Purchases and Sales Made in Q3 2021 in Saratoga Investment Corp. (SAR)
This table provides information about the institutional ownership of Saratoga Investment Corp. (SAR) during Q3 2021. The information is specifically focused on institutions that hold shares of SARATOGA INVESTMENT CORP..
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Nov 15, 2021
Q3 2021
|
Morgan Stanley
New York, NY |
BUY
|
- |
31.4KNew |
$821K - $920K
|
31.4K
$747K
|
|
|
Nov 15, 2021
Q3 2021
|
Ameriprise Financial Inc
Minneapolis, MN |
BUY
|
- |
26.8KNew |
$700K - $785K
|
26.8K
$637K
|
|
|
Nov 12, 2021
Q3 2021
|
Advisory Research Inc
Chicago, IL |
BUY
|
- |
20.3KNew |
$531K - $595K
|
20.3K
$483K
|
|
|
Nov 12, 2021
Q3 2021
|
Advisors Asset Management, Inc.
Monument, CO |
BUY
|
- |
15.6K+ 13.35% |
$406K - $455K
|
132K
$3.14M
|
|
|
Nov 03, 2021
Q3 2021
|
Davidson Trust CO
|
BUY
|
- |
13KNew |
$340K - $381K
|
13K
$309K
|
|
|
Oct 28, 2021
Q3 2021
|
Ahrens Investment Partners LLC
|
BUY
|
- |
10.9KNew |
$285K - $319K
|
10.9K
$259K
|
|
|
Oct 29, 2021
Q3 2021
|
Commonwealth Equity Services, LLC
|
BUY
|
- |
9.78KNew |
$255K - $286K
|
9.78K
$232K
|
|
|
Nov 15, 2021
Q3 2021
|
David A. Siegel
Two Sigma Advisers, LP | New York, Ny
|
BUY
|
- |
9.4K+ 27.57% |
$246K - $275K
|
43.5K
$1.03M
|
|
|
Nov 15, 2021
Q3 2021
|
Lpl Financial LLC
Fort Mill, SC |
BUY
|
- |
7.84K+ 11.35% |
$205K - $229K
|
76.9K
$1.83M
|
|
|
Nov 16, 2021
Q3 2021
|
Cetera Advisors LLC
Denver, CO |
BUY
|
- |
7.49KNew |
$196K - $219K
|
7.49K
$178K
|
|
|
Nov 08, 2021
Q3 2021
|
Mackenzie Financial Corp
Toronto Ontario, A6 |
BUY
|
- |
7.06K+ 16.01% |
$184K - $207K
|
51.1K
$1.21M
|
|
|
Nov 12, 2021
Q3 2021
|
Hennion & Walsh Asset Management, Inc.
|
BUY
|
- |
6.95K+ 5.74% |
$182K - $203K
|
128K
$3.04M
|
|
|
Nov 12, 2021
Q3 2021
|
Bard Associates Inc
Chicago, IL |
BUY
|
- |
2.49K+ 28.86% |
$64.9K - $72.7K
|
11.1K
$264K
|
|
|
Nov 02, 2021
Q3 2021
|
Raymond James & Associates
St Petersburg, FL |
BUY
|
- |
1.85K+ 2.24% |
$48.2K - $54.1K
|
84.4K
$2.01M
|
|
|
Nov 15, 2021
Q3 2021
|
Royal Bank Of Canada
Toronto, A6 |
BUY
|
- |
1.76K+ 12.47% |
$46K - $51.6K
|
15.9K
$378K
|
|
|
Nov 15, 2021
Q3 2021
|
Bank Of America Corp
Charlotte, NC |
BUY
|
- |
1.53K+ 762.5% |
$39.8K - $44.6K
|
1.73K
$41K
|
|
|
Oct 13, 2021
Q3 2021
|
Fny Investment Advisers, LLC
|
BUY
|
- |
1.4KNew |
$36.5K - $40.9K
|
1.4K
$33.2K
|
|
|
Nov 15, 2021
Q3 2021
|
Northern Trust Corp
Chicago, IL |
BUY
|
- |
1.08K+ 9.38% |
$28.2K - $31.6K
|
12.6K
$299K
|
|
|
Nov 15, 2021
Q3 2021
|
Two Sigma Investments, LP
New York, NY |
BUY
|
- |
671+ 2.01% |
$17.5K - $19.6K
|
34.1K
$810K
|
|
|
Nov 15, 2021
Q3 2021
|
D.A. Davidson & Co.
|
BUY
|
- |
651+ 3.96% |
$17K - $19.1K
|
17.1K
$405K
|
|
|
Nov 15, 2021
Q3 2021
|
Tower Research Capital LLC (Trc)
New York, NY |
BUY
|
- |
533New |
$13.9K - $15.6K
|
533
$12.7K
|
|
|
Nov 12, 2021
Q3 2021
|
Rockefeller Capital Management L.P.
