SEC Form 4 · accession 0001238284-16-000003
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
Nov 7, 2016
Accepted (ET)
Nov 8, 2016 · 1:16 pm EST
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 | Nov 7, 2016 | P | 4,000 | $7.65 | A | 73,565 | D |
Table II — derivative securities
No Table II lines on this filing.