Accession Number: | 0001062993-22-014875 |
Date: | 2022-06-14 |
Issuer: | GLADSTONE INVESTMENT CORPORATION\DE (GAIN) |
Original Submission Date: |
DULLUM DAVID A R
1521 WESTBRANCH DRIVE
SUITE 100
MCLEAN, VA 22102
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2022-06-14 | P | 4,000 | a | $12.75 | 138,916 | direct | ||
COMMON STOCK | 2022-06-14 | 0 | $0.00 | 1,349 | indirect | f1 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |