What does CUSIP 376546107 represent in this 13F holders report?

CUSIP 376546107 is the security identifier for GAIN - GLADSTONE INVESTMENT CORPORATION\DE - COM used to aggregate holder disclosures.

How many institutions held GAIN - GLADSTONE INVESTMENT CORPORATION\DE - COM in Q3 2020?

65 institutional investors reported GAIN - GLADSTONE INVESTMENT CORPORATION\DE - COM for Q3 2020. Use the holders table for investor-level position and value details.

GLADSTONE INVESTMENT CORPORATION\DE - COM (GAIN)

CUSIP: 376546107

Q3 2020 13F Holders as of 30 Sep 2020

Security type / class: Equity / COM
Total 13F shares: 4,092,080
Total 13F value: $37,245,865
Share change: -229,593
Put/Call ratio: 25%
SEC-reported price per share: $9.10
Number of holders: 65
Value change: -$2,407,914
Number of buys: 30
Number of sells: 36

Security key

376546107

Report period

Q3 2020

Institutions

Top holders

GAIN full security history Ownership snapshot Full 13F holder table GLADSTONE INVESTMENT CORPORATION\DE SEC filings GLADSTONE INVESTMENT CORPORATION\DE company facts

Broader feeds

Latest 13F filings Latest 13D/G filings Investors directory

Ownership snapshot

Top reported holders of GAIN - GLADSTONE INVESTMENT CORPORATION\DE - COM (13F + 13D/G + 3/4/5)

Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.

Comparable stake leader

VAN ECK ASSOCIATES CORP

Disclosed value leader

VAN ECK ASSOCIATES CORP

Comparable rows

0/15

Latest evidence

30 Jun 2020

13F Highest disclosed value: $4,479,000 15 rows are not safely comparable across share classes. Showing 1-6 of 15 holder rows.

Quick read

VAN ECK ASSOCIATES CORP has the largest disclosed position value at $4.48M.

0 of 15 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.

Open SEC evidence Opens VAN ECK ASSOCIATES CORP's linked filing trail.

Disclosed position value Top 5

VAN ECK ASSOCIATES CORP $4.48M

DAVENPORT & Co LLC $2.8M

Advisors Asset Management, Inc. $2.35M

Legal & General Group Plc $2.2M

TWO SIGMA ADVISERS, LP $2.06M

Value bars compare disclosed positions; verify each figure against the linked filing evidence.

Detailed SEC evidence table Showing 1-6 of 15 holder rows

Holder	Evidence	Ownership %	Position	12M Net Δ	As of
VAN ECK ASSOCIATES CORP	13F Company 13F	— class O/S missing	$4,479,000 437,447 shares	—	30 Jun 2020
DAVENPORT & Co LLC	13F Company 13F	— class O/S missing	$2,800,000 273,471 shares	—	30 Jun 2020
Advisors Asset Management, Inc.	13F Company 13F	— class O/S missing	$2,352,108 229,698 shares	—	30 Jun 2020
Legal & General Group Plc	13F Company 13F	— class O/S missing	$2,203,000 215,385 shares	—	30 Jun 2020
TWO SIGMA ADVISERS, LP	13F Company 13F	— class O/S missing	$2,063,000 201,442 shares	—	30 Jun 2020
OSAIC HOLDINGS, INC.	13F Company 13F	— class O/S missing	$2,051,000 200,336 shares	—	30 Jun 2020

How to read this table

Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.

13F holder rows

Institutional holders as of Q3 2020

Investor-level positions for this CUSIP, loaded as an interactive table.

Institutions

4,092,080

Rows available

Investor	Option	Weight %	Change %	SEC-reported value	* Price	Shares	Share Change	Activity	Report Period

^* SEC-reported price is the security price as of the portfolio date and can indicate the last known price at which the security was still held. The marker flags a reported price that did not pass the local price check.

Compare Q3 2020 vs Q2 2020 Across Filers

Q2 2020 holders

Q3 2020 holders

Holder diff

Investor	Q2 2020 Shares	Q3 2020 Shares	Share Diff	Share Chg %	Q2 2020 value	Q3 2020 value	Value change	Value Chg %