Fundies. English
Insider transactions
EDGARGLADSTONE CAPITAL CORP
Transactions reported by directors, officers and 10% owners on SEC Forms 3, 4 and 5, read from each filing’s XML. Codes and their wording are the SEC’s own.
A Form 4 is due within two business days of the transaction, so the most recent trades may not be filed yet.
Window: transactions dated on or after 2025-11-15.
- Open-market purchases (code P)
- 1 transactions, 496 shares
- Sum of shares × price per share: 9,998.864
- Open-market sales (code S)
- 0 transactions, — shares
Totals add the filed transactions listed; they are counts of what was reported, not a measure of direction.
Showing 1–1 of 1
| Date | Reporting owner | Code | Acquired or disposed | Shares | Price per share, as filed | Value (derived) | Shares owned after | Direct or indirect | Rule 10b5-1 box | Notes | Source |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2025-11-20 Filed 2025-11-21 | Schaltenbrand Nicole Frances Dubas Officer: CFO and Treasurer | POpen market or private purchase of non-derivative or derivative security | Acquired (A) | 496 | 20.159 | 9,998.864Derived: shares × price per share. Exact value 9998.864. | 3,095 | Direct (D) | No | — | Open filing 0001669323-25-000003 Read from the filing’s XML Dispute this row |
Institutional holders (Form 13F)
Quarter ending 2026-09-30: 7,211 filings read, the latest filed 2026-11-13. Prior quarter ending 2026-06-30: 9,150 filings read.
Showing 1–50 of 80
| Manager | Shares or principal | Value as filed | Change from the prior quarter | Source |
|---|---|---|---|---|
| Context Capital Management, LLC | 16,400,000 PRN | 15,821,900 dollars | Unchanged Prior quarter: 16,400,000 | Open filing 0001301396-26-000010 Filed 2026-11-04 Dispute this row |
| Nuveen, LLC Partly reported under another manager | 6,071,000 PRN | 5,834,231 dollars | Lower by 1,610,000 Prior quarter: 7,681,000 | Open filing 0000930413-26-003284 Filed 2026-11-10 Dispute this row |
| Walleye Capital LLC | 6,000,000 PRN | 5,788,500 dollars | Unchanged Prior quarter: 6,000,000 | Open filing 0001758720-26-000007 Filed 2026-11-13 Dispute this row |
| INCOME RESEARCH MANAGEMENT | 4,830,000 SH | 4,641,630 dollars | Unchanged Prior quarter: 4,830,000 | Open filing 0001214659-26-013106 Filed 2026-10-21 Dispute this row |
| Russell Investments Group, Ltd. Partly reported under another manager | 4,439,000 PRN | 4,406,744 dollars | Higher by 758,000 Prior quarter: 3,681,000 | Open filing 0001193125-26-451241 Filed 2026-11-06 Dispute this row |
| WOLVERINE ASSET MANAGEMENT LLC Partly reported under another manager | 3,250,000 PRN | 3,124,032 dollars | Unchanged Prior quarter: 3,250,000 | Open filing 0001279891-26-000016 Filed 2026-11-02 Dispute this row |
| VAN ECK ASSOCIATES CORP | 403,932 SH | 7,767,612 dollars | Lower by 52,295 Prior quarter: 456,227 | Open filing 0000869178-26-000119 Filed 2026-11-13 Dispute this row |
| UBS Group AG Partly reported under another manager | 380,500 SH | 7,317,015 dollars | Higher by 93,637 Prior quarter: 286,863 | Open filing 0001610520-26-000121 Filed 2026-11-10 Dispute this row |
| B. Riley Wealth Advisors, Inc. | 225,027 SH | 4,327,273 dollars | Higher by 89,446 Prior quarter: 135,581 | Open filing 0001464811-26-000010 Filed 2026-10-13 Dispute this row |
| LPL Financial LLC | 119,635 SH | 2,300,580 dollars | Lower by 2,004 Prior quarter: 121,639 | Open filing 0001403438-26-000005 Filed 2026-11-06 Dispute this row |
| MORGAN STANLEY Partly reported under another manager | 103,988 SH | 1,999,717 dollars | Lower by 4,986 Prior quarter: 108,974 | Open filing 0000895421-26-000309 Filed 2026-11-13 Dispute this row |