New York, NY |
BUY
|
- |
509+ 29.3% |
$13.3K - $14.9K
|
2.25K
$53.3K
|
|
|
Nov 12, 2021
Q3 2021
|
Carmichael Hill & Associates, Inc.
|
BUY
|
- |
215New |
$5.62K - $6.29K
|
215
$5.11K
|
|
|
Nov 02, 2021
Q3 2021
|
Financial Management Professionals, Inc.
|
BUY
|
- |
181New |
$4.73K - $5.3K
|
181
$4.3K
|
|
|
Nov 15, 2021
Q3 2021
|
Samalin Investment Counsel, LLC
Chappaqua, NY |
BUY
|
- |
151+ 3.75% |
$3.94K - $4.42K
|
4.18K
$99.2K
|
|
|
Nov 03, 2021
Q3 2021
|
Tap Consulting, LLC
|
BUY
|
- |
141+ 1.79% |
$3.68K - $4.13K
|
8.01K
$190K
|
|
|
Oct 25, 2021
Q3 2021
|
Cerity Partners LLC
New York, NY |
BUY
|
- |
72+ 0.14% |
$1.88K - $2.11K
|
53.1K
$1.26M
|
|
|
Nov 12, 2021
Q3 2021
|
Chicago Partners Investment Group LLC
|
BUY
|
- |
36+ 0.45% |
$940 - $1.05K
|
8.08K
$192K
|
|
|
Nov 12, 2021
Q3 2021
|
Tradition Wealth Management, LLC
|
BUY
|
- |
24+ 1.77% |
$627 - $702
|
1.38K
$32.8K
|
|
|
Nov 12, 2021
Q3 2021
|
Jpmorgan Chase & CO
New York, NY |
BUY
|
- |
12New |
$313 - $351
|
12
$285
|
|
|
Nov 04, 2021
Q3 2021
|
Deutsche Bank Ag\
Frankfurt Am Main, 2M |
BUY
|
- |
5+ 71.43% |
$131 - $146
|
12
$285
|
|
|
Nov 09, 2021
Q3 2021
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Nov 10, 2021
Q3 2021
|
Tfo Tdc, LLC
|
SELL
|
- |
-17Closed |
$444 - $498
|
0
$0
|
|
|
Nov 05, 2021
Q3 2021
|
Advisory Services Network, LLC
|
SELL
|
- |
-217Closed |
$5.67K - $6.35K
|
0
$0
|
|
|
Nov 10, 2021
Q3 2021
|
Mark Sheptoff Financial Planning, LLC
Glastonbury, CT |
SELL
|
- |
-400- 36.36% |
$10.4K - $11.7K
|
700
$16.6K
|
|
|
Nov 16, 2021
Q3 2021
|
National Asset Management, Inc.
Boca Raton, FL |
SELL
|
- |
-1.25K- 9.36% |
$32.7K - $36.6K
|
12.1K
$287K
|
|
|
Nov 15, 2021
Q3 2021
|
Wells Fargo & Company
San Francisco, CA |
SELL
|
- |
-1.49K- 2.14% |
$39K - $43.7K
|
68.3K
$1.62M
|
|
|
Nov 05, 2021
Q3 2021
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
SELL
|
- |
-3.44K- 7.59% |
$89.9K - $101K
|
41.9K
$995K
|
|
|
Nov 15, 2021
Q3 2021
|
Virtus ETF Advisers LLC
New York, NY |
SELL
|
- |
-4.06K- 19.67% |
$106K - $119K
|
16.6K
$394K
|
|
|
Nov 05, 2021
Q3 2021
|
Pfg Advisors
|
SELL
|
- |
-4.13K- 11.9% |
$108K - $121K
|
30.6K
$727K
|
|
|
Nov 15, 2021
Q3 2021
|
Legal & General Group PLC
London, X0 |
SELL
|
- |
-4.55K- 6.37% |
$119K - $133K
|
66.9K
$1.59M
|
|
|
Nov 15, 2021
Q3 2021
|
Putnam Investments LLC
Boston, MA |
SELL
|
- |
-11.9K- 12.1% |
$312K - $349K
|
86.8K
$2.06M
|
|
|
Nov 15, 2021
Q3 2021
|
Eagle Global Advisors LLC
Houston, TX |
SELL
|
- |
-12.2K- 63.28% |
$319K - $357K
|
7.08K
$168K
|
|
|
Nov 15, 2021
Q3 2021
|
D. E. Shaw & Co., Inc.
New York, NY |
SELL
|
- |
-13.4KClosed |
$350K - $392K
|
0
$0
|
|
|
Nov 15, 2021
Q3 2021
|
Ubs Group Ag
|
SELL
|
- |
-13.6K- 77.87% |
$356K - $399K
|
3.88K
$92.1K
|
|
|
Oct 20, 2021
Q3 2021
|
Rmb Capital Management, LLC
|
SELL
|
- |
-25.4KClosed |
$663K - $743K
|
0
$0
|