Dark
Light
System
Security
GLADSTONE CAPITAL CORP
GLADSTONE CAPITAL CORP. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 68 Institutional holders with a total value of $36,272,286.
#
Manager Name
Shares
Value ($)
%
Options
Notes
51 Prospera Financial Services Inc 54,000 504,000 1.39%
52 Legal & General Group Plc 59,035 560,000 1.54%
53 DnB Asset Management AS 60,001 569,409 1.57%
54 SUSQUEHANNA INTERNATIONAL GROUP, LLP 64,400 611,000 1.68% Call
55 JPMORGAN CHASE & CO 79,500 754,000 2.08%
56 NUVEEN ASSET MANAGEMENT INC. 78,233 757,000 2.09%
57 Boston Partners 84,430 801,000 2.21%
58 UNITED CAPITAL FINANCIAL ADVISORS, LLC 96,655 917,000 2.53%
59 RAYMOND JAMES & ASSOCIATES 118,761 1,127,000 3.11%
60 TWO SIGMA INVESTMENTS, LP 158,023 1,500,000 4.14%
61 Advisors Asset Management, Inc. 160,513 1,523,000 4.20%
62 LPL Financial LLC 169,368 1,606,000 4.43%
63 MORGAN STANLEY 170,258 1,616,000 4.46%
64 TWO SIGMA ADVISERS, LP 176,809 1,678,000 4.63%
65 BlackRock Finance, Inc. 194,776 1,848,000 5.09%
66 VAN ECK ASSOCIATES CORP 195,135 1,852,000 5.11%
67 UBS Group AG 612,522 5,813,000 16.03%
68 Invesco Ltd. 767,084 7,280,000 20.07%
Page 2 of 2

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.