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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/15/2024 | TWO SIGMA INVESTMENTS, LP | 153,942 | $3.57 M | -34.51% | 1.18% |
| 05/15/2024 | TWO SIGMA ADVISERS, LP | 152,700 | $3.54 M | -28.28% | 1.17% |
| 05/14/2024 | ADVISORS ASSET MANAGEMENT, INC. | 126,165 | $2.93 M | 5.73% | 0.97% |
| 04/30/2024 | PRIVATE ADVISOR GROUP, LLC | 126,133 | $2.93 M | 14.30% | 0.97% |
| 04/17/2024 | HENNION & WALSH ASSET MANAGEMENT, INC. | 125,373 | $2.91 M | 1.75% | 0.96% |
| 05/15/2024 | MILLENNIUM MANAGEMENT LLC | 106,301 | $2.47 M | -52.39% | 0.81% |
| 07/01/2024 | LEGAL & GENERAL GROUP PLC | 100,844 | $2.34 M | 2.94% | 0.77% |
| 05/10/2024 | WELLS FARGO & COMPANY/MN | 99,396 | $2.31 M | 9.95% | 0.76% |
| 05/10/2024 | LPL FINANCIAL LLC | 78,835 | $1.83 M | 5.91% | 0.60% |
| 05/15/2024 | LIDO ADVISORS, LLC | 70,617 | $1.64 M | 0.00% | 0.54% |
| 05/14/2024 | TMD WEALTH MANAGEMENT, LLC | 68,227 | $1.58 M | 16.07% | 0.52% |
| 05/15/2024 | CITADEL ADVISORS LLC | 65,746 | $1.53 M | -66.17% | 0.50% |
| 05/15/2024 | AMERIPRISE FINANCIAL INC | 58,982 | $1.37 M | 24.27% | 0.45% |
| 05/14/2024 | ROCKEFELLER CAPITAL MANAGEMENT L.P. | 56,977 | $1.32 M | 100.00% | 0.44% |
| 05/15/2024 | MORGAN STANLEY | 55,976 | $1.30 M | 74.68% | 0.43% |
| 05/14/2024 | PALOGIC VALUE MANAGEMENT, L.P. | 47,680 | $1.11 M | 0.00% | 0.37% |
| 05/14/2024 | QUBE RESEARCH & TECHNOLOGIES LTD | 37,032 | $859,142 | 9.11% | 0.28% |
| 05/13/2024 | FRANKLIN RESOURCES INC | 36,023 | $835,734 | 100.00% | 0.28% |
| 05/14/2024 | JB CAPITAL PARTNERS LP | 33,847 | $785,250 | 0.00% | 0.26% |
| 04/15/2024 | NEXT LEVEL PRIVATE LLC | 31,476 | $730,251 | 0.00% | 0.24% |
| 05/15/2024 | ALPINE GLOBAL MANAGEMENT, LLC | 31,299 | $726,137 | 100.00% | 0.24% |
| 04/15/2024 | WEALTHCARE ADVISORY PARTNERS LLC | 30,602 | $709,962 | 100.00% | 0.23% |
| 04/22/2024 | RAYMOND JAMES & ASSOCIATES | 29,858 | $692,706 | -11.68% | 0.23% |
| 05/14/2024 | QUADRATURE CAPITAL LTD | 29,641 | $687,375 | -70.47% | 0.23% |
| 05/15/2024 | VIRTUS ETF ADVISERS LLC | 27,901 | $647,303 | 70.37% | 0.21% |
| 05/13/2024 | D.A. DAVIDSON & CO. | 27,072 | $628,071 | 11.91% | 0.21% |
| 05/10/2024 | CAMPBELL & CO INVESTMENT ADVISER LLC | 26,630 | $617,816 | 100.00% | 0.20% |
| 05/15/2024 | ROYAL BANK OF CANADA | 26,326 | $611,000 | 1.16% | 0.20% |
| 05/15/2024 | RMB CAPITAL MANAGEMENT, LLC | 25,000 | $580,000 | 100.00% | 0.19% |
| 05/07/2024 | PFG ADVISORS | 23,195 | $538,124 | -0.14% | 0.18% |
| 05/01/2024 | JANNEY MONTGOMERY SCOTT LLC | 22,843 | $530,000 | 21.33% | 0.18% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 22,500 | $522,000 | 188.46% | 0.17% |
| 04/29/2024 | COMMONWEALTH EQUITY SERVICES, LLC | 20,547 | $477,000 | 100.00% | 0.16% |
| 05/15/2024 | CITADEL ADVISORS LLC | 20,400 | $473,280 | 142.86% | 0.16% |
| 04/15/2024 | MCDONALD PARTNERS LLC | 20,275 | $470,385 | 0.00% | 0.16% |
| 05/13/2024 | BARD ASSOCIATES INC | 15,945 | $369,924 | 0.00% | 0.12% |
| 05/08/2024 | AVANTAX ADVISORY SERVICES, INC. | 11,393 | $264,318 | 7.88% | 0.09% |
| 05/13/2024 | ATRIA WEALTH SOLUTIONS, INC. | 11,155 | $258,796 | -4.29% | 0.09% |
| 05/13/2024 | DAVIDSON TRUST CO | 11,000 | $255,200 | 0.00% | 0.08% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 11,000 | $255,200 | -48.11% | 0.08% |
| 05/03/2024 | LARSON FINANCIAL GROUP LLC | 9,969 | $231,273 | 3.16% | 0.08% |
| 05/15/2024 | MARINER, LLC | 9,124 | $211,666 | -25.34% | 0.07% |
| 05/16/2024 | B. RILEY WEALTH ADVISORS, INC. | 9,115 | $234,244 | -2.06% | 0.07% |
| 05/15/2024 | WEDBUSH SECURITIES INC | 8,825 | $205,000 | 100.00% | 0.07% |
| 05/10/2024 | ADVISOR GROUP HOLDINGS, INC. | 7,259 | $168,405 | -13.39% | 0.06% |
| 04/16/2024 | REGISTER FINANCIAL ADVISORS LLC | 5,832 | $135,305 | 0.29% | 0.04% |
| 04/15/2024 | SUNBELT SECURITIES, INC. | 5,082 | $117,902 | 0.00% | 0.04% |
| 05/15/2024 | STEWARD PARTNERS INVESTMENT ADVISORY, LLC | 4,964 | $115,172 | -17.79% | 0.04% |
| 05/15/2024 | CITADEL ADVISORS LLC | 3,400 | $78,880 | 325.00% | 0.03% |
| 05/06/2024 | QUANTBOT TECHNOLOGIES LP | 2,788 | $64,682 | -78.09% | 0.02% |
A. During the previous two years, 101 institutional investors and hedge funds held shares of Saratoga Investment Corp.. The most heavily invested institutionals were:
TWO SIGMA INVESTMENTS, LP: 153,942
TWO SIGMA ADVISERS, LP: 152,700
Advisors Asset Management, Inc.: 126,165
Private Advisor Group, LLC: 126,133
Hennion & Walsh Asset Management, Inc.: 125,373
MILLENNIUM MANAGEMENT LLC: 106,301
A. 16.05% of Saratoga Investment Corp. stock is owned by institutional investors.
A. Institutional investors have bought a total of 2.68 M shares in the last 24 months. This purchase volume represents approximately $60.97 M in transactions.
