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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Gladstone Investment Corporation
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| August 12, 2025 |
Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2025 Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2025 MCLEAN, VA, August 12, 2025: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its first fiscal quarter ended June 30, 2025. |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 81 |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 7, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| July 10, 2025 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for July, August and September 2025, and Earnings Release and Conference Call Dates for the First Fiscal Quarter MCLEAN, Va., July 10, 2025 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to common stockholders. The C |
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| July 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 10, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| June 20, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| June 3, 2025 |
Exhibit 1.4 GLADSTONE INVESTMENT CORPORATION Up to $75,000,000 Shares of Common Stock SALES AGREEMENT June 2, 2025 M&T Securities, Inc. 1 Light Street Baltimore, Maryland 21202 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized under the laws of Delaware (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “ |
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| June 3, 2025 |
Up to $75,000,000 Common Stock 424B3 Filed pursuant to Rule 424(b)(3) Registration Statement No. 333-277452 Supplement dated June 2, 2025 To Prospectus Supplement dated May 14, 2024 (To Prospectus Dated April 18, 2024) Up to $75,000,000 Common Stock This supplement is being filed to update, amend and supplement information in that certain prospectus supplement, dated May 14, 2024, relating to the offer and sale of shares of our |
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| June 3, 2025 |
Exhibit 1.1 Gladstone Investment Corporation FIRST AMENDMENT TO SALES AGREEMENT FIRST AMENDMENT TO SALES AGREEMENT, dated as of June 2, 2025 (this “First Amendment”), by and among Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Adviser”), and Gladstone Administration, LLC, a |
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| June 3, 2025 |
Exhibit 1.3 Gladstone Investment Corporation FIRST AMENDMENT TO SALES AGREEMENT FIRST AMENDMENT TO SALES AGREEMENT, dated as of June 2, 2025 (this “First Amendment”), by and among Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Adviser”), and Gladstone Administration, LLC, a |
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| June 3, 2025 |
Exhibit 1.2 Gladstone Investment Corporation FIRST AMENDMENT TO SALES AGREEMENT FIRST AMENDMENT TO SALES AGREEMENT, dated as of June 2, 2025 (this “First Amendment”), by and among Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Adviser”), and Gladstone Administration, LLC, a |
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| June 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2025 (June 2, 2025) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorpora |
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| May 13, 2025 |
Gladstone Investment Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended March 31, 2025 MCLEAN, VA, May 13, 2025: Gladstone Investment Corporation (Nasdaq: GAIN) (the "Company") today announced earnings for its fourth quarter and fiscal year ended March 31, 2025. |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| May 13, 2025 |
EXHIBIT 97.1 Gladstone Investment Corporation Compensation Recoupment Policy 1. Purpose. The purpose of this Compensation Recoupment Policy of the Company (as amended from time to time, the “Policy”), dated as of October 10, 2023 (the “Adoption Date”) is to describe the circumstances in which current and former Executive Officers will be required to repay or return Erroneously Awarded Compensation |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00704 |
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| May 13, 2025 |
EXECUTION VERSION AMENDMENT NO. 11 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT THIS AMENDMENT NO. 11 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) dated as of February 24, 2025, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), the Managing Agents party hereto, the Joint Lea |
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| May 13, 2025 |
EXHIBIT 4.7 DESCRIPTION OF SECURITIES (a) Common Stock, $0.001 par value per share All shares of our common stock have equal rights as to earnings, assets, dividends and voting and are duly authorized, validly issued, fully paid and nonassessable. Shares of our common stock have no preemptive, exchange, conversion or redemption rights and are freely transferable, except where their transfer is res |
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| May 13, 2025 |
1 Code of Ethics and Business Conduct For Gladstone Capital Corporation Gladstone Commercial Corporation Gladstone Investment Corporation Gladstone Land Corporation Gladstone Alternative Income Fund Gladstone Management Corporation Gladstone Administration LLC Gladstone Securities, LLC and their subsidiaries (UPDATED OCTOBER 8, 2024) I. |
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| May 13, 2025 |
Subsidiaries of the Registrant EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Investment, LLC (organized in Delaware) Edge Adhesives Holdings, Inc. (organized in Delaware) |
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| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 8, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| April 8, 2025 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for April, May and June 2025, a Supplemental Distribution to Common Stockholders, and Earnings Release and Conference Call Dates for the Fourth Fiscal Quarter MCLEAN, Va., April 8, 2025 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly ca |
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| February 12, 2025 |
Gladstone Investment Corporation Reports Financial Results for its Third Quarter Ended December 31, 2024 MCLEAN, VA, February 12, 2025: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its third fiscal quarter ended December 31, 2024. |
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| February 12, 2025 |
EXECUTION VERSION AMENDMENT NO. 10 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT THIS AMENDMENT NO. 10 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) dated as of February 10, 2025, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), the Managing Agents party hereto, the Joint Lea |
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| February 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number |
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| February 12, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| January 24, 2025 |
Exhibit 10.1 INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN GLADSTONE INVESTMENT CORPORATION AND GLADSTONE MANAGEMENT CORPORATION AGREEMENT made this 24 day of January 2025, by and between Gladstone Investment Corporation, a Delaware corporation (the “Corporation”), and Gladstone Management Corporation, a Delaware corporation (the “Adviser”). WHEREAS, the Corporation is a closed-end manageme |
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| January 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| January 14, 2025 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for January, February and March 2025, and Earnings Release and Conference Call Dates for the Third Fiscal Quarter MCLEAN, Va., January 14, 2025 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to common stockholders. T |
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| January 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 14, 2025 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| December 17, 2024 |