| Legacy Capital Wealth Partners, LLC | 93,018 SH | 1,788,745 dollars | Higher by 3,906 Prior quarter: 89,112 | Open filing 0001951757-26-001727 Filed 2026-10-21 Dispute this row |
| Advisors Asset Management, Inc. | 82,977 SH | 1,595,648 dollars | Higher by 9,197 Prior quarter: 73,780 | Open filing 0002000324-26-006103 Filed 2026-11-10 Dispute this row |
| BlackRock, Inc. Partly reported under another manager | 79,024 SH | 1,519,632 dollars | Lower by 6,498 Prior quarter: 85,522 | Open filing 0002012383-26-003985 Filed 2026-11-13 Dispute this row |
| RAYMOND JAMES FINANCIAL INC Partly reported under another manager | 70,000 PRN | 67,270 dollars | Higher by 10,000 Prior quarter: 60,000 | Open filing 0000720005-26-000081 Filed 2026-11-12 Dispute this row |
| DNB ASSET MANAGEMENT AS | 63,933 SH | 1,230,071 dollars | Unchanged Prior quarter: 63,933 | Open filing 0000912282-26-001448 Filed 2026-11-12 Dispute this row |
| STIFEL FINANCIAL CORP Partly reported under another manager | 62,465 PRN | 62,465 dollars | Lower by 25 Prior quarter: 62,490 | Open filing 0000720672-26-000017 Filed 2026-11-12 Dispute this row |
| Miller Global Investments, LLC Partly reported under another manager | 48,139 SH | 925,713 dollars | Higher by 32,136 Prior quarter: 16,003 | Open filing 0002099097-26-000004 Filed 2026-10-02 Dispute this row |
| Hennion Walsh Asset Management, Inc. | 44,253 SH | 850,985 dollars | Higher by 12,072 Prior quarter: 32,181 | Open filing 0002000324-26-005579 Filed 2026-10-13 Dispute this row |
| RAYMOND JAMES FINANCIAL INC Partly reported under another manager | 44,177 SH | 849,526 dollars | Lower by 660 Prior quarter: 44,837 | Open filing 0000720005-26-000081 Filed 2026-11-12 Dispute this row |
| JANE STREET GROUP, LLC Partly reported under another manager | 40,930 SH | 787,084 dollars | Lower by 1,344 Prior quarter: 42,274 | Open filing 0001595888-26-000162 Filed 2026-11-12 Dispute this row |
| BEARING POINT CAPITAL, LLC | 40,000 SH | 769,200 dollars | Higher by 3,000 Prior quarter: 37,000 | Open filing 0001765380-26-000492 Filed 2026-11-13 Dispute this row |
| North Ground Capital | 35,017 SH | 673,377 dollars | Lower by 70,263 Prior quarter: 105,280 | Open filing 0001420506-26-002694 Filed 2026-11-13 Dispute this row |
| JPMORGAN CHASE CO Partly reported under another manager | 29,867 SH | 580,316 dollars | Higher by 26,941 Prior quarter: 2,926 | Open filing 0000019617-26-000404 Filed 2026-11-12 Dispute this row |
| BNP PARIBAS FINANCIAL MARKETS Partly reported under another manager | 29,469 SH | 566,689 dollars | Higher by 6,779 Prior quarter: 22,690 | Open filing 0001166588-26-000012 Filed 2026-11-12 Dispute this row |
| Cetera Investment Advisers | 28,017 SH | 538,779 dollars | Lower by 884 Prior quarter: 28,901 | Open filing 0001666741-26-000005 Filed 2026-11-13 Dispute this row |
| Kovack Advisors, Inc. | 26,440 SH | 513,200 dollars | Higher by 770 Prior quarter: 25,670 | Open filing 0001728321-26-000006 Filed 2026-11-13 Dispute this row |
| D.A. DAVIDSON CO. Partly reported under another manager | 26,283 SH | 505,436 dollars | Lower by 464 Prior quarter: 26,747 | Open filing 0001080107-26-000007 Filed 2026-10-28 Dispute this row |
| BERTHEL, FISHER COMPANY FINANCIAL SERVICES, INC. | 24,904 SH | 478,904 dollars | Lower by 3,100 Prior quarter: 28,004 | Open filing 0001420506-26-002641 Filed 2026-11-13 Dispute this row |
| OSAIC HOLDINGS, INC. Partly reported under another manager | 24,208 SH | 465,645 dollars | Higher by 1,158 Prior quarter: 23,050 | Open filing 0001677044-26-000011 Filed 2026-11-12 Dispute this row |
| Campbell CO Investment Adviser LLC | 24,044 SH | 462,366 dollars | Lower by 15,182 Prior quarter: 39,226 | Open filing 0001140361-26-043564 Filed 2026-11-13 Dispute this row |
