13F-HR filed by Gladstone Institutional Advisory LLC
Gladstone Institutional Advisory LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 544 holding rows worth $1,023,827,000.
- Accession
- 0001172661-21-002361
- Filer
- CIK 1766530
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 544 entries on the cover page, a total value of $1,023,827,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,023,827,000 with VALUE read as thousands by filing date, 13F file number 028-19151. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 42,678 | $211,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 3,303 | $206,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 2,642 | $206,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 1,722 | $205,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 6,870 | $204,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 4,065 | $204,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 3,923 | $203,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 1,352 | $202,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 1,845 | $202,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 1,353 | $202,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 12,625 | $198,000 | thousands by filing date | |
| OWLET INC | 69120X107 | COM | 31,600 | $177,000 | thousands by filing date | |
| GINKGO BIOWORKS HOLDINGS INC WT EXP 091626 | 37611X118 | Stock | 48,776 | $165,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 13,754 | $161,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 12,775 | $161,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 53,500 | $131,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 14,000 | $130,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 23,513 | $125,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,010 | $120,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 16,550 | $119,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 12,000 | $117,000 | thousands by filing date | |
| ATERIAN INC | 02156U101 | COM | 10,734 | $116,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 16,670 | $115,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 52,000 | $107,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 22,900 | $102,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 18,000 | $102,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 10,000 | $96,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 10,856 | $91,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 12,363 | $78,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 13,500 | $70,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 13,250 | $65,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 10,687 | $65,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 11,336 | $61,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 10,238 | $56,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 12,170 | $56,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 11,122 | $41,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 10,940 | $35,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 53,532 | $28,000 | thousands by filing date | |
| SOCIAL LEVERAGE ACQUISN CORP | 83363K110 | WARR | 27,020 | $22,000 | thousands by filing date | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 17,000 | $20,000 | thousands by filing date | principal |
| SAVARA INC | 805111101 | COM | 14,000 | $19,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 19,000 | $18,000 | thousands by filing date | principal |
| GLOBALSTAR INC | 378973408 | COM | 10,000 | $17,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 17,000 | $17,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-21-002361 | this filing | 2021-11-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001172661-23-000332 | base | 2023-01-30 | acceptance time not in the bulk data set |