Current Report Filing (8-k)
April 14 2023 - 4:23PM
Edgar (US Regulatory)
GLADSTONE INVESTMENT CORPORATIONDE false 0001321741 0001321741 2023-04-14 2023-04-14 0001321741 us-gaap:CommonStockMember 2023-04-14 2023-04-14 0001321741 gain:A500NotesDue2026Member 2023-04-14 2023-04-14 0001321741 gain:A4857NotesDue2028Member 2023-04-14 2023-04-14
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event Reported): April 14, 2023
Gladstone Investment Corporation
(Exact Name of Registrant as Specified in Charter)
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| Delaware |
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814-00704 |
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83-0423116 |
(State or Other Jurisdiction
of Incorporation) |
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(Commission File Number) |
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(I.R.S. Employer
Identification Number) |
1521 Westbranch Drive, Suite 100, McLean, Virginia 22102
(Address of Principal Executive Offices) (Zip Code)
(703) 287-5800
(Registrant’s telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
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| Title of Each Class |
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Trading
Symbol(s) |
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Name of Each Exchange on Which Registered |
| Common Stock, $0.001 par value per share |
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GAIN |
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The Nasdaq Stock Market LLC |
| 5.00% Notes due 2026 |
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GAINN |
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The Nasdaq Stock Market LLC |
| 4.875% Notes due 2028 |
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GAINZ |
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The Nasdaq Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On April 14, 2023, Terry L. Brubaker notified Gladstone Investment Corporation (the “Company”) that he is resigning from the Company’s board of directors, effective immediately.
| Item 9.01. |
Financial Statements and Exhibits. |
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| Exhibit No. |
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Description |
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| 104 |
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Cover Page Interactive Data File (embedded within the Inline XBRL document). |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Gladstone Investment Corporation |
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| Date: April 14, 2023 |
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By: |
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/s/ Rachael Easton |
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Rachael Easton |
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Chief Financial Officer and Treasurer |
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