Exhibit 4.1 FIFTH SUPPLEMENTAL INDENTURE between GLADSTONE INVESTMENT CORPORATION and UMB BANK, NATIONAL ASSOCIATION, as Trustee Dated as of December 17, 2024 THIS FIFTH SUPPLEMENTAL INDENTURE (this “Fifth Supplemental Indenture”), dated as of December 17, 2024, is between Gladstone Investment Corporation, a Delaware corporation (the “Company”), and UMB Bank, National Association, as trustee (the |
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| December 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Gladstone Investment Corporation (Exact name of registrant as specified in its charter) Delaware 83-0423116 (State of incorporation or organization) (I. |
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| December 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 17, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Com |
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| December 12, 2024 |
Exhibit 1.1 EXECUTION VERSION GLADSTONE INVESTMENT CORPORATION $110,000,000 7.875% Notes due 2030 UNDERWRITING AGREEMENT December 10, 2024 Oppenheimer & Co. Inc., As representative of the several underwriters named in Exhibit A c/o Oppenheimer & Co. Inc. 85 Broad Street New York, NY 10004 Ladies and Gentlemen: Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Mana |
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| December 12, 2024 |
Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-277452 PROSPECTUS SUPPLEMENT (To Prospectus dated April 18, 2024) $110,000,000 7.875% Notes due 2030 We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “1940 Act”). F |
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| December 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 10, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Com |
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| December 11, 2024 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated December 10, 2024 Relating to Preliminary Prospectus Supplement dated December 9, 2024 and Prospectus dated April 18, 2024 Registration No. |
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| December 9, 2024 |
SUBJECT TO COMPLETION, DATED DECEMBER 9, 2024 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-277452 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are no |
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| December 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2024 (December 3, 2024) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of I |
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| November 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2024 (November 13, 2024) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of |
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| November 15, 2024 |
Gladstone Investment Announces Retirement of Chief Operating Officer Terry Lee Brubaker Exhibit 99.1 Gladstone Investment Announces Retirement of Chief Operating Officer Terry Lee Brubaker MCLEAN, VA, November 15, 2024– Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced that Terry Lee Brubaker will be retiring as Chief Operating Officer of the Company effective December 2, 2024. Mr. Brubaker is also retiring as director and executive officer of Gladstone Manage |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 7, 2024 |
Gladstone Investment Corporation Reports Financial Results for its Second Quarter Ended September 30, 2024 MCLEAN, VA, November 7, 2024: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its second fiscal quarter ended September 30, 2024. |
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| October 16, 2024 |
William J. Tuttle, P.C. To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 October 16, 2024 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: John Kernan Re: Gladst |
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| October 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 15, 2024 (October 10, 2024) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of I |
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| October 8, 2024 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for October, November and December 2024, and Earnings Release and Conference Call Dates for the Second Fiscal Quarter MCLEAN, Va., October 8, 2024 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to common stockholders |
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| October 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 8, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commi |
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| September 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 17, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Co |
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| September 17, 2024 |
Gladstone Investment Announces $0.70 Supplemental Distribution to Common Stockholders Exhibit 99.1 Gladstone Investment Announces $0.70 Supplemental Distribution to Common Stockholders MCLEAN, Va., September 17, 2024 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following additional supplemental cash distribution to common stockholders in October 2024. Common Stock: A supplemental distribution of $0.70 per |
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| August 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 22, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commi |
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| August 22, 2024 |
Gladstone Investment Announces Election of Katharine Cornell Gorka as Director Exhibit 99.1 Gladstone Investment Announces Election of Katharine Cornell Gorka as Director MCLEAN, VA, August 22, 2024– Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced that Katharine Cornell Gorka has been elected to the 2027 class of Directors for the Company, effective August 22, 2024. Ms. Gorka, 64, is the President of Threat Knowledge Group, which provides training a |
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| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 81 |
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| August 5, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 5, 2024 |
Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2024 Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2024 MCLEAN, VA, August 5, 2024: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its first fiscal quarter ended June 30, 2024. |
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| August 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 1, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| July 9, 2024 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for July, August and September 2024, and Earnings Release and Conference Call Dates for the First Fiscal Quarter MCLEAN, Va., July 9, 2024 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to common stockholders. The Co |
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| July 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 9, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commissi |
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| June 14, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| May 14, 2024 |
Exhibit 1.2 GLADSTONE INVESTMENT CORPORATION Up to $75,000,000 Shares of Common Stock SALES AGREEMENT May 14, 2024 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, New York 10171 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized under the laws of Delaware (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investme |
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| May 14, 2024 |
Table of Contents Filed pursuant to Rule 424(b)(2) Registration Statement No. 333-277452 PROSPECTUS SUPPLEMENT (To Prospectus Dated April 18, 2024) Up to $75,000,000 Common Stock We operate as an externally managed, closed-end, non-diversified management investment company and have elected to be treated as a business development company (“BDC”) under the 1940 Act. For federal income tax purposes, |
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| May 14, 2024 |
