| Filed | As-Of/On | Form | Fullname | Fund Class | Shares | Activity | Shares Change | Shares Pct. Change | Hypothetical Old Value | Hypothetical New Value | Hypothetical Value Chg. | Hypotheticals Return |
Hypotheticals Results |
Director |
Other |
Ten Pct |
Officer |
Officer Title |
News Article |
History |
|---|
| 2009-11-18 | 2009-09-30 | 13F-HR | Jane Street Holding Llc | Institution | 153,304 | New Holding | 153,304 | 100 % | $715,930 | $699,066 | $-16,863 | -2.35 % | $-16,863 | | | | | | News Article | History of Jane Street Holding Llc Ownership Of Gladstone Investment Corp |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Amvescap Plc | Institution | 5,000 | Sold Some | -209,949 | -97.67 % | $23,500 | $22,800 | $-700 | -2.97 % | $29,393 | | | | | | News Article | History of Amvescap Plc Ownership Of Gladstone Investment Corp |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Credit Suisse First Boston | Institution | 14,570 | Sold Some | -15,165 | -51.00 % | $68,479 | $66,439 | $-2,040 | -2.97 % | $2,123 | | | | | | News Article | History of Credit Suisse First Boston Ownership Of Gladstone Investment Corp |
| 2009-11-17 | 2009-09-30 | 13F-HR | Wells Fargo And Co | Institution | 192,323 | Added More | 7,000 | 3.77 % | $903,918 | $876,993 | $-26,925 | -2.97 % | $-980 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Gladstone Investment Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | American International Group Inc | Institution | 17,878 | No Change | 0 | 0 % | $82,239 | $81,524 | $-715 | -0.86 % | $0 | | | | | | News Article | History of American International Group Inc Ownership Of Gladstone Investment Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Bridgeway Capital Management Inc | Institution | 33,400 | Added More | 21,500 | 180.67 % | $153,640 | $152,304 | $-1,336 | -0.86 % | $-860 | | | | | | News Article | History of Bridgeway Capital Management Inc Ownership Of Gladstone Investment Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Morgan Stanley | Institution | 256,935 | Added More | 197,853 | 334.87 % | $1,181,901 | $1,171,624 | $-10,277 | -0.86 % | $-7,914 | | | | | | News Article | History of Morgan Stanley Ownership Of Gladstone Investment Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Northern Trust Corp | Institution | 198,055 | Added More | 1,779 | 0.90 % | $911,053 | $903,131 | $-7,922 | -0.86 % | $-71 | | | | | | News Article | History of Northern Trust Corp Ownership Of Gladstone Investment Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Us Bancorp De | Institution | 1,602 | No Change | 0 | 0 % | $7,369 | $7,305 | $-64 | -0.86 % | $0 | | | | | | News Article | History of Us Bancorp De Ownership Of Gladstone Investment Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Weiss Multi-Strategy Advisers Llc | Institution | 11,700 | New Holding | 11,700 | 100 % | $53,820 | $53,352 | $-468 | -0.86 % | $-468 | | | | | | News Article | History of Weiss Multi-Strategy Advisers Llc Ownership Of Gladstone Investment Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wellington Management Co Llp | Institution | 2,185,245 | No Change | 0 | 0 % | $10,052,127 | $9,964,717 | $-87,410 | -0.86 % | $0 | | | | | | News Article | History of Wellington Management Co Llp Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ameriprise Financial Inc | Institution | 600 | No Change | 0 | 0 % | $2,730 | $2,736 | $6 | 0.21 % | $0 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Axa | Institution | 12,078 | Sold Some | -4,962 | -29.11 % | $54,955 | $55,076 | $121 | 0.21 % | $-50 | | | | | | News Article | History of Axa Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barclays Plc | Institution | 17,072 | New Holding | 17,072 | 100 % | $77,678 | $77,848 | $171 | 0.21 % | $171 | | | | | | News Article | History of Barclays Plc Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Gartmore Mutual Fund Capital Trust | Institution | 80 | Sold Some | -16,220 | -99.50 % | $364 | $365 | $1 | 0.21 % | $-162 | | | | | | News Article | History of Gartmore Mutual Fund Capital Trust Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Goldman Sachs Group Inc | Institution | 145,711 | Sold Some | -393 | -0.26 % | $662,985 | $664,442 | $1,457 | 0.21 % | $-4 | | | | | | News Article | History of Goldman Sachs Group Inc Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Dain Rauscher Inc | Institution | 384,807 | Sold Some | -15,251 | -3.81 % | $1,750,872 | $1,754,720 | $3,848 | 0.21 % | $-153 | | | | | | News Article | History of Rbc Dain Rauscher Inc Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Renaissance Technologies Corp | Institution | 28,201 | Added More | 8,001 | 39.60 % | $128,315 | $128,597 | $282 | 0.21 % | $80 | | | | | | News Article | History of Renaissance Technologies Corp Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Research Affiliates Llc | Institution | 14,160 | No Change | 0 | 0 % | $64,428 | $64,570 | $142 | 0.21 % | $0 | | | | | | News Article | History of Research Affiliates Llc Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Sg Americas Securities Llc | Institution | 16,549 | New Holding | 16,549 | 100 % | $75,298 | $75,463 | $165 | 0.21 % | $165 | | | | | | News Article | History of Sg Americas Securities Llc Ownership Of Gladstone Investment Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Vanguard Group Inc | Institution | 348,024 | Added More | 2,494 | 0.72 % | $1,583,509 | $1,586,989 | $3,480 | 0.21 % | $25 | | | | | | News Article | History of Vanguard Group Inc Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Barclays Global Investors Uk Holdings Ltd | Institution | 883,318 | Added More | 46,446 | 5.54 % | $4,045,596 | $4,027,930 | $-17,666 | -0.43 % | $-929 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Ing Investment Management Co | Institution | 1,900 | New Holding | 1,900 | 100 % | $8,702 | $8,664 | $-38 | -0.43 % | $-38 | | | | | | News Article | History of Ing Investment Management Co Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Legal And General Group Plc | Institution | 10,500 | No Change | 0 | 0 % | $48,090 | $47,880 | $-210 | -0.43 % | $0 | | | | | | News Article | History of Legal And General Group Plc Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Merrill Lynch And Co Inc | Institution | | Sold All | -3,800 | -100 % | | | | -0.43 % | $76 | | | | | | News Article | History of Merrill Lynch And Co Inc Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mfc Global Investment Management Usa Ltd | Institution | 24,352 | Added More | 143 | 0.59 % | $111,532 | $111,045 | $-487 | -0.43 % | $-3 | | | | | | News Article | History of Mfc Global Investment Management Usa Ltd Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Ii Inc | Institution | 772 | Added More | 56 | 7.82 % | $3,536 | $3,520 | $-15 | -0.43 % | $-1 | | | | | | News Article | History of Padco Advisors Ii Inc Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Inc | Institution | 982 | Added More | 394 | 67.00 % | $4,498 | $4,478 | $-20 | -0.43 % | $-8 | | | | | | News Article | History of Padco Advisors Inc Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Susquehanna International Group Llp | Institution | 15,822 | Added More | 8,028 | 103.00 % | $72,465 | $72,148 | $-316 | -0.43 % | $-161 | | | | | | News Article | History of Susquehanna International Group Llp Ownership Of Gladstone Investment Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Voyageur Asset Management Inc | Institution | 45,000 | No Change | 0 | 0 % | $206,100 | $205,200 | $-900 | -0.43 % | $0 | | | | | | News Article | History of Voyageur Asset Management Inc Ownership Of Gladstone Investment Corp |
