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