SEC Form 4 · accession 0001238284-16-000005
GLADSTONE CAPITAL CORP · GLAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terry Lee Brubaker
Officer — COO · Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 13, 2016 · 4:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001143513
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 12, 2016 | S | 93,334 | $8.9154 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on Frebruary 16, 2016.
- F2Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.90 to $8.95 inclusive. The reporting person undertakes to provide to Gladstone Capital Corporation, any security holder of Gladstone Capital 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.