Last 12 months
Inside the activity.
5 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 4 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 1 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 18, 2026 Filed Aug 19, 2026 14:26 UTC |
Ritchie TaylorChief Financial Officer
|
PurchaseCommon Stock | 1,500 | $16.20 | $24,300.00 |
DisclosureSEC source: 0002045064-26-000004 · form4.xml · nonDerivative · entry 1 Ritchie Taylor · CIK 0002045064 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 4,352.82 Read SEC document |
| May 19, 2026 Filed May 19, 2026 17:50 UTC |
Ritchie TaylorChief Financial Officer
|
PurchaseCommon Stock | 155 | $16.10 | $2,495.50 |
DisclosureSEC source: 0002045064-26-000002 · form4.xml · nonDerivative · entry 4 Ritchie Taylor · CIK 0002045064 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,812.23 Read SEC document |
| May 19, 2026 Filed May 19, 2026 17:50 UTC |
Ritchie TaylorChief Financial Officer
|
PurchaseCommon Stock | 160 | $16.15 | $2,584.00 |
DisclosureSEC source: 0002045064-26-000002 · form4.xml · nonDerivative · entry 3 Ritchie Taylor · CIK 0002045064 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,657.23 Read SEC document |
| May 18, 2026 Filed May 19, 2026 17:50 UTC |
Ritchie TaylorChief Financial Officer
|
PurchaseCommon Stock | 150 | $16.29 | $2,443.50 |
DisclosureSEC source: 0002045064-26-000002 · form4.xml · nonDerivative · entry 2 Ritchie Taylor · CIK 0002045064 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,497.23 Read SEC document |
| May 15, 2026 Filed May 19, 2026 17:50 UTC |
Ritchie TaylorChief Financial Officer
|
PurchaseCommon Stock | 450 | $16.50 | $7,425.00 |
DisclosureSEC source: 0002045064-26-000002 · form4.xml · nonDerivative · entry 1 Ritchie Taylor · CIK 0002045064 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,347.23 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $16.45 to $16.55 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. Read SEC document |
| October 10, 2024 Filed Oct 11, 2024 11:11 UTC |
DULLUM DAVID A RPresident
|
GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-017577 · form4.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: No plan indicated Ownership: Indirect · Shares held in Trust Disclosed balance after: 0 F1 · kind: Represents a distribution of securities by the Zena Mercedes Yvonne Dullum Trust to the trust's beneficiaries in connection with a distribution of all of the trust's assets. F2 · shares: These securities were held by the Zena Mercedes Yvonne Dullum Trust for the benefit of Mr. Dullum's family. Mr. Dullum was successor Trustee to the trust. Mr. Dullum does not have an economic interest in the trust and disclaims beneficial ownership of these securities. The filing of this report is not an admission that Mr. Dullum is the beneficial owner of these securities for the purposes of Section 16 or for any other purpose. Read SEC document |
| November 06, 2023 Filed Nov 7, 2023 20:14 UTC |
Easton Rachael Z.CFO and Treasurer
|
PurchaseCommon Stock | 650 | $14.67 | $9,535.50 |
DisclosureSEC source: 0001062993-23-020250 · form4.xml · nonDerivative · entry 1 Easton Rachael Z. · CIK 0001900475 · CFO and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,400 Read SEC document |
| August 07, 2023 Filed Aug 8, 2023 16:14 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 5,000 | $13.39 | $66,965.50 |
DisclosureSEC source: 0001062993-23-016000 · form4.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,916 Read SEC document |
| March 16, 2023 Filed Mar 17, 2023 16:46 UTC |
Easton Rachael Z.CFO and Treasurer
|
PurchaseCommon Stock | 375 | $13.12 | $4,920.00 |
DisclosureSEC source: 0001062993-23-007142 · form4.xml · nonDerivative · entry 1 Easton Rachael Z. · CIK 0001900475 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $13.115 to $13.13 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. Read SEC document |
| March 14, 2023 Filed Mar 15, 2023 14:22 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 3,000 | $12.84 | $38,520.00 |
DisclosureSEC source: 0001062993-23-006926 · form4.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,916 Read SEC document |
| February 06, 2023 Filed Feb 7, 2023 16:04 UTC |
WILKINSON WALTER HDirector
|
PurchaseCommon Stock | 3,661 | $13.96 | $51,107.56 |
DisclosureSEC source: 0001062993-23-002349 · form4.xml · nonDerivative · entry 1 WILKINSON WALTER H · CIK 0001222437 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,153.54 Read SEC document |
| December 16, 2022 Filed Dec 16, 2022 16:58 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 3,000 | $13.06 | $39,181.80 |
DisclosureSEC source: 0001062993-22-024018 · form4.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,916 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $13.0299 to $13.08 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. Read SEC document |
| August 19, 2022 Filed Aug 19, 2022 18:43 UTC |
Smith Jennifer AChief Valuation Officer
|
PurchaseCommon Stock | 100 | $15.61 | $1,561.00 |
DisclosureSEC source: 0001062993-22-018451 · form4.xml · nonDerivative · entry 1 Smith Jennifer A · CIK 0001614473 · Chief Valuation Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100 Read SEC document |
| June 14, 2022 Filed Jun 15, 2022 13:11 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 4,000 | $12.75 | $50,995.20 |
DisclosureSEC source: 0001062993-22-014875 · form4.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,916 Read SEC document |
| May 20, 2022 Filed May 20, 2022 18:41 UTC |
Easton Rachael Z.CFO and Treasurer
|
PurchaseCommon Stock | 175 | $14.52 | $2,540.13 |
