Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GLADSTONE INVESTMENT CORPORATIONDEGAIN · Entity 8917 | President | October 10, 2024 | October 11, 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 INVESTMENT CORPORATIONDE
Report date October 10, 2024 · Filed October 11, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectShares held in Trust | 0 |