| Virtus Investment Advisers, LLC Partly reported under another manager | 19,501 SH | 375,004 dollars | Lower by 476 Prior quarter: 19,977 | Open filing 0000019481-26-000011 Filed 2026-11-12 Dispute this row |
| DENALI ADVISORS LLC | 18,962 SH | 364,639 dollars | Lower by 1,133 Prior quarter: 20,095 | Open filing 0001398344-26-019999 Filed 2026-11-13 Dispute this row |
| Shulman DeMeo Asset Management LLC | 17,088 SH | 326,716 dollars | Lower by 308 Prior quarter: 17,396 | Open filing 0001085146-26-000852 Filed 2026-10-09 Dispute this row |
| MACKENZIE FINANCIAL CORP | 16,410 SH | 315,564 dollars | Unchanged Prior quarter: 16,410 | Open filing 0001062993-26-005652 Filed 2026-11-02 Dispute this row |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Partly reported under another manager | 15,989 SH | 310,346 dollars | Unchanged Prior quarter: 15,989 | Open filing 0001420506-26-002445 Filed 2026-11-02 Dispute this row |
| LANARK FINANCIAL, INC. | 14,000 SH | 13,454 dollars | Higher by 4,000 Prior quarter: 10,000 | Open filing 0000791540-26-000020 Filed 2026-10-26 Dispute this row |
| Goldstein Advisors, LLC | 14,000 PRN | 13,431 dollars | Not in the prior quarter’s filings read | Open filing 0001172661-26-004554 Filed 2026-10-15 Dispute this row |
| IMC-Chicago, LLC Option: Call | 14,000 SH | 269,220 dollars | Higher by 3,500 Prior quarter: 10,500 | Open filing 0001452861-26-000007 Filed 2026-11-05 Dispute this row |
| Fortress Financial Solutions, LLC | 13,675 SH | 262,961 dollars | Not in the prior quarter’s filings read | Open filing 0002039501-26-000011 Filed 2026-10-14 Dispute this row |
| EAGLE GLOBAL ADVISORS LLC | 12,455 SH | 239,510 dollars | Higher by 100 Prior quarter: 12,355 | Open filing 0001172661-26-004806 Filed 2026-11-02 Dispute this row |
| JANE STREET GROUP, LLC Option: Call Partly reported under another manager | 12,300 SH | 236,529 dollars | Not in the prior quarter’s filings read | Open filing 0001595888-26-000162 Filed 2026-11-12 Dispute this row |
| JANE STREET GROUP, LLC Option: Put Partly reported under another manager | 10,900 SH | 209,607 dollars | Higher by 300 Prior quarter: 10,600 | Open filing 0001595888-26-000162 Filed 2026-11-12 Dispute this row |
| Bank of Ann Arbor Partly reported under another manager | 7,541 SH | 145,013 dollars | Not in the prior quarter’s filings read | Open filing 0002140988-26-000002 Filed 2026-11-13 Dispute this row |
| SIMPLEX TRADING, LLC Option: Call | 7,500 SH | 144,225 dollars | Higher by 1,100 Prior quarter: 6,400 | Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row |
| Centiva Capital, LP | 6,250 PRN | 602,969 dollars | Unchanged Prior quarter: 6,250 | Open filing 0001172661-26-005016 Filed 2026-11-13 Dispute this row |
| AMERIFLEX GROUP, INC. | 4,760 SH | 91,539 dollars | Lower by 1,450 Prior quarter: 6,210 | Open filing 0002057637-26-000005 Filed 2026-11-13 Dispute this row |
| LAFFER TENGLER INVESTMENTS, INC. | 3,115 PRN | 2,993,515 dollars | Not in the prior quarter’s filings read | Open filing 0001172661-26-005014 Filed 2026-11-13 Dispute this row |
| Farther Finance Advisors, LLC | 2,771 SH | 53,286 dollars | Lower by 952 Prior quarter: 3,723 | Open filing 0001992825-26-000006 Filed 2026-10-08 Dispute this row |
| BFC Planning, Inc. | 2,674 SH | 51,416 dollars | Lower by 2,822 Prior quarter: 5,496 | Open filing 0001420506-26-002645 Filed 2026-11-13 Dispute this row |
Managers in the prior quarter with no filing read for the latest
They may simply not have filed yet: absent from the latest quarter’s filings read is not the same as a position sold.