DisclosureSEC source: 0001062993-22-013111 · form4.xml · nonDerivative · entry 1 Easton Rachael Z. · CIK 0001900475 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375 Read SEC document |
| February 24, 2022 Filed Feb 24, 2022 16:57 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 2,500 | $14.69 | $36,725.00 |
DisclosureSEC source: 0001062993-22-005573 · form4.xml · nonDerivative · entry 2 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,916 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $14.64 to $14.69 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. Read SEC document |
| February 24, 2022 Filed Feb 24, 2022 16:57 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 3,000 | $14.46 | $43,380.00 |
DisclosureSEC source: 0001062993-22-005573 · form4.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,416 Read SEC document |
| February 23, 2022 Filed Feb 23, 2022 21:13 UTC |
Easton Rachael Z.CFO and Treasurer
|
PurchaseCommon Stock | 200 | $14.93 | $2,985.00 |
DisclosureSEC source: 0001062993-22-005325 · form4.xml · nonDerivative · entry 1 Easton Rachael Z. · CIK 0001900475 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200 Read SEC document |
| December 03, 2021 Filed Dec 6, 2021 16:13 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 3,000 | $16.54 | $49,620.00 |
DisclosureSEC source: 0001062993-21-012250 · form4.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,416 Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 09:09 UTC |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
PurchaseCommon Stock | 2,500 | $6.83 | $17,069.50 |
DisclosureSEC source: 0001475246-20-000064 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,233 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $6.78 to $6.89 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. Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 16:10 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 2,500 | $6.80 | $17,000.00 |
DisclosureSEC source: 0001475246-20-000066 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,416 Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 11:14 UTC |
RYAN JULIAChief Financial Officer
|
PurchaseCommon stock | 2,500 | $8.18 | $20,437.50 |
DisclosureSEC source: 0001475246-20-000062 · edgar.xml · nonDerivative · entry 1 RYAN JULIA · CIK 0001639103 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| March 19, 2020 Filed Mar 20, 2020 09:56 UTC |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
PurchaseCommon Stock | 2,500 | $6.73 | $16,825.00 |
DisclosureSEC source: 0001475246-20-000056 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,733 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $6.43 to $7.04 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. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 14:49 UTC |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
PurchaseCommon Stock | 2,500 | $7.35 | $18,375.00 |
DisclosureSEC source: 0001475246-20-000052 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,233 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $7.34 to $7.36 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. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 16:52 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 8,000 | $7.20 | $57,600.00 |
DisclosureSEC source: 0001475246-20-000054 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,916 Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 13:37 UTC |
LiCalsi MichaelGeneral Counsel and Secretary
|
PurchaseCommon stock | 1,000 | $8.73 | $8,734.80 |
DisclosureSEC source: 0001475246-20-000036 · edgar.xml · nonDerivative · entry 1 LiCalsi Michael · CIK 0001475246 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,144 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 13:57 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 5,000 | $8.99 | $44,950.00 |
DisclosureSEC source: 0001475246-20-000042 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,916 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $8.94 to $9.00 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. Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 09:49 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 10,000 | $10.49 | $104,900.00 |
DisclosureSEC source: 0001475246-20-000020 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,916 Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 14:46 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 3,300 | $11.86 | $39,138.00 |
DisclosureSEC source: 0001475246-20-000016 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,916 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $11.82 to $11.92 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. Read SEC document |
| September 13, 2019 Filed Sep 16, 2019 16:10 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 2,400 | $12.44 | $29,856.00 |
DisclosureSEC source: 0001475246-19-000031 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,616 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $12.43 to $12.45 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. Read SEC document |
| September 09, 2019 Filed Sep 11, 2019 16:15 UTC |
GLADSTONE DAVIDDirector · CEO
|
PurchaseCommon Stock | 20,581 | $11.99 | $246,766.19 |
DisclosureSEC source: 0001475246-19-000027 · edgar.xml · nonDerivative · entry 1 GLADSTONE DAVID · CIK 0000900199 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666,554 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $11.93 to $12.00 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. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 16:30 UTC |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
SaleCommon Stock | 21,501.728 | $11.52 | $247,699.91 |
