Filing Details
- Accession Number:
- 0001475246-18-000068
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-13 08:16:53
- Reporting Period:
- 2018-11-08
- Accepted Time:
- 2018-11-13 08:16:53
- 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 |
|---|---|---|---|---|---|---|---|
| 1238279 | R A David Dullum | 1521 Westbranch Drive Suite 100 Mclean VA 22102 | President | No | 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 | 2018-11-08 | 5,600 | $9.94 | 91,816 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,349 | Indirect | By Spouse |
Footnotes
- The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.83 to $9.97 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.
- 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.
Billionaire Hedge Funds