- Radcliffe Capital Management, L.P. 21,400,000 PRN
- Linden Advisors LP 12,130,000 PRN
- HBK INVESTMENTS L P 9,500,000 PRN
- OAKTREE CAPITAL MANAGEMENT LP 4,999,000 PRN
- MILLENNIUM MANAGEMENT LLC 3,270,000 PRN
- WELLS FARGO COMPANY/MN 1,000,000 PRN
- CSS LLC/IL 500,000 PRN
- Legal General Group Plc 182,091 SH
- TWO SIGMA INVESTMENTS, LP 162,633 SH
- PARTNERS 145,000 SH
- MILLENNIUM MANAGEMENT LLC 97,486 SH
- ROYAL BANK OF CANADA 86,000 PRN
- BANK OF AMERICA CORP /DE/ 74,881 SH
- Schonfeld Strategic Advisors LLC 59,135 SH
- Beacon Pointe Advisors, LLC 53,457 SH
- WELLS FARGO COMPANY/MN 51,399 SH
- SUSQUEHANNA INTERNATIONAL GROUP, LLP 41,700 SH
- SUSQUEHANNA INTERNATIONAL GROUP, LLP 33,300 SH
- CITADEL ADVISORS LLC 32,600 SH
- PDT Partners, LLC 32,116 SH
- Trexquant Investment LP 27,234 SH
- GOLDMAN SACHS GROUP INC 24,859 SH
- Ausdal Financial Partners, Inc. 24,288 SH
- ROYAL BANK OF CANADA 19,923 SH
- IMC-Chicago, LLC 18,016 SH
- Brevan Howard Capital Management LP 14,768 SH
- IMC-Chicago, LLC 13,000 SH
- NATIONAL BANK OF CANADA /FI/ 4,200 SH
- MERCER GLOBAL ADVISORS INC /ADV 3,948 SH
- Ritter Daniher Financial Advisory LLC / DE 3,222 SH
- LAFFER TENGLER INVESTMENTS, INC. 2,453 SH
- JONES FINANCIAL COMPANIES LLLP 1,193 SH
- Integrated Wealth Concepts LLC 500 SH
- Vermillion Wealth Management, Inc. 500 SH
- Caitong International Asset Management Co., Ltd 339 SH
- MRP Capital Investments, LLC 202 SH
- Caitlin John, LLC 200 SH
- MONETA GROUP INVESTMENT ADVISORS LLC 149 PRN
- UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 136 SH
- VALLEY NATIONAL ADVISERS INC 100 SH
- KERR FINANCIAL PLANNING Corp 55 SH
- IFP Advisors, Inc 46 SH
- HUNTINGTON NATIONAL BANK 1 SH
- Form 13F covers long positions in Section 13(f) securities only: no short positions and no securities outside that list.
- A manager that has not yet filed for the latest quarter is absent, not at zero; filings are due up to 45 days after quarter end.
- A change is the difference between two quarter-end snapshots, not a trade.
- A position reported under another manager may also appear in that manager’s filing; rows are not added together.
- Holdings the securities list cannot place with this company, or places ambiguously, are not shown.
5% holders (Schedule 13D and 13G)
Schedules filed in the SEC’s structured format (late 2024 onward) are read here. Earlier schedules are free text and are not read.
No Schedule 13D or 13G naming this issuer is in the store; this is not a statement that none were filed.
What was read
2,028,787 filings read, dated 2004-06-14 to 2026-11-13: Forms 3, 3/A, 4, 4/A, 5, 5/A.
Years can be incomplete while the archive is still being read. A year with few filings here is not a statement that few were made.
| Filing year | Filings read |
|---|---|
| 2015 | 1 |
| 2016 | 204,322 |
| 2017 | 202,494 |
| 2018 | 202,048 |
| 2019 | 193,638 |
| 2020 | 144,184 |
| 2021 | 224,474 |
| 2022 | 40,015 |
| 2023 | 199,811 |
| 2024 | 122,476 |
| 2025 | 235,520 |
| 2026 | 254,026 |
Filings made before the SEC required XML are listed, not extracted.