Gladstone Investment Corporation (GAIN)

Sector:
FINANCE
Industry:
GENERAL FINANCE
SIC:
CEO:
David J. Gladstone
Employees:
70
1521 WESTBRANCH DRIVE, SUITE 100, MCLEAN, VA 22102
7032875800

Gladstone Investment Corporation specializes in lower middle market, mature stage, buyouts; refinancing existing debt; senior debt securities such as senior loans, senior term loans, lines of credit, and senior notes. Fund seeks to invest in manufacturing, consumer products and business services/ distribution sector.

View SEC Filings from GAIN instead.

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Funds Holding GAIN (via 13F filings)

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*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

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Active Schedule 13D and 13G filings

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Recent Filings

Events (8k)

  • 8-K: filed on 2022-08-04:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2022-08-03:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-07-12:
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-05-11:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-04-12:
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-02-08:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-01-11:
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-01-10:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
  • 8-K: filed on 2021-12-13:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
  • 8-K: filed on 2021-11-02:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    4 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

    DULLUM DAVID A R PRESIDENT

    • Officer
    140,265 2022-06-14 3

    EASTON RACHAEL Z. CFO AND TREASURER

    • Officer
    375 2022-05-20 3

    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

    DELLAFIORA JOHN CHIEF COMPLIANCE OFFICER

    • Officer
    0 2007-10-09 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

    2022-06-15 13:11:59 -0400 2022-06-14 P 4,000 $12.75 a 138,916 direct -3.1842 1.1056 13.3507 14.1937 30 -3.1882 2

    * -

    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 2022-08-12 22:15:03 UTC -0.5142 2.8342 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 21:45:04 UTC -0.5142 2.8342 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 21:15:04 UTC -0.5142 2.8342 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 20:45:04 UTC -0.5142 2.8342 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 20:15:05 UTC -0.5142 2.8342 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 19:45:03 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 19:15:05 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 18:45:03 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 18:15:04 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 17:45:04 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 17:15:05 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 16:45:04 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 16:15:04 UTC -0.9749 3.2949 20000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 15:45:04 UTC -0.9749 3.2949 400
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 15:15:05 UTC -0.9749 3.2949 400
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 14:45:04 UTC -0.9749 3.2949 8000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 14:15:05 UTC -0.9749 3.2949 9000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 13:45:04 UTC -0.8469 3.1669 9000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 13:15:04 UTC -0.8469 3.1669 9000
    GLADSTONE INVESTMENT CORP GAIN 2022-08-12 12:45:04 UTC -0.8469 3.1669 9000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

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