DisclosureSEC source: 0001475246-19-000025 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,733 Read SEC document |
| August 14, 2019 Filed Aug 15, 2019 16:37 UTC |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
SaleCommon Stock | 21,501.728 | $11.38 | $244,689.66 |
DisclosureSEC source: 0001475246-19-000021 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,234.728 Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 16:01 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 2,000 | $11.10 | $22,200.00 |
DisclosureSEC source: 0001475246-19-000014 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,216 Read SEC document |
| December 12, 2018 Filed Dec 12, 2018 16:14 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 1,400 | $9.90 | $13,860.00 |
DisclosureSEC source: 0001475246-18-000078 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,216 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.89 to $9.90 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. Read SEC document |
| November 08, 2018 Filed Nov 9, 2018 12:29 UTC |
RYAN JULIAChief Financial Officer
|
PurchaseCommon stock | 1,500 | $9.98 | $14,970.00 |
DisclosureSEC source: 0001475246-18-000066 · edgar.xml · nonDerivative · entry 1 RYAN JULIA · CIK 0001639103 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Read SEC document |
| November 08, 2018 Filed Nov 13, 2018 08:16 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 5,600 | $9.94 | $55,664.00 |
DisclosureSEC source: 0001475246-18-000068 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,816 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.83 to $9.97 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. Read SEC document |
| March 05, 2018 Filed Mar 6, 2018 16:14 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 5,000 | $9.56 | $47,800.00 |
DisclosureSEC source: 0001475246-18-000032 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,216 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $9.52 to $9.58 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. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 11:29 UTC |
WILKINSON WALTER HDirector
|
PurchaseCommon Stock | 5,730 | $10.84 | $62,113.20 |
DisclosureSEC source: 0001475246-17-000017 · edgar.xml · nonDerivative · entry 1 WILKINSON WALTER H · CIK 0001222437 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,416 Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 11:19 UTC |
GLADSTONE DAVIDDirector · CEO
|
PurchaseCommon Stock | 20,000 | $9.25 | $185,000.00 |
DisclosureSEC source: 0001475246-17-000006 · edgar.xml · nonDerivative · entry 2 GLADSTONE DAVID · CIK 0000900199 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 645,973 Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 11:19 UTC |
GLADSTONE DAVIDDirector · CEO
|
PurchaseCommon Stock | 4,000 | $9.26 | $37,028.00 |
DisclosureSEC source: 0001475246-17-000006 · edgar.xml · nonDerivative · entry 1 GLADSTONE DAVID · CIK 0000900199 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,973 Read SEC document |
| March 13, 2017 Filed Mar 13, 2017 15:46 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 5,000 | $8.77 | $43,843.00 |
DisclosureSEC source: 0001238279-17-000001 · edgar.xml · nonDerivative · entry 3 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,216 F2 · price: The price in collumn 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $8.70 to $8.80 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, a 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. Read SEC document |
| March 13, 2017 Filed Mar 15, 2017 15:37 UTC |
GLADSTONE DAVIDDirector · CEO
|
PurchaseCommon Stock | 5,000 | $8.70 | $43,484.00 |
DisclosureSEC source: 0000900199-17-000002 · edgar.xml · nonDerivative · entry 1 GLADSTONE DAVID · CIK 0000900199 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 621,973 Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 15:46 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 900 | $8.50 | $7,650.00 |
DisclosureSEC source: 0001238279-17-000001 · edgar.xml · nonDerivative · entry 2 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,216 Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 15:46 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 3,100 | $8.49 | $26,319.00 |
DisclosureSEC source: 0001238279-17-000001 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,316 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 09:41 UTC |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
SaleCommon Stock | 104,936.091 | $9.18 | $963,313.32 |
DisclosureSEC source: 0001238284-17-000003 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,978.697 Read SEC document |
| March 06, 2017 Filed Jun 12, 2018 14:47 UTC Amendment |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
SaleCommon Stock | 104,936.091 | $9.18 | $963,313.32 |
DisclosureSEC source: 0001475246-18-000048 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,711 F1 · balance_after: This 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. Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 16:34 UTC |
BRUBAKER TERRY LEEDirector · Chief Operating Officer
|
SaleCommon Stock | 59,963.481 | $9.20 | $551,664.03 |
DisclosureSEC source: 0001238284-17-000002 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,914.788 Read SEC document |
| November 07, 2016 Filed Nov 8, 2016 13:16 UTC |
DULLUM DAVID A RPresident
|
PurchaseCommon Stock | 4,000 | $7.65 | $30,600.00 |
DisclosureSEC source: 0001238284-16-000003 · edgar.xml · nonDerivative · entry 1 DULLUM DAVID A R · CIK 0001238279 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,565 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.