Form Type: 4

SEC EDGAR Link
Accession Number:0001062993-21-012250
Date:2021-12-03
Issuer: GLADSTONE INVESTMENT CORPORATION\DE (GAIN)
Original Submission Date:

Reporting Person:

DULLUM DAVID A R
1521 WESTBRANCH DRIVE
SUITE 100 MCLEAN, VA 22102

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-12-03 P 3,000 a $16.54 129,416 direct
COMMON STOCK 2021-12-03 0 $0.00 1,349 indirect f1
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 mr. dullum disclaims beneficial ownership of these 1,349 shares held by his spouse and this report shall not be deemed an admission that mr. dullum is the beneficial owner of the securities for purposes of section 16 or any other purpose.

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