18,000 03/13/2017
California Public Employees' Retirement System 82,000 0.25 0 09/30/2017
William Blair & Company, L.L.C. (Research) 70,129 0.22 70,129 09/30/2017
ICM Asset Management, Inc. 61,360 0.19 415 09/30/2017
WFG Advisors LP 60,928 0.19 30,102 06/30/2017
Garner Asset Management Corporation 55,927 0.17 502 09/30/2017
Archford Capital Strategies, LLC 51,779 0.16 6,000 09/30/2017
Cornerstone Wealth Management, LLC 50,274 0.15 -4,909 09/30/2017
Wells Fargo Advisors 40,682 0.13 2,097 09/30/2017
Brubaker (Theresa Lee) 35,452 0.11 6,280 06/19/2017
Harris Associates L.P. 32,600 0.10 0 07/31/2017
Millennium Management LLC 32,153 0.10 32,153 09/30/2017
D. E. Shaw & Co., L.P. 30,738 0.09 30,738 09/30/2017
J.P. Morgan Securities LLC 30,308 0.09 29,988 09/30/2017
RBC Capital Markets Wealth Management 29,520 0.09 5,413 09/30/2017
Confluence Investment Management LLC 29,360 0.09 0 12/31/2017
Mackenzie Financial Corporation 28,025 0.09 0 09/30/2017
Wedbush Securities, Inc. 23,776 0.07 23,776 09/30/2017
Susquehanna Financial Group, LLLP 19,356 0.06 -11,840 09/30/2017
Raymond James & Associates, Inc. 18,915 0.06 -8,069 09/30/2017
Parametric Portfolio Associates LLC 18,723 0.06 -4 09/30/2017
Eagle Global Advisors, LLC 17,173 0.05 -1,000 09/30/2017
Yellowstone Partners LLC 17,100 0.05 -5,440 09/30/2017
Commonwealth Financial Network 17,024 0.05 731 09/30/2017
Sprott, Inc. 17,000 0.05 17,000 09/30/2017
Ninepoint Partners LP 17,000 0.05 0 06/30/2017
Stratos Wealth Partners, Ltd. 15,664 0.05 1,050 09/30/2017
LPL Financial LLC 15,493 0.05 -978 09/30/2017
Wilkinson (Walter H Jr) 14,020 0.04 5,730 11/28/2017
Tudor Investment Corporation 13,612 0.04 1,660 09/30/2017

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
11.27
0.00 (0.00%)
4:00 PM ET on Jan 16, 2018
Delayed at least 20 minutes.