Exhibit 1.3 GLADSTONE INVESTMENT CORPORATION Up to $75,000,000 Shares of Common Stock SALES AGREEMENT May 14, 2024 Virtu Americas LLC 1633 Broadway New York, New York 10019 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized under the laws of Delaware (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Advi |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 14, 2024 (Date of earliest event reported) Gladstone Investment Corporation (Exact name of registrant as specified in its charter) Delaware 814-00704 83-0423116 (State or other jurisdiction of incorporation) (Comm |
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| May 14, 2024 |
Exhibit 1.1 GLADSTONE INVESTMENT CORPORATION Up to $75,000,000 Shares of Common Stock SALES AGREEMENT May 14, 2024 Oppenheimer & Co. Inc. 85 Broad Street New York, New York 10004 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized under the laws of Delaware (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the |
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| May 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00704 |
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| May 8, 2024 |
EXHIBIT 97.1 Gladstone Investment Corporation Compensation Recoupment Policy 1. Purpose. The purpose of this Compensation Recoupment Policy of the Company (as amended from time to time, the “Policy”), dated as of October 10, 2023 (the “Adoption Date”) is to describe the circumstances in which current and former Executive Officers will be required to repay or return Erroneously Awarded Compensation |
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| May 8, 2024 |
EXHIBIT 4.6 DESCRIPTION OF SECURITIES (a) Common Stock, $0.001 par value per share All shares of our common stock have equal rights as to earnings, assets, dividends and voting and are duly authorized, validly issued, fully paid and nonassessable. Shares of our common stock have no preemptive, exchange, conversion or redemption rights and are freely transferable, except where their transfer is res |
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| May 8, 2024 |
gain-20240331xexx14 1 Code of Ethics and Business Conduct For Gladstone Capital Corporation Gladstone Commercial Corporation Gladstone Investment Corporation Gladstone Land Corporation Gladstone Management Corporation Gladstone Administration LLC Gladstone Securities, LLC and their subsidiaries (UPDATED NOVEMBER 2, 2023) I. |
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| May 8, 2024 |
Subsidiaries of the Registrant EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Investment, LLC (organized in Delaware) Edge Adhesives Holdings, Inc. (organized in Delaware) |
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| May 8, 2024 |
Gladstone Investment Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended March 31, 2024 MCLEAN, VA, May 8, 2024: Gladstone Investment Corporation (Nasdaq: GAIN) (the "Company") today announced earnings for its fourth quarter and fiscal year ended March 31, 2024. |
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| April 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 9, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| April 9, 2024 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for April, May and June 2024, and Earnings Release and Conference Call Dates for the Fourth Fiscal Quarter MCLEAN, Va., April 9, 2024 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to common stockholders. The Company |
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| April 3, 2024 |
1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 William J. Tuttle, P.C. United States To Call Writer Directly: Facsimile: +1 202 389 3350 +1 202 389 5000 +1 202 389 5200 [email protected] www.kirkland.com April 3, 2024 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Aaron Brodsky Re: Gladsto |
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| February 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number |
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| February 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 5, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| February 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| February 6, 2024 |
Gladstone Investment Corporation Reports Financial Results for its Third Quarter Ended December 31, 2023 MCLEAN, VA, February 6, 2024: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its third fiscal quarter ended December 31, 2023. |
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| February 6, 2024 |
Exhibit 10.1 EXECUTION VERSION AMENDMENT NO. 9 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT THIS AMENDMENT NO. 9 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) dated as of February 5, 2024, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), the Managing Agents party hereto, the |
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| January 9, 2024 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for January, February and March 2024, and Earnings Release and Conference Call Dates for the Third Fiscal Quarter MCLEAN, Va., January 9, 2024 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to common stockholders. Th |
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| January 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 9, 2024 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commi |
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| January 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 5, 2024 (January 4, 2024) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Inc |
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| December 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| December 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| November 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| November 1, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 1, 2023 |
Gladstone Investment Corporation Reports Financial Results for its Second Quarter Ended September 30, 2023 MCLEAN, VA, November 1, 2023: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its second fiscal quarter ended September 30, 2023. |
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| October 31, 2023 |
Exhibit 10.1 EXECUTION VERSION AMENDMENT NO. 8 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT THIS AMENDMENT NO. 8 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) dated as of October 30, 2023, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), the Managing Agents party hereto, the |
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| October 31, 2023 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 31, 2023 (October 30, 2023) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of I |
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| October 25, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 October 25, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Gladst |
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| October 25, 2023 |
Gladstone Investment Corp UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 24, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| October 24, 2023 |
Gladstone Investment Announces Additional $0.88 Supplemental Distribution to Common Stockholders Exhibit 99.1 Gladstone Investment Announces Additional $0.88 Supplemental Distribution to Common Stockholders MCLEAN, Va., October 24, 2023 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following additional supplemental cash distribution to common stockholders in December 2023. Common Stock: A supplemental distribution of |
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| October 18, 2023 |
1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 William J. Tuttle United States To Call Writer Directly: Facsimile: +1 202 389 3350 +1 202 389 5000 +1 202 389 5200 [email protected] www.kirkland.com October 18, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Gladst |
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| October 16, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 October 16, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Gladst |
