SEC Form 4 · accession 0001238284-16-000002
GLADSTONE INVESTMENT CORPORATION\DE · GAIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terry Lee Brubaker
Officer — Chief Operating Officer · Director
Period of report
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 3:55 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 StockF1 | Aug 12, 2016 | S | 5,400 | $8.6711 | D | 232,598 | D | |
| Common Stock | Aug 12, 2016 | S | 500 | $8.66 | D | 9,781 | I | By Spouse |
| Common StockF1 | Aug 12, 2016 | S | 5,400 | $8.672 | D | 4,381 | I | By Spouse |
| Common StockF2 | Aug 15, 2016 | S | 4,380 | $8.7383 | D | 0 | I | By Spouce |
| Common StockF3 | Aug 15, 2016 | S | 18,417 | $8.7274 | D | 214,181 | D | |
| Common StockF4 | Aug 16, 2016 | S | 15,317 | $8.7791 | D | 198,864 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.66 to $8.68 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.
- F2Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.69 to $8.75 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.
- F3Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.71 to $8.75 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.
- F4Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.71 to $8.88 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.