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GLADSTONE CAPITAL CORP
GLADSTONE CAPITAL CORP. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 68 Institutional holders with a total value of $36,151,412.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Invesco Ltd. 767,363 7,206,000 19.93%
2 UBS Group AG 509,917 4,788,000 13.24%
3 TWO SIGMA INVESTMENTS, LP 221,770 2,082,000 5.76%
4 MORGAN STANLEY 186,835 1,754,000 4.85%
5 TWO SIGMA ADVISERS, LP 172,158 1,617,000 4.47%
6 LPL Financial LLC 154,371 1,484,000 4.10%
7 BlackRock Group LTD 147,138 1,382,000 3.82%
8 VAN ECK ASSOCIATES CORP 143,681 1,349,000 3.73%
9 RAYMOND JAMES & ASSOCIATES 117,305 1,102,000 3.05%
10 UNITED CAPITAL FINANCIAL ADVISORS, LLC 102,655 964,000 2.67%
11 Advisors Asset Management, Inc. 99,660 936,000 2.59%
12 NORGES BANK 83,576 785,000 2.17%
13 Dynamic Technology Lab Private Ltd 83,132 781,000 2.16%
14 Boston Partners 82,735 777,000 2.15%
15 JPMORGAN CHASE & CO 81,452 765,000 2.12%
16 NUVEEN ASSET MANAGEMENT INC. 60,849 571,000 1.58%
17 Virtu KCG Holdings LLC 55,593 522,000 1.44%
18 Prospera Financial Services Inc 49,200 482,000 1.33%
19 Legal & General Group Plc 50,397 473,000 1.31%
20 DnB Asset Management AS 45,701 429,132 1.19%
21 DAVENPORT & Co LLC 39,300 369,000 1.02%
22 CORNERSTONE WEALTH MANAGEMENT, LLC 36,483 351,000 0.97%
23 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 37,300 350,000 0.97%
24 MILLENNIUM MANAGEMENT LLC 36,670 344,000 0.95%
25 GOLDMAN SACHS GROUP INC 36,003 338,000 0.93%
26 D. E. Shaw & Co., Inc. 33,176 312,000 0.86%
27 CIBC Private Wealth Group LLC 32,100 301,000 0.83%
28 Sigma Planning Corp 29,370 276,000 0.76%
29 BARD ASSOCIATES INC 27,350 257,000 0.71%
30 ROYAL BANK OF CANADA 25,806 243,000 0.67%
31 Janney Montgomery Scott LLC 24,970 234,000 0.65%
32 SUSQUEHANNA INTERNATIONAL GROUP, LLP 23,200 218,000 0.60% Call
33 STIFEL FINANCIAL CORP 22,017 207,000 0.57%
34 Koshinski Asset Management, Inc. 21,871 205,000 0.57%
35 ACROSPIRE INVESTMENT MANAGEMENT LLC 15,720 148,000 0.41%
36 Airain ltd 15,312 144,000 0.40%
37 Hillsdale Investment Management Inc. 13,800 130,000 0.36%
38 SUSQUEHANNA INTERNATIONAL GROUP, LLP 13,600 128,000 0.35%
39 FIRST FOUNDATION ADVISORS 12,701 119,000 0.33%
40 WFG Advisors, LP 12,458 117,000 0.32%
41 Sequoia Financial Advisors, LLC 12,399 116,000 0.32%
42 MSI Financial Services Inc 12,277 115,000 0.32%
43 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,931 112,000 0.31%
44 TCI Wealth Advisors, Inc. 11,371 107,000 0.30%
45 CUE ADVISORY SERVICES, INC. 10,300 97,000 0.27%
46 CITIGROUP INC 9,988 94,000 0.26%
47 IFP ADVISORS, INC 8,000 75,000 0.21%
48 WELLS FARGO & COMPANY/MN 6,083 58,000 0.16%
49 Winslow, Evans & Crocker, Inc. 6,100 57,280 0.16%
50 D'Orazio & Associates, Inc. 5,981 56,000 0.15%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.