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| October 10, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 October 10, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Gladst |
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| October 10, 2023 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for October, November and December 2023, a Supplemental Distribution to Common Stockholders, and Earnings Release and Conference Call Dates for the Second Fiscal Quarter MCLEAN, Va., October 10, 2023 - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the follow |
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| October 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 10, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 20, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 September 20, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Glad |
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| August 31, 2023 |
Proxy Card For Common Stockholders EX-99.(B) GLADSTONE INVESTMENT CORPORATION 1521 WESTBRANCH DRIVE, SUITE 100 McLEAN, VA 22102 Proxy Card For Common Stockholders VOTE BY INTERNET Before The Meeting - Go to www.proxyvote.com or scan the QR Barcode above Use the Internet to transmit your voting instructions and for electronic delivery of information. Vote by 11:59 p.m. Eastern Time the day before the cut-off date or meeting date. Ha |
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| August 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 31, 2023 |
EX-99.(A) Exhibit A INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN GLADSTONE INVESTMENT CORPORATION AND GLADSTONE MANAGEMENT CORPORATION AGREEMENT made this [●] day of [●] 20[●], by and between Gladstone Investment Corporation, a Delaware corporation (the “Corporation”), and Gladstone Management Corporation, a Delaware corporation (the “Adviser”). WHEREAS, the Corporation is a closed-end man |
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| August 8, 2023 |
Up to $50,000,000 Common Stock 424B5 Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-259302 Supplement dated August 7, 2023 To Prospectus Supplement dated August 15, 2022 (To Prospectus dated October 15, 2021) Up to $50,000,000 Common Stock This supplement is being filed to update, amend and supplement information in that certain prospectus supplement, dated August 15, 2022, relating to the offer and sale of sha |
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| August 8, 2023 |
First Amendment to Sales Agreement Gladstone Investment Corporation FIRST AMENDMENT TO SALES AGREEMENT FIRST AMENDMENT TO SALES AGREEMENT, dated as of August 7, 2023 (this “First Amendment”), by and among Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”) and Oppenheimer & Co. |
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| August 8, 2023 |
First Amendment to Sales Agreement Gladstone Investment Corporation FIRST AMENDMENT TO SALES AGREEMENT FIRST AMENDMENT TO SALES AGREEMENT, dated as of August 7, 2023 (this “First Amendment”), by and among Gladstone Investment Corporation, a Delaware corporation (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”) and Virtu Americas LLC (the “Agent”). |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 7, 2023 (Date of earliest event reported) Gladstone Investment Corporation (Exact name of registrant as specified in its charter) Delaware 814-00704 83-0423116 (State or other jurisdiction of incorporation) (Co |
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| August 8, 2023 |
Sales Agreement GLADSTONE INVESTMENT CORPORATION Up to $50,000,000 Shares of Common Stock SALES AGREEMENT August 7, 2023 B. |
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| August 3, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 3, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 2, 2023 |
Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2023 Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2023 MCLEAN, VA, August 2, 2023: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its first fiscal quarter ended June 30, 2023. |
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| August 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 81 |
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| July 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 11, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 11, 2023 |
EX-99.1 Gladstone Investment Announces Monthly Cash Distributions for July, August and September 2023, a Supplemental Distribution to Common Stockholders, and Earnings Release and Conference Call Dates for the First Fiscal Quarter MCLEAN, Va., July 11, 2023—Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cas |
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| June 16, 2023 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 31, 2023 |
8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Gladstone Investment Corporation (Exact name of registrant as specified in its charter) Delaware 83-0423116 (State of incorporation or organization) (I. |
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| May 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commissi |
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| May 31, 2023 |
EX-4.1 Exhibit 4.1 FOURTH SUPPLEMENTAL INDENTURE between GLADSTONE INVESTMENT CORPORATION and UMB BANK, NATIONAL ASSOCIATION, as Trustee Dated as of May 31, 2023 THIS FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of May 31, 2023, is between Gladstone Investment Corporation, a Delaware corporation (the “Company”), and UMB Bank, National Association, as trustee (the |
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| May 25, 2023 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-259302 PRELIMINARY PROSPECTUS SUPPLEMENT (To Prospectus dated October 15, 2021) $65,000,000 8.00% Notes due 2028 We are an externally managed, closed-end, non-diversified management in vestment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, |
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| May 24, 2023 |
Pricing Terms GLADSTONE INVESTMENT CORPORATION 8.00% Notes Due 2028 Pricing Term Sheet May 23, 2023 FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 23, 2023 Relating to Preliminary Prospectus Supplement dated May 23, 2023 and Prospectus dated October 15, 2021 Registration No. |
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| May 24, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commissi |
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| May 24, 2023 |
U.S. Securities and Exchange Commission Youâve Exceeded the SECâs Traffic Limit Your request rate has exceeded the SECâs maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains |
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| May 23, 2023 |
SUBJECT TO COMPLETION, DATED MAY 23, 2023 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-259302 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are no |
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| May 10, 2023 |
Subsidiaries of the Registrant EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Investment, LLC (organized in Delaware) Gladstone SOG Investments, Inc. (organized in Delaware) The Mountain Corporation (organized in New Hampshire) |
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| May 10, 2023 |
Gladstone Investment Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended March 31, 2023 MCLEAN, VA, May 10, 2023: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its fourth quarter and fiscal year ended March 31, 2023. |
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| May 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00704 |
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| May 10, 2023 |
gain-20230331xexx1020 EXECUTION VERSION AMENDMENT NO. 7 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT THIS AMENDMENT NO. 7 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) dated as of April 10, 2023, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION ( |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| May 10, 2023 |
