SEC Form 4 · accession 0001475246-17-000020
GLADSTONE CAPITAL CORP · GLAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Marcotte
Officer — President
Period of report
Nov 28, 2017
Accepted (ET)
Nov 30, 2017 · 5:07 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 | Nov 28, 2017 | P | 4,329 | $9.79 | A | 381,770 | D | |
| Common StockF2 | Nov 29, 2017 | P | 3,671 | $9.85 | A | 385,441 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reporded in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.7833 to $9.8000 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.
- F2The price reporded in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.8404 to $9.8499 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.