Ownership Profile

Shareholder Breakdown
Shareholder Holders Values ($) % O/S Shares
Institution 88 77 26.76 8,663,833
Mutual Fund 15 12 4.36 1,411,728
Institutional Shareholder Rotation
Shareholder Holders Values Change ($) % O/S Shares Change
Buyers 36 13.83 4.76 1,541,753
Sellers 40 -6.54 2.28 -739,384
Net -- 7.29 2.48 802,369
Institutional Shareholder Concentration
Shareholder Values ($) % O/S Shares
Top 10 Inst. 46 16.03 5,188,853
Top 20 Inst. 62.71 21.88 7,081,275
Top 50 Inst. 75.56 26.25 8,498,865
Total Inst. 75.56 26.25 8,498,865
Institutional Shareholder Style
Shareholder Holders Values ($) % O/S Shares
Index 6 3 0.96 310,488
CoreGrowth 14 6 2.19 707,346
Growth 2 0 0.16 53,366
IncomeValue 1 8 2.63 850,150
Yield 3 7 2.54 820,713
BrokerDealer 11 6 1.90 614,760
GARP 5 7 2.46 796,642
HedgeFund 11 9 3.15 1,021,267
CoreValue 10 8 2.89 936,023
DeepValue 2 5 1.55 501,499
Top Holders: Institutional Investor
Holder Shares Held % O/S Shares Change Filing Date
Karpus Investment Management 850,150 2.63 850,150 09/30/2016
Advisors Asset Management, Inc. 795,167 2.46 54,169 03/31/2017
UBS Financial Services, Inc. 746,477 2.31 134,165 03/31/2017
Gladstone (David John) 621,973 1.92 5,000 03/13/2017
LSV Asset Management 496,499 1.53 24,983 03/31/2017
Caisse de Depot et Placement du Quebec 415,874 1.28 0 12/31/2015
Two Sigma Investments, LP 369,729 1.14 -24,602 03/31/2017
Ladenburg Thalmann Asset Management Inc. (LTAM) 324,588 1.00 10,830 03/31/2017
Davenport Asset Management 303,010 0.94 -6,666 03/31/2017
British Columbia Investment Management Corp. 265,386 0.82 -25,666 03/31/2016
BlackRock Asset Management Ireland Limited 248,448 0.77 43,673 03/31/2017
Outfitter Advisors, Ltd. 243,465 0.75 -1,300 03/31/2017
Morgan Stanley & Co. LLC 234,199 0.72 -14,357 03/31/2017
Van Eck Associates Corporation 231,482 0.72 52,066 03/31/2017
CUE Financial Group, Inc. 218,750 0.68 -1,200 03/31/2017
Janney Montgomery Scott LLC 168,761 0.52 7,711 03/31/2017
Confluence Investment Management LLC 142,533 0.44 0 03/31/2017
GSA Capital Partners LLP 140,600 0.43 48,804 03/31/2017
Nuveen Asset Management, LLC 132,864 0.41 3,063 03/31/2017
BlackRock Advisors (UK) Limited 131,320 0.41 -867 01/31/2016
Advantage Investment Management, LLC 121,446 0.38 121,446 03/31/2017
Morgan Stanley Wealth Management 107,594 0.33 18,884 03/31/2017
WEDGE Capital Management, L.L.P. 97,000 0.30 0 03/31/2017
Dullum (David A R) 82,565 0.26 9,000 03/13/2017
California Public Employees' Retirement System 82,000 0.25 0 03/31/2017
Millennium Management LLC 79,963 0.25 8,039 03/31/2017
Legal & General Investment Management Ltd. 71,843 0.22 6,884 03/31/2017
Cornerstone Wealth Management, LLC 71,705 0.22 -1,505 03/31/2017
ICM Asset Management, Inc. 62,405 0.19 -3,815 03/31/2017
LPL Financial LLC 58,829 0.18 14,938 03/31/2017
KCG Americas LLC 44,897 0.14 44,897 03/31/2017
Archford Capital Strategies, LLC 41,779 0.13 0 03/31/2017
Goldman Sachs & Company, Inc. 39,927 0.12 3,867 03/31/2017
Wells Fargo Advisors 38,581 0.12 1,731 03/31/2017
Deere & Company 36,925 0.11 0 09/30/2016
OxFORD Asset Management 33,396 0.10 33,396 03/31/2017
Harris Associates L.P. 32,600 0.10 0 02/28/2017
WFG Advisors LP 30,826 0.10 -11,952 03/31/2017
D. E. Shaw & Co., L.P. 30,795 0.10 -12,603 03/31/2017
Brubaker (Theresa Lee) 29,172 0.09 -164,899 03/06/2017
Raymond James & Associates, Inc. 29,053 0.09 4,130 03/31/2017
Mackenzie Financial Corporation 28,025 0.09 12,025 03/31/2017
Berson & Corrado Investment Advisors, LLC 24,461 0.08 -17,785 03/31/2017
RBC Capital Markets Wealth Management 24,004 0.07 2,079 03/31/2017
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
Eagle Global Advisors, LLC 19,973 0.06 5,170 03/31/2017
Parametric Portfolio Associates LLC 18,579 0.06 7 03/31/2017
Citi Investment Research (US) 17,307 0.05 3,507 03/31/2017
Sprott Asset Management LP 17,000 0.05 0 03/31/2017

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
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+ 0.06 (0.65%)
4:00 PM ET on May 26, 2017
Delayed at least 20 minutes.