Filing Details
- Accession Number:
- 0001238284-16-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-16 15:55:53
- Reporting Period:
- 2016-08-12
- Filing Date:
- 2016-08-16
- Accepted Time:
- 2016-08-16 15:55:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1321741 | Gladstone Investment Corporation | GAIN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1238284 | Lee Terry Brubaker | 1521 Westpark Drive Suite 100 Mclean VA 22102 | Chief Operating Officer | 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 | Disposition | 2016-08-12 | 5,400 | $8.67 | 232,598 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-12 | 500 | $8.66 | 9,781 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2016-08-12 | 5,400 | $8.67 | 4,381 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2016-08-15 | 4,380 | $8.74 | 0 | No | 4 | S | Indirect | By Spouce |
| Common Stock | Disposition | 2016-08-15 | 18,417 | $8.73 | 214,181 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-16 | 15,317 | $8.78 | 198,864 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouce |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.66 to $8.68 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, any security holder of Gladstone Investment Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.69 to $8.75 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, any security holder of Gladstone Investment Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.71 to $8.75 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, any security holder of Gladstone Investment Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.71 to $8.88 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, any security holder of Gladstone Investment Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Billionaire Hedge Funds
