Gladstone Investment Corp (GAIN)

Sector:
FINANCE
Industry:
GENERAL FINANCE
SIC:
CEO:
David J. Gladstone
Employees:
66
1521 WESTBRANCH DRIVE, SUITE 100, MCLEAN, VA 22102
7032875800

Gladstone Investment Corp. is a business development company, invests in small & medium sized companies located in the US. The company objective is to invest in debt securities of established businesses. The fund targets companies operating in the fields of electronics, aerospace & defense, oil & gas, automobile, machinery, beverage, media & communications. The firm makes debt investments in the form of senior debt & senior/junior subordinated debt and equity investments in the form of common equity, preferred equity & warrants for buyouts/change of control, acquisition, growth and recapitalization transactions with an debt investments between $5 million to $30 million and equity investments between $10 million to $40 million. It makes co-investments and takes a seat on the board. It takes minority & majority stakes and holds controlling interests.

View SEC Filings from GAIN instead.

View recent insider trading info

Funds Holding GAIN (via 13F filings)

Refresh Download CSV Download Excel (.xlsx) Download TSV
Filter by:
to
to
to
Refresh
*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding GAIN BETA

Active Schedule 13D and 13G filings

Please sign in first

Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

3 Thousand total shares from 1 transactions

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

EASTON RACHAEL Z. CHIEF FINANCIAL OFFICER

  • Officer
0 2021-12-13 1

DULLUM DAVID A R PRESIDENT

  • Officer
130,765 2021-12-03 1

GLADSTONE DAVID CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
666,822 2020-12-31 0

BRUBAKER TERRY LEE CHIEF OPERATING OFFICER

  • Officer
  • Director
16,233 2020-03-23 0

RYAN JULIA CHIEF FINANCIAL OFFICER

  • Officer
4,000 2020-03-20 0

LICALSI MICHAEL GENERAL COUNSEL AND SECRETARY

  • Officer
9,144 2020-03-16 0

WILKINSON WALTER H

  • Director
14,416 2017-11-28 0

MERRICK CAREN D

  • Director
1,965 2015-06-01 0

WATSON DAVID HIBBERT CFO AND TREASURER

  • Officer
11,580 2014-12-09 0

SMITH JENNIFER A VALUATION OFFICER

  • Officer
0 2014-07-15 0

EARHART TERRY

  • Director
0 2012-10-10 0

ADELGREN PAUL W

  • Director
3,715 2012-03-14 0

MORRISON MELISSA

  • AFFILIATE OF EXTERNAL ADVISER
0 2011-11-15 0

MEAD GERARD

  • Director
12,466 2011-09-12 0

REILLY JOHN

  • Director
4,000 2011-02-04 0

JONES DANIELLE

  • AFFILIATE OF EXTERNAL ADVISER
100 2008-12-12 0

STELLJES GEORGE III CIO

  • Officer
  • Director
20,995 2008-11-12 0

PERRIGO MARK CFO

  • Officer
561 2008-11-12 0

BRILL HARRY

  • AFFILIATE OF EXTERNAL ADVISER
1,136 2008-04-21 0

ENGLISH MICHELA A

  • Director
1,333 2008-04-21 0

PARKER ANTHONY W

  • Director
5,480 2008-04-21 0

OUTLAND JOHN H

  • Director
1,431 2008-04-21 0

GERSON GARY TREASURER

  • Officer
578 2008-04-21 0

CHEETHAM KEVIN

  • AFFILIATE OF EXTERNAL ADVISER
338 2008-04-21 0

WILLIAMS ALLYSON

  • AFFILIATE OF EXTERNAL ADVISER
286 2008-04-21 0

GRAY GRESFORD

  • AFFILIATE OF EXTERNAL ADVISER
0 2008-04-08 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

DULLUM DAVID A R - Officer PRESIDENT

2021-12-06 16:13:31 -0500 2021-12-03 P 3,000 $16.54 a 129,416 direct -0.719 -2.9958 -3.9729 2.8119 18 -3.9729 31

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 22:15:03 UTC -1.6045 1.6745 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 21:45:04 UTC -1.6045 1.6745 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 21:15:03 UTC -1.6045 1.6745 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 20:45:04 UTC -1.6045 1.6745 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 20:15:03 UTC -1.6045 1.6745 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 19:45:03 UTC -1.6045 1.6745 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 19:15:03 UTC -1.6045 1.6745 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 18:45:03 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 18:15:04 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 17:45:03 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 17:15:03 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 16:45:04 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 16:15:03 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 15:45:04 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 15:15:03 UTC -1.1457 1.2157 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 14:45:03 UTC -1.2752 1.3452 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 14:15:03 UTC -1.2752 1.3452 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 13:45:03 UTC -1.2752 1.3452 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 13:15:03 UTC -1.2752 1.3452 150000
GLADSTONE INVESTMENT CORP GAIN 2022-01-28 12:45:03 UTC -1.2752 1.3452 150000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

Elevate your investments