| 2009-11-10 | 2009-09-30 | 13F-HR | Citigroup Inc | Institution | | Sold All | -201,465 | -100 % | | | | -7.69 % | $76,557 | | | | | | News Article | History of Citigroup Inc Ownership Of Gladstone Investment Corp |
| 2009-11-10 | 2009-09-30 | 13F-HR | Pinnacle Global Group Inc | Institution | 62,059 | Sold Some | -380 | -0.60 % | $306,571 | $282,989 | $-23,582 | -7.69 % | $144 | | | | | | News Article | History of Pinnacle Global Group Inc Ownership Of Gladstone Investment Corp |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ubs Ag | Institution | 8,971 | Added More | 5,600 | 166.12 % | $44,317 | $40,908 | $-3,409 | -7.69 % | $-2,128 | | | | | | News Article | History of Ubs Ag Ownership Of Gladstone Investment Corp |
| 2009-11-09 | 2009-09-30 | 13F-HR | Howe Barnes Capital Management Inc | Institution | 25,786 | Sold Some | -3,066 | -10.62 % | $131,766 | $117,584 | $-14,182 | -10.76 % | $1,686 | | | | | | News Article | History of Howe Barnes Capital Management Inc Ownership Of Gladstone Investment Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR/A | Baird Robert W And Co Inc | Institution | 219,572 | Sold Some | -1,036 | -0.46 % | $1,086,881 | $1,001,248 | $-85,633 | -7.87 % | $404 | | | | | | News Article | History of Baird Robert W And Co Inc Ownership Of Gladstone Investment Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Metropolitan Life Insurance Co | Institution | 22,566 | No Change | 0 | 0 % | $111,702 | $102,901 | $-8,801 | -7.87 % | $0 | | | | | | News Article | History of Metropolitan Life Insurance Co Ownership Of Gladstone Investment Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pnc Financial Services Group Inc | Institution | | Sold All | -300 | -100 % | | | | -7.87 % | $117 | | | | | | News Article | History of Pnc Financial Services Group Inc Ownership Of Gladstone Investment Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Schwab Charles Investment Management Inc | Institution | 4,200 | No Change | 0 | 0 % | $20,790 | $19,152 | $-1,638 | -7.87 % | $0 | | | | | | News Article | History of Schwab Charles Investment Management Inc Ownership Of Gladstone Investment Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Teachers Advisors Inc | Institution | 19,267 | No Change | 0 | 0 % | $95,372 | $87,858 | $-7,514 | -7.87 % | $0 | | | | | | News Article | History of Teachers Advisors Inc Ownership Of Gladstone Investment Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Tiaa Cref Investment Management Llc | Institution | 143,266 | No Change | 0 | 0 % | $709,167 | $653,293 | $-55,874 | -7.87 % | $0 | | | | | | News Article | History of Tiaa Cref Investment Management Llc Ownership Of Gladstone Investment Corp |
| 2009-11-04 | 2009-09-30 | 13F-HR | Geewax Plus Partners Llc | Institution | | Sold All | -11,566 | -100 % | | | | -5.97 % | $3,354 | | | | | | News Article | History of Geewax Plus Partners Llc Ownership Of Gladstone Investment Corp |
| 2009-10-28 | 2009-09-30 | 13F-HR | Davenport And Co Llc | Institution | 405,843 | New Holding | 405,843 | 100 % | $2,008,923 | $1,850,644 | $-158,279 | -7.87 % | $-158,279 | | | | | | News Article | History of Davenport And Co Llc Ownership Of Gladstone Investment Corp |
