Filing Details
- Accession Number:
- 0001238279-13-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-15 16:08:04
- Reporting Period:
- 2013-11-13
- Filing Date:
- 2013-11-15
- Accepted Time:
- 2013-11-15 16:08:04
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1321741 | Gladstone Investment Corporation | GAIN | () | 830423116 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1238279 | R A David Dullum | 1521 Westbranch Drive Suite 100 Mclean VA 22102 | President | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-11-13 | 100 | $7.30 | 34,816 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-11-13 | 6,700 | $7.33 | 41,516 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-11-14 | 1,000 | $7.31 | 42,516 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,349 | Indirect | by spouse |
Footnotes
- 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.