EXHIBIT 4.5 DESCRIPTION OF SECURITIES (a) Common Stock, $0.001 par value per share All shares of our common stock have equal rights as to earnings, assets, dividends and voting and are duly authorized, validly issued, fully paid and nonassessable. Shares of our common stock have no preemptive, exchange, conversion or redemption rights and are freely transferable, except where their transfer is res |
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| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 14, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 11, 2023 |
EX-99.1 Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for April, May, and June 2023 and a Supplemental Distribution to Common Stockholders MCLEAN, VA, April 11, 2023– Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to common stockholders. The Company will also pay |
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| April 11, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 11, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| February 1, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| February 1, 2023 |
Gladstone Investment Corporation Reports Financial Results for its Third Quarter Ended December 31, 2022 MCLEAN, VA, February 1, 2023: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its third fiscal quarter ended December 31, 2022. |
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| February 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number |
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| January 10, 2023 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for January, February, and March 2023, a Supplemental Distribution to Common Stockholders, and Third Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., January 10, 2023—Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly c |
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| January 10, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 10, 2023 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| November 1, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 1, 2022 |
Gladstone Investment Corporation Reports Financial Results for its Second Quarter Ended September 30, 2022 MCLEAN, VA, November 1, 2022: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its second quarter ended September 30, 2022. |
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| October 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 12, 2022 (October 11, 2022) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of I |
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| October 12, 2022 |
Gladstone Investment Announces Election of Paula Novara as Director Exhibit 99.1 Gladstone Investment Announces Election of Paula Novara as Director MCLEAN, VA, October 12, 2022? Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) announced that Paula Novara had been elected to the 2024 class of Directors for the Company, effective October 11, 2022. Ms. Novara, age 53, has been Head of Resource Management of the Company since its founding. Ms. Novara i |
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| October 11, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 11, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| October 11, 2022 |
Exhibit 99.1 Gladstone Investment Announces Increase in Monthly Cash Distributions for October, November, and December 2022, a Supplemental Distribution to Common Stockholders, and Second Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., October 11, 2022 - Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) announced today that its board of directors declared the f |
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| August 16, 2022 |
Up to $50,000,000 Common Stock Table of Contents Filed pursuant to Rule 424(b)(2) Registration Statement No. 333-259302 PROSPECTUS SUPPLEMENT (To Prospectus Dated October 15, 2021) Up to $50,000,000 Common Stock We are an externally managed, closed-end, non-diversified management investment company that has elected to be treated as a business development company (?BDC?) under the Investment Company Act of 1940, as amended (the |
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| August 16, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 15, 2022 (Date of earliest event reported) Gladstone Investment Corporation (Exact name of registrant as specified in its charter) Delaware 814-00704 83-0423116 (State or other jurisdiction of incorporation) (C |
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| August 16, 2022 |
Exhibit 1.1 GLADSTONE INVESTMENT CORPORATION Up to $50,000,000 Shares of Common Stock SALES AGREEMENT August 15, 2022 Oppenheimer & Co. Inc. 85 Broad Street New York, NY 10004 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized under the laws of Delaware (the ?Company?), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the ?A |
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| August 16, 2022 |
Exhibit 1.2 GLADSTONE INVESTMENT CORPORATION Up to $50,000,000 Shares of Common Stock SALES AGREEMENT August 15, 2022 Virtu Americas LLC 1633 Broadway New York, NY 10019 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized under the laws of Delaware (the ?Company?), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the ?Adviser |
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| August 4, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 4, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 81 |
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| August 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 3, 2022 |
Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2022 Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2022 MCLEAN, VA, August 3, 2022: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its first quarter ended June 30, 2022. |
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| July 12, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 12, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 12, 2022 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for July, August and September 2022 and First Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., July 12, 2022 - Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) announced today that its board of directors declared the following monthly cash distributions to common stockholders. The Company al |
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| June 17, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a |
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| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00704 |
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| May 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| May 11, 2022 |
EXHIBIT 4.5 DESCRIPTION OF SECURITIES (a) Common Stock, $0.001 par value per share All shares of our common stock have equal rights as to earnings, assets, dividends and voting and are duly authorized, validly issued, fully paid and nonassessable. Shares of our common stock have no preemptive, exchange, conversion or redemption rights and are freely transferable, except where their transfer is res |
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| May 11, 2022 |
Subsidiaries of the Registrant EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Investment, LLC (organized in Delaware) Gladstone SOG Investments, Inc. (organized in Delaware) |
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| May 11, 2022 |
Gladstone Investment Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended March 31, 2022 MCLEAN, VA, May 11, 2022: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its fourth quarter and fiscal year ended March 31, 2022. |
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| April 12, 2022 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for April, May, and June 2022 and and a Supplemental Distribution to Common Stockholders MCLEAN, VA, April 12, 2022? Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) announced today that its board of directors declared the following monthly cash distributions to common stockholders. The Company will also pay a su |
