GLADSTONE INVT CORP

Ticker: GAIN CUSIP: 376546107 Class: COM

Regal Investment Advisors LLC's Holding History (CIK: 0001559789)

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

Q3 2014

Shares 800 Value ($000) $6 Avg Close $2.33 Range $2.23 - $2.42

Q2 2014

Shares 800 Value ($000) $6 Avg Close $2.36 Range $2.23 - $2.52

Q1 2014

Shares 800 Value ($000) $7 Avg Close $2.40 Range $2.18 - $2.52

Q4 2013

Shares 800 Value ($000) $6 Avg Close $2.14 Range $1.94 - $2.37

Q3 2013

Shares 800 Value ($000) $6 Avg Close $2.03 Range $1.92 - $2.13

Q2 2013

Shares 800 Value ($000) $6 Avg Close $2.02 Range $1.93 - $2.08

Period	Shares	Value ($000)	Average Close	Price Range
Q3 2014	800	$6	$2.33	$2.23 - $2.42
Q2 2014	800	$6	$2.36	$2.23 - $2.52
Q1 2014	800	$7	$2.40	$2.18 - $2.52
Q4 2013	800	$6	$2.14	$1.94 - $2.37
Q3 2013	800	$6	$2.03	$1.92 - $2.13
Q2 2013	800	$6	$2.02	$1.93 - $2.08