GLADSTONE CAPITAL CORP

Ticker: GLAD CUSIP: 376535878 Class: COM NEW

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
VAN ECK ASSOCIATES CORP445,776$9
UBS Group AG271,702$5,613
MILLENNIUM MANAGEMENT LLC219,753$4,540
TWO SIGMA INVESTMENTS, LP201,819$4,170
Legal & General Group Plc158,938$3,292
BlackRock, Inc.157,920$3,263
LPL Financial LLC132,456$2,737
MARSHALL WACE, LLP110,304$2,279
GOLDMAN SACHS GROUP INC96,940$2,003
DnB Asset Management AS77,525$1,603
Advisors Asset Management, Inc.64,909$1,341
Legacy Capital Wealth Partners, LLC60,644$1,253
D.A. DAVIDSON & CO.59,256$1,224
Trexquant Investment LP59,185$1,223
TWO SIGMA ADVISERS, LP54,429$1,125
JANE STREET GROUP, LLC53,425$1,104
MORGAN STANLEY51,318$1,060
CITADEL ADVISORS LLC47,950$991
RAYMOND JAMES FINANCIAL INC47,696$985
WELLS FARGO & COMPANY/MN40,859$844
Brevan Howard Capital Management LP39,848$823
D. E. Shaw & Co., Inc.37,951$784
Connor, Clark & Lunn Investment Management Ltd.37,778$780
Quadrature Capital Ltd36,791$760
Cetera Investment Advisers35,225$728
Ausdal Financial Partners, Inc.29,896$618
BNP PARIBAS ARBITRAGE, SA29,214$604
Virtus Investment Advisers, LLC28,401$587
BANK OF AMERICA CORP /DE/27,973$578
Hennion & Walsh Asset Management, Inc.26,694$551
Closed-End Fund Advisors, Inc.26,694$551
Kovack Advisors, Inc.24,332$503
Qube Research & Technologies Ltd23,775$491
DENALI ADVISORS LLC23,398$483
TUDOR INVESTMENT CORP ET AL20,493$423
Aquatic Capital Management LLC20,130$416
ROYAL BANK OF CANADA19,612$405
SUSQUEHANNA INTERNATIONAL GROUP, LLP17,452$361
MACKENZIE FINANCIAL CORP16,410$338
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC15,989$330
NORTHERN TRUST CORP15,504$320
Fortress Financial Solutions, LLC14,914$308
SageGuard Financial Group, LLC12,038$249
NOMURA HOLDINGS INC11,281$233
Virtu Financial LLC10,306$0
Cambridge Investment Research Advisors, Inc.10,212$0
Quantbot Technologies LP6,929$143
JPMORGAN CHASE & CO6,806$141
Sound Income Strategies, LLC6,771$143
AMERIFLEX GROUP, INC.6,512$135
OSAIC HOLDINGS, INC.5,681$117
NATIONAL BANK OF CANADA /FI/4,200$87
Ritter Daniher Financial Advisory LLC / DE3,073$63
Farther Finance Advisors, LLC2,505$52
Larson Financial Group LLC2,400$50
Pinnacle Wealth Planning Services, Inc.2,280$47
CWM, LLC1,979$0
PFS Partners, LLC1,969$41
Garner Asset Management Corp1,750$36
Allworth Financial LP1,700$35
JONES FINANCIAL COMPANIES LLLP1,619$33
WFA of San Diego, LLC1,550$32
Atlantic Union Bankshares Corp1,400$29
SIMPLEX TRADING, LLC1,317$27
COMERICA BANK1,250$26
Newbridge Financial Services Group, Inc.1,000$21
PRIVATE TRUST CO NA948$20
State of Alaska, Department of Revenue917$0
Triumph Capital Management750$15
Rockefeller Capital Management L.P.598$12
Vermillion Wealth Management, Inc.500$10
ORG Partners LLC500$10
Hilton Head Capital Partners, LLC494$10
Harbor Asset Planning, Inc.386$8
Tower Research Capital LLC (TRC)331$7
Quarry LP275$6
NOMURA ASSET MANAGEMENT CO LTD215$4
MRP Capital Investments, LLC202$4
VALLEY NATIONAL ADVISERS INC100$0
CX Institutional100$0
Key Financial Inc100$2
KERR FINANCIAL PLANNING Corp52$1
HANTZ FINANCIAL SERVICES, INC.50$0
IFP Advisors, Inc44$1
Oakworth Capital, Inc.25$1
Ronald Blue Trust, Inc.17$0
ASSETMARK, INC1$0
Total (87 institutions)3,094,411$54,253