Ownership Profile

Shareholder Breakdown
Shareholder Holders Values ($) % O/S Shares
Institution 88 51 21.97 5,607,098
Mutual Fund 14 12 5.03 1,282,521
Institutional Shareholder Rotation
Shareholder Holders Values Change ($) % O/S Shares Change
Buyers 37 16.84 7.06 1,802,646
Sellers 38 -3.19 1.41 -359,376
Net -- 13.65 5.65 1,443,270
Institutional Shareholder Concentration
Shareholder Values ($) % O/S Shares
Top 10 Inst. 35 15.24 3,889,026
Top 20 Inst. 42.56 18.57 4,739,291
Top 50 Inst. 49.59 21.51 5,487,831
Total Inst. 49.59 21.51 5,487,831
Institutional Shareholder Style
Shareholder Holders Values ($) % O/S Shares
Index 5 9 3.73 952,597
CoreGrowth 11 3 1.40 356,450
Growth 4 1 0.41 104,059
IncomeValue 1 1 0.40 102,655
Yield 2 1 0.46 116,462
BrokerDealer 14 10 4.05 1,033,969
GARP 6 1 0.40 101,921
HedgeFund 8 5 1.98 504,427
CoreValue 8 4 1.52 386,919
DeepValue 2 1 0.33 85,007
Top Holders: Institutional Investor
Holder Shares Held % O/S Shares Change Filing Date
Gladstone (David John) 1,195,794 4.69 27,075 11/14/2016
Invesco PowerShares Capital Management LLC 767,363 3.01 760,613 12/31/2016
UBS Securities LLC 509,917 2.00 72,646 12/31/2016
Two Sigma Investments, LP 393,928 1.54 298,021 12/31/2016
Marcotte (Robert L) 322,279 1.26 24,980 03/09/2017
LPL Financial LLC 154,371 0.60 -1,201 12/31/2016
BlackRock Asset Management Ireland Limited 147,138 0.58 35,475 12/31/2016
Van Eck Associates Corporation 143,681 0.56 35,594 12/31/2016
LPL Financial 135,173 0.53 58,208 06/30/2015
Morgan Stanley Wealth Management 119,382 0.47 18,680 12/31/2016
Raymond James & Associates, Inc. 117,305 0.46 104,249 12/31/2016
United Capital Financial Advisers, LLC 102,655 0.40 -95,500 12/31/2016
Advisors Asset Management, Inc. 99,660 0.39 46,356 12/31/2016
BlackRock Advisors (UK) Limited 85,260 0.33 -632 01/31/2016
Norges Bank Investment Management (NBIM) 83,576 0.33 -829 12/31/2016
Dynamic Technology Lab Pte Ltd. 83,132 0.33 83,132 12/31/2016
Boston Partners 82,735 0.32 2,128 12/31/2016
JPMorgan Private Bank (United States) 79,500 0.31 79,500 12/31/2016
Nuveen Asset Management, LLC 60,849 0.24 -8,421 12/31/2016
KCG Americas LLC 55,593 0.22 26,900 12/31/2016
Legal & General Investment Management Ltd. 50,397 0.20 0 12/31/2016
Prospera Financial Services 49,200 0.19 12,200 12/31/2016
DNB Asset Management AS 45,701 0.18 0 12/31/2016
Davenport Asset Management 39,300 0.15 -650 12/31/2016
California Public Employees' Retirement System 37,300 0.15 0 12/31/2016
Millennium Management LLC 36,670 0.14 16,370 12/31/2016
Cornerstone Wealth Management, LLC 36,483 0.14 -1,498 12/31/2016
Goldman Sachs & Company, Inc. 36,003 0.14 4,513 12/31/2016
D. E. Shaw & Co., L.P. 33,176 0.13 33,176 12/31/2016
Morgan Stanley & Co. LLC 32,597 0.13 32,012 12/31/2016
Atlantic Trust Private Wealth Management 32,100 0.13 -400 12/31/2016
Sigma Planning Corporation 29,370 0.12 -567 12/31/2016
Bard Associates Inc. 27,350 0.11 -1,500 12/31/2016
Morgan Stanley Investment Management Inc. (US) 25,376 0.10 -16,492 12/31/2016
Janney Montgomery Scott LLC 24,970 0.10 -1,963 12/31/2016
Stifel Nicolaus Investment Advisors 22,017 0.09 -10,000 12/31/2016
Koshinski Asset Management, Inc 21,871 0.09 2,123 12/31/2016
City National Rochdale, LLC 16,802 0.07 0 12/31/2016
Acrospire Investment Management LLC 15,720 0.06 12,405 12/31/2016
Airain Ltd 15,312 0.06 15,312 12/31/2016
Hillsdale Investment Management Inc. 13,800 0.05 13,800 12/31/2016
Susquehanna Financial Group, LLLP 13,600 0.05 13,600 12/31/2016
First Foundation Advisors 12,701 0.05 0 12/31/2016
WFG Advisors LP 12,458 0.05 -1,922 12/31/2016
Sequoia Financial Advisors, LLC 12,399 0.05 1,800 12/31/2016
Metropolitan Life Insurance Co. (US) 12,277 0.05 -309 12/31/2016
Ladenburg Thalmann Asset Management Inc. (LTAM) 11,931 0.05 10,600 12/31/2016
TCI Wealth Advisors, Inc. 11,371 0.04 -4,579 12/31/2016
CUE Financial Group, Inc. 10,300 0.04 10,300 12/31/2016
Citi Investment Research (US) 9,988 0.04 -2,025 12/31/2016

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

NASDAQ: GLAD
9.00
- 0.03 (0.33%)
10:06 AM ET on Mar 27, 2017
Delayed at least 20 minutes.