Filing Details
- Accession Number:
- 0001321741-11-000015
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-07 14:03:15
- Reporting Period:
- 2011-09-06
- Filing Date:
- 2011-09-07
- Accepted Time:
- 2011-09-07 14:03:15
- 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 |
---|---|---|---|---|---|---|---|
1238284 | Lee Terry Brubaker | 1521 Westbranch Drive Suite 200 Mclean VA 22102 | Coo | 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 | 2011-09-06 | 10,000 | $6.58 | 30,018 | 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 | 4,254 | Indirect | By Spouse |
Footnotes
- . Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $6.5390 to $6.60 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- The reporting person's purchase of 10,000 shares of GAIN common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's sale of 500 shares of GAIN common stock at a price of $6.98 per share on August 9, 2011 and sale of 9,500 shares of GAIN common stock at a price of $6.80 per share on August 11, 2011. The reporting person has agreed to pay to GAIN, upon settlement of the purchase, $944, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.