SEC Form 4 · accession 0001238279-17-000001
GLADSTONE INVESTMENT CORPORATION\DE · GAIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A R Dullum
Officer — President
Period of report
Mar 9, 2017
Accepted (ET)
Mar 13, 2017 · 3:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001321741
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 9, 2017 | P | 3,100 | $8.49 | A | 75,316 | D | |
| Common Stock | Mar 9, 2017 | P | 900 | $8.50 | A | 76,216 | D | |
| Common StockF2 | Mar 13, 2017 | P | 5,000 | $8.7686 | A | 81,216 | D | |
| Common StockF1 | holding | — | — | — | 1,349 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. 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.
- F2The price in collumn 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $8.70 to $8.80 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, a 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.