GLADSTONE INVESTMENT CORPORATIONDE false 0001321741 0001321741 2023-08-03 2023-08-03 0001321741 us-gaap:CommonStockMember 2023-08-03 2023-08-03 0001321741 gain:A500NotesDue2026Member 2023-08-03 2023-08-03 0001321741 gain:A4875NotesDue2028Member 2023-08-03 2023-08-03 0001321741 gain:A800NotesDue2028Member 2023-08-03 2023-08-03

 

 

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): August 3, 2023

 

 

Gladstone Investment Corporation

(Exact Name of Registrant as Specified in Charter)

 

 

 

Delaware   814-00704   83-0423116

(State or Other Jurisdiction

of Incorporation)

  

(Commission

File Number)

  

(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)

(Former name or former address, if changed since last report)

 

 

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:

 

  ☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  ☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  ☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  ☐

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:

 

Title of Each Class

  

Trading

Symbol(s)

  

Name of Each Exchange

on Which Registered

Common Stock, $0.001 par value per share   GAIN   The Nasdaq Stock Market LLC
5.00% Notes due 2026   GAINN   The Nasdaq Stock Market LLC
4.875% Notes due 2028   GAINZ   The Nasdaq Stock Market LLC
8.00% Notes due 2028   GAINL   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 5.07.

Submission of Matters to a Vote of Security Holders.

On August 3, 2023, Gladstone Investment Corporation (the “Company”) held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”). The Company’s stockholders voted and approved each of the proposals presented at the Annual Meeting, which are described in detail in the Company’s Definitive Proxy Statement on Schedule 14A, which was filed with the Securities and Exchange Commission on June 16, 2023.

The matters considered and voted on by the Company’s stockholders at the Annual Meeting and the vote of the stockholders were as follows:

 

  1.

The election of two directors to hold office until the 2026 Annual Meeting of Stockholders.

 

   

For

  

Withheld

  

Broker Non—Votes

Michela A. English   8,671,666   545,193   12,565,453
Anthony W. Parker   8,706,311   510,548   12,565,453

 

  2.

The ratification of the selection by the Audit Committee of our Board of Directors of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending March 31, 2024:

 

For

  

Against

  

Abstain

  

Broker Non-Votes

21,087,700   375,076   319,536   0

SIGNATURES

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.

 

    Gladstone Investment Corporation
      (Registrant)
    By:  

/s/Rachael Easton

August 3, 2023      

Rachael Easton

      Chief Financial Officer and Treasurer
v3.23.2
Document and Entity Information
Aug. 03, 2023
Document And Entity Information [Line Items]  
Entity Registrant Name GLADSTONE INVESTMENT CORPORATIONDE
Amendment Flag false
Entity Central Index Key 0001321741
Document Type 8-K
Document Period End Date Aug. 03, 2023
Entity Incorporation State Country Code DE
Entity File Number 814-00704
Entity Tax Identification Number 83-0423116
Entity Address, Address Line One 1521 Westbranch Drive
Entity Address, Address Line Two Suite 100
Entity Address, City or Town McLean
Entity Address, State or Province VA
Entity Address, Postal Zip Code 22102
City Area Code (703)
Local Phone Number 287-5800
Written Communications false
Soliciting Material false
Pre Commencement Tender Offer false
Pre Commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Common Stock [Member]  
Document And Entity Information [Line Items]  
Security 12b Title Common Stock, $0.001 par value per share
Trading Symbol GAIN
Security Exchange Name NASDAQ
A 500 Notes Due 2026 [Member]  
Document And Entity Information [Line Items]  
Security 12b Title 5.00% Notes due 2026
Trading Symbol GAINN
Security Exchange Name NASDAQ
A 4875 Notes Due 2028 [Member]  
Document And Entity Information [Line Items]  
Security 12b Title 4.875% Notes due 2028
Trading Symbol GAINZ
Security Exchange Name NASDAQ
A 800 Notes Due 2028 [Member]  
Document And Entity Information [Line Items]  
Security 12b Title 8.00% Notes due 2028
Trading Symbol GAINL
Security Exchange Name NASDAQ
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