Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GLADSTONE CAPITAL CORPGLAD · Entity 5542 | Director · COO | December 12, 2016 | December 13, 2016 |
| GLADSTONE INVESTMENT CORPORATIONDEGAIN · Entity 8917 | Director · Chief Operating Officer | March 23, 2020 | March 24, 2020 |
| Gladstone Alternative Income FundGAIAX · Entity 41030 | Portfolio Manager | November 06, 2024 | November 06, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GLADSTONE CAPITAL CORP
Report date December 12, 2016 · Filed December 13, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-12-12 transaction · row 1
1 source rowRow 1 · 2016-12-12 · Sale · Disposed 93,334 · Balance 0 F1: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on Frebruary 16, 2016. F2: Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.90 to $8.95 inclusive. The reporting person undertakes to provide to Gladstone Capital Corporation, any security holder of Gladstone Capital 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on Frebruary 16, 2016.
F2: Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.90 to $8.95 inclusive. The reporting person undertakes to provide to Gladstone Capital Corporation, any security holder of Gladstone Capital 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.
GLADSTONE INVESTMENT CORPORATIONDE
Report date March 23, 2020 · Filed March 24, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,233 |
Reported balance
After 2020-03-23 transaction · row 1
1 source rowRow 1 · 2020-03-23 · Purchase · Acquired 2,500 · Balance 16,233 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Gladstone Alternative Income Fund
Report date November 06, 2024 · Filed November 06, 2024
This filing explicitly reported no securities owned.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Global System Dynamics, Inc.
Report date October 12, 2022 · Filed October 12, 2022
Section 16 reporting ended · disclosed 2022-10-12. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 23, 2020 Filed Mar 24, 2020 09:09 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 19, 2020 Filed Mar 20, 2020 09:56 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| August 16, 2019 Filed Aug 19, 2019 16:30 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| March 06, 2017 Filed Mar 8, 2017 09:41 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| December 12, 2016 Filed Dec 13, 2016 21:27 UTC | GLADSTONE CAPITAL CORP GLAD · Entity 5542 | SaleCommon Stock | 93,334 | $8.92 | $832,109.94 |
DisclosureSEC source: 0001238284-16-000005 · edgar.xml · nonDerivative · entry 1 BRUBAKER TERRY LEE · CIK 0001238284 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on Frebruary 16, 2016. F2 · price: Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.90 to $8.95 inclusive. The reporting person undertakes to provide to Gladstone Capital Corporation, any security holder of Gladstone Capital 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.