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| April 12, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 12, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| February 8, 2022 |
Gladstone Investment Corporation Reports Financial Results for its Third Quarter Ended December 31, 2021 MCLEAN, VA, February 8, 2022: Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") today announced earnings for its third quarter ended December 31, 2021. |
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| February 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number |
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| February 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| January 11, 2022 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for January, February, and March 2022, a Supplemental Distribution to Common Stockholders, and Third Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., January 11, 2022 - Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) announced today that its board of directors declared the following monthly |
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| January 11, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 11, 2022 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| January 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 10, 2022 (January 8, 2022) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of In |
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| December 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): December 13, 2021 (December 13, 2021) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of |
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| November 2, 2021 |
Certificate of Elimination of 6.375% Series E Cumulative Term Preferred Stock Due 2025* Exhibit 3.3 CERTIFICATE OF ELIMINATION OF 6.375% SERIES E CUMULATIVE TERM PREFERRED STOCK DUE 2023 OF GLADSTONE INVESTMENT CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware Gladstone Investment Corporation (the ?Corporation?), a corporation organized and existing under the laws of the State of Delaware, certifies as follows: 1. Pursuant to Section 151 o |
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| November 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| November 2, 2021 |
Exhibit 99.1 Gladstone Investment Corporation Reports Financial Results for its Second Quarter Ended September 30, 2021 McLean, VA, November 2, 2021: Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) today announced earnings for its second quarter ended September 30, 2021. Please read the Company?s Quarterly Report on Form 10-Q, filed today with the U.S. Securities and Exchange Commi |
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| November 2, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| October 12, 2021 |
Exhibit 99.1 Gladstone Investment Announces Increased Monthly Cash Distributions for October, November, and December 2021, a Supplemental Distribution to Common Stockholders and Second Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., October 12, 2021?Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) announced today that its board of directors declared the follow |
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| October 12, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 12, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| October 12, 2021 |
Proskauer Rose LLP 1001 Pennsylvania Avenue, NW Suite 600 South Washington, DC 20004-2533 October 12, 2021 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| October 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 7, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commi |
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| August 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2021 (August 19, 2021) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Inc |
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| August 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commi |
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| August 18, 2021 |
Exhibit 4.1 THIRD SUPPLEMENTAL INDENTURE between GLADSTONE INVESTMENT CORPORATION and UMB BANK, NATIONAL ASSOCIATION, as Trustee Dated as of August 18, 2021 THIS THIRD SUPPLEMENTAL INDENTURE (this ?Third Supplemental Indenture?), dated as of August 18, 2021, is between Gladstone Investment Corporation, a Delaware corporation (the ?Company?), and UMB Bank, National Association, as trustee (the ?Tru |
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| August 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Gladstone Investment Corporation (Exact name of registrant as specified in its charter) Delaware 83-0423116 (State of incorporation or organization) (I. |
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| August 12, 2021 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated August 11, 2021 Relating to Preliminary Prospectus Supplement dated August 11, 2021 and Prospectus dated July 24, 2019 Registration No. |
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| August 12, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-232124 PROSPECTUS SUPPLEMENT (To Prospectus dated July 24, 2019) $117,000,000 4.875% Notes due 2028 We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (?BDC?) under the Investment Company Act of 1940, as amended (t |
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| August 12, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2021 (August 11, 2021) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Inc |
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| August 12, 2021 |
Exhibit 1.1 EXECUTION VERSION GLADSTONE INVESTMENT CORPORATION $117,000,000 4.875% Notes due 2028 UNDERWRITING AGREEMENT August 11, 2021 Oppenheimer & Co. Inc., As representative of the several underwriters named in Exhibit A c/o Oppenheimer & Co. Inc. 85 Broad Street New York, NY 10004 Ladies and Gentlemen: Gladstone Investment Corporation, a Delaware corporation (the ?Company?), Gladstone Manage |
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| August 12, 2021 |
Exhibit 99.1 August 11, 2021 Gladstone Investment Announces Intent to Redeem All Outstanding Shares of Existing Series E Term Preferred Stock MCLEAN, VA, August 11, 2021 ? Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) today announced that it plans to redeem all of the outstanding shares of its 6.375% Series E Cumulative Term Preferred Stock due 2025 (the ?Series E Term Preferred |
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| August 11, 2021 |
Up to $50,000,000 Aggregate Liquidation Preference 6.375% Series E Cumulative Term Preferred Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-232124 Supplement No. 1 dated August 11, 2021 to Prospectus Supplement dated May 21, 2020 (To Prospectus dated July 24, 2019) Up to $50,000,000 Aggregate Liquidation Preference 6.375% Series E Cumulative Term Preferred Stock This Supplement No. 1 supplements and amends our Prospectus Supplement, dated May 21, 2020 (the ?Series E Prefe |
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| August 11, 2021 |
Up to $35,000,000 Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-232124 Supplement No. 1 dated August 11, 2021 to Prospectus Supplement dated December 19, 2019 (To Prospectus dated July 24, 2019) Up to $35,000,000 Common Stock This Supplement No. 1 supplements and amends our Prospectus Supplement, dated December 19, 2019 (the ?Common Stock ATM Prospectus Supplement?), and should be read in conjunct |
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| August 11, 2021 |
SUBJECT TO COMPLETION, DATED AUGUST 11, 2021 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-232124 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are no |
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| August 5, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 5, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 5, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 5, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 81 |
