SEC Form 4/A · accession 0001475246-18-000048
GLADSTONE INVESTMENT CORPORATION\DE · GAIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Terry Lee Brubaker
Officer — Chief Operating Officer · Director
Period of report
Mar 6, 2017
Accepted (ET)
Jun 12, 2018 · 2:47 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 | Mar 6, 2017 | S | 104,936 | $9.18 | D | 43,711 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This optional Form 4 is filed to correct the total amount of shares held by the reporting person immediately following the transaction on March 6, 2017.