| 2009-10-26 | 2009-06-30 | 13F-HR/A | Ameriprise Financial Inc | Institution | 600 | No Change | 0 | 0 % | $2,964 | $2,736 | $-228 | -7.69 % | $0 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Gladstone Investment Corp |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Inc | No Data | | Sold All | -1,700 | -100 % | | | | -9.34 % | $799 | | | | | | News Article | History of Blackrock Inc Ownership Of Gladstone Investment Corp |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Investment Management Llc | Institution | 33,320 | Sold Some | -1,943 | -5.51 % | $167,600 | $151,939 | $-15,660 | -9.34 % | $913 | | | | | | News Article | History of Blackrock Investment Management Llc Ownership Of Gladstone Investment Corp |
| 2009-10-21 | 2009-09-30 | 13F-HR | Bank Of New York Mellon Corp | Institution | 52,391 | Sold Some | -15,146 | -22.42 % | $257,240 | $238,903 | $-18,337 | -7.12 % | $5,301 | | | | | | News Article | History of Bank Of New York Mellon Corp Ownership Of Gladstone Investment Corp |
| 2009-10-21 | 2009-09-30 | 13F-HR | State Board Of Administration Of Florida Retirement System | Institution | 14,986 | New Holding | 14,986 | 100 % | $73,581 | $68,336 | $-5,245 | -7.12 % | $-5,245 | | | | | | News Article | History of State Board Of Administration Of Florida Retirement System Ownership Of Gladstone Investment Corp |
| 2009-10-19 | 2009-09-30 | 13F-HR | Confluence Investment Management Llc | Institution | 183,333 | No Change | 0 | 0 % | $911,165 | $835,998 | $-75,167 | -8.24 % | $0 | | | | | | News Article | History of Confluence Investment Management Llc Ownership Of Gladstone Investment Corp |
| 2009-10-19 | 2009-09-30 | 13F-HR | Strs Ohio | Institution | 23,000 | No Change | 0 | 0 % | $114,310 | $104,880 | $-9,430 | -8.24 % | $0 | | | | | | News Article | History of Strs Ohio Ownership Of Gladstone Investment Corp |
| 2009-10-16 | 2009-09-30 | 13F-HR | Trust Co Of Vermont | Institution | 2,932 | No Change | 0 | 0 % | $14,660 | $13,370 | $-1,290 | -8.80 % | $0 | | | | | | News Article | History of Trust Co Of Vermont Ownership Of Gladstone Investment Corp |
| 2009-10-15 | 2009-09-30 | 13F-HR | Public Employees Retirement System Of Ohio | Institution | 26,937 | No Change | 0 | 0 % | $135,224 | $122,833 | $-12,391 | -9.16 % | $0 | | | | | | News Article | History of Public Employees Retirement System Of Ohio Ownership Of Gladstone Investment Corp |
| 2009-10-08 | 2009-09-30 | 13F-HR | Rhumbline Advisers | Institution | 44,310 | Sold Some | -2,600 | -5.54 % | $224,209 | $202,054 | $-22,155 | -9.88 % | $1,300 | | | | | | News Article | History of Rhumbline Advisers Ownership Of Gladstone Investment Corp |
| 2009-09-17 | 2009-07-31 | N-Q | Rydex Etf Trust - Rydex Inverse Russell 2000 Etf | Specialty & Misc | 470 | New Holding | 470 | 100 % | $2,463 | $2,143 | $-320 | -12.97 % | $-320 | | | | | | News Article | History of Rydex Etf Trust - Rydex Inverse Russell 2000 Etf Ownership Of Gladstone Investment Corp |
| 2009-09-11 | 2009-06-30 | 13F-HR/A | Barclays Global Investors Uk Holdings Ltd | Institution | 836,872 | Added More | 206,913 | 32.84 % | $4,016,986 | $3,816,136 | $-200,849 | -5.00 % | $-49,659 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Gladstone Investment Corp |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Amvescap Plc | Institution | 214,949 | Sold Some | -32,961 | -13.29 % | $1,031,755 | $980,167 | $-51,588 | -5.00 % | $7,911 | | | | | | News Article | History of Amvescap Plc Ownership Of Gladstone Investment Corp |
| 2009-08-28 | 2009-06-30 | 13F-HR/A | Wells Fargo And Co | Institution | 185,323 | Added More | 660 | 0.35 % | $935,881 | $845,073 | $-90,808 | -9.70 % | $-323 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Gladstone Investment Corp |
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Note: All amounts are based on price of stock at date reported versus the current price! They do not represent actual profit/loss! There has been no adjustmentsfor splits! |
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