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| August 2, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 2, 2021 |
Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2021 Exhibit 99.1 Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2021 McLean, VA, August 2, 2021: Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) today announced earnings for its first quarter ended June 30, 2021. Please read the Company?s Quarterly Report on Form 10-Q, filed today with the U.S. Securities and Exchange Commission (the ?SE |
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| July 13, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 13, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 13, 2021 |
Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for July, August and September 2021, a Supplemental Distribution to Common Stockholders and First Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., July 13, 2021 - Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) announced today that its board of directors declared the following monthly cash |
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| June 18, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
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| May 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| May 11, 2021 |
Certificate of Elimination of 6.25% Series D Cumulative Term Preferred Stock Due 2023* Exhibit 3.3 CERTIFICATE OF ELIMINATION OF 6.25% SERIES D CUMULATIVE TERM PREFERRED STOCK DUE 2023 OF GLADSTONE INVESTMENT CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware Gladstone Investment Corporation (the ?Corporation?), a corporation organized and existing under the laws of the State of Delaware, certifies as follows: 1. Pursuant to Section 151 of |
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| May 11, 2021 |
Exhibit 99.1 Gladstone Investment Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended March 31, 2021 McLean, VA, May 11, 2021: Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) today announced earnings for its fourth quarter and fiscal year ended March 31, 2021. Please read the Company?s Annual Report on Form 10-K filed today with the U.S. Securities an |
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| May 11, 2021 |
Subsidiaries of the Registrant. EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Investment, LLC (organized in Delaware) Galaxy Tool Holding Corporation (organized in Delaware) |
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| May 11, 2021 |
EXHIBIT 4.6 DESCRIPTION OF SECURITIES (a) Common Stock, $0.001 par value per share All shares of our common stock have equal rights as to earnings, assets, dividends and voting and are duly authorized, validly issued, fully paid and nonassessable. Shares of our common stock have no preemptive, exchange, conversion or redemption rights and are freely transferable, except where their transfer is res |
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| May 11, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00704 |
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| May 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 13, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 13, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 13, 2021 |
EX-99.1 Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for April, May, and June 2021 and and a Supplemental Distribution to Common Stockholders MCLEAN, VA, April 13, 2021– Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to preferred and common stockholders. The Comp |
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| March 8, 2021 |
Exhibit 10.1 EXECUTION COPY AMENDMENT NO. 6 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT THIS AMENDMENT NO. 6 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this ?Amendment?) dated as of March 8, 2021, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the ?Borrower?), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the ?Servicer?), KEYBANK NATIONAL ASSOCIATION (?KeyBank?), C |
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| March 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): March 8, 2021 (March 3, 2021) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorpo |
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| March 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Gladstone Investment Corporation (Exact name of registrant as specified in its charter) Delaware 83-0423116 (State of incorporation or organization) (I. |
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| March 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| March 2, 2021 |
Exhibit 4.1 Execution Version SECOND SUPPLEMENTAL INDENTURE between GLADSTONE INVESTMENT CORPORATION and UMB BANK, NATIONAL ASSOCIATION, as Trustee Dated as of March 2, 2021 THIS SECOND SUPPLEMENTAL INDENTURE (this ?Second Supplemental Indenture?), dated as of March 2, 2021, is between Gladstone Investment Corporation, a Delaware corporation (the ?Company?), and UMB Bank, National Association, as |
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| March 2, 2021 |
Exhibit 4.5 Execution Version SECOND SUPPLEMENTAL INDENTURE between GLADSTONE INVESTMENT CORPORATION and UMB BANK, NATIONAL ASSOCIATION, as Trustee Dated as of March 2, 2021 THIS SECOND SUPPLEMENTAL INDENTURE (this ?Second Supplemental Indenture?), dated as of March 2, 2021, is between Gladstone Investment Corporation, a Delaware corporation (the ?Company?), and UMB Bank, National Association, as |
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| February 24, 2021 |
Exhibit 1.1 EXECUTION VERSION GLADSTONE INVESTMENT CORPORATION $111,250,000 5.00% Notes due 2026 UNDERWRITING AGREEMENT February 23, 2021 Janney Montgomery Scott LLC, As representative of the several underwriters named in Exhibit A c/o Janney Montgomery Scott LLC 1717 Arch Street Philadelphia, PA 19103 Ladies and Gentlemen: Gladstone Investment Corporation, a Delaware corporation (the ?Company?), |
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| February 24, 2021 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated February 23, 2021 Relating to Preliminary Prospectus Supplement dated February 23, 2021 and Prospectus dated July 24, 2019 Registration No. |
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| February 24, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2021 (February 23, 2021) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of |
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| February 24, 2021 |
Exhibit 99.1 February 23, 2021 Gladstone Investment Announces Conditional Redemption of All Outstanding Shares of Series D Term Preferred Stock MCLEAN, VA, February 23, 2021 ? Gladstone Investment Corporation (Nasdaq: GAIN) (the ?Company?) today announced that it plans to redeem all outstanding shares of its 6.25% Series D Cumulative Term Preferred Stock due 2023 (the ?Series D Term Preferred Stoc |
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| February 24, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-232124 PROSPECTUS SUPPLEMENT (To Prospectus dated July 24, 2019) $111,250,000 5.00% Notes due 2026 We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (?BDC?) under the Investment Company Act of 1940, as amended (th |
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| February 23, 2021 |
SUBJECT TO COMPLETION, DATED FEBRUARY 23, 2021 Table of Contents The information in this preliminary prospectus supplement is not complete and may be changed. |
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| February 23, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-232124 Supplement No. 1 dated February 23, 2021 to Prospectus Supplement dated May 22, 2020 (To Prospectus dated July 24, 2019) 6.00% Notes due 2040 This Supplement No. 1 supplements and amends our Prospectus Supplement, dated May 22, 2020 (the ?2040 Notes Prospectus Supplement?), and should be read in conjunction with the 2040 Notes |
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| February 2, 2021 |
10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 814-00704 G |
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| February 2, 2021 |
EX-99.1 Exhibit 99.1 Gladstone Investment Corporation Reports Financial Results for its Third Quarter Ended December 31, 2020 McLean, VA, February 2, 2021: Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) today announced earnings for its third fiscal quarter ended December 31, 2020. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exch |
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| February 2, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| January 12, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 12, 2021 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) ( |
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| January 12, 2021 |
EX-99.1 Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for January, February, and March 2021, and Third Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, VA, January 12, 2021 – Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to preferred and common s |
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| November 3, 2020 |
EX-99.1 Exhibit 99.1 Gladstone Investment Corporation Reports Financial Results for its Second Quarter Ended September 30, 2020 McLean, VA, November 3, 2020: Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) today announced earnings for its second fiscal quarter ended September 30, 2020. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and |
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| November 3, 2020 |
10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 3, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2020 Gladstone Investment Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| October 13, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 13, 2020 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) ( |
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| October 13, 2020 |
EX-99.1 Exhibit 99.1 Gladstone Investment Announces Monthly Cash Distributions for October, November and December 2020 and Second Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., October 13, 2020 (ACCESSWIRE) — Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to prefer |
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| August 21, 2020 |
Submission of Matters to a Vote of Security Holders - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 21, 2020 (August 20, 2020) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of |
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| August 11, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 11, 2020 (August 10, 2020) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of |
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| August 11, 2020 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION AMENDMENT NO. 5 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT THIS AMENDMENT NO. 5 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”) dated as of August 10, 2020, is entered into among GLADSTONE BUSINESS INVESTMENT, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION ( |
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| August 6, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for |
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| July 28, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 28, 2020 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 28, 2020 |
10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 28, 2020 |
Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2020 EXHIBIT 99.1 Gladstone Investment Corporation Reports Financial Results for its First Quarter Ended June 30, 2020 MCLEAN, Va., July 28, 2020 (GLOBE NEWSWIRE) - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) today announced earnings for its first quarter ended June 30, 2020. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange Co |
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| July 21, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| July 14, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 14, 2020 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 14, 2020 |
EXHIBIT 99.1 Gladstone Investment Announces Monthly Cash Distributions for July, August and September 2020 and First Fiscal Quarter Earnings Release and Conference Call Dates MCLEAN, Va., July 14, 2020 (GLOBE NEWSWIRE) - Gladstone Investment Corporation (Nasdaq: GAIN) (the “Company”) announced today that its board of directors declared the following monthly cash distributions to preferred and comm |
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| July 10, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| June 15, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 22, 2020 |
EX-1.1 Exhibit 1.1 DEALER MANAGER AGREEMENT $350,000,000 of 6.00% Notes due 2040 — $25.00 per note May 22, 2020 Gladstone Securities, LLC 1521 Westbranch Drive, Suite 100 McLean, Virginia 22102 Attn: John Kent Ladies and Gentlemen: Gladstone Investment Corporation, a Delaware corporation (the “Company”), is offering a maximum of $350,000,000 of its 6.00% notes due 2040 (the “Notes”) for sale to th |
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| May 22, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2020 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| May 22, 2020 |
EX-4.1 Exhibit 4.1 GLADSTONE INVESTMENT CORPORATION, Issuer AND UMB BANK, NATIONAL ASSOCIATION, Trustee INDENTURE Dated as of May 22, 2020 Senior Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 F |
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| May 22, 2020 |
EX-4.2 Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE between GLADSTONE INVESTMENT CORPORATION and UMB BANK, NATIONAL ASSOCIATION, as Trustee Dated as of May 22, 2020 THIS FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”), dated as of May 22, 2020, is between Gladstone Investment Corporation, a Delaware corporation (the “Company”), and UMB Bank, National Association, as trustee (the “Tr |
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| May 21, 2020 |
EX-1.1 Exhibit 1.1 Execution Version GLADSTONE INVESTMENT CORPORATION Up to $50,000,000 Shares of 6.375% Series E Cumulative Term Preferred Stock (Liquidation Preference $25.00 per share) ($0.001 par value per share) SALES AGREEMENT May 21, 2020 Wedbush Securities Inc. 1000 Wilshire Boulevard Los Angeles, CA 90017 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized unde |
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| May 21, 2020 |
EX-1.2 Exhibit 1.2 Execution Version GLADSTONE INVESTMENT CORPORATION Up to $50,000,000 Shares of 6.375% Series E Cumulative Term Preferred Stock (Liquidation Preference $25.00 per share) ($0.001 par value per share) SALES AGREEMENT May 21, 2020 Virtu Americas LLC One Liberty Plaza 165 Broadway New York, NY 10006 Ladies and Gentlemen: Gladstone Investment Corporation, a corporation organized under |
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| May 21, 2020 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF INCREASE OF SHARES DESIGNATED AS 6.375% SERIES E CUMULATIVE TERM PREFERRED STOCK DUE 2025 OF GLADSTONE INVESTMENT CORPORATION Gladstone Investment Corporation, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), certifies: 1. That a Certificate of Designation of 6.375% Series E Cumulative Term Preferred Stock due 2025 |
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| May 21, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2020 Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Comm |
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| May 15, 2020 |
EX-3.1 Exhibit 3.1 SECOND AMENDED AND RESTATED BYLAWS OF GLADSTONE INVESTMENT CORPORATION (A DELAWARE CORPORATION) TABLE OF CONTENTS PAGE ARTICLE I OFFICES 1 Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II CORPORATE SEAL 1 Section 3. Corporate Seal 1 ARTICLE III STOCKHOLDERS’ MEETINGS 1 Section 4. Place Of Meetings 1 Section 5. Annual Meetings 1 Section 6. Special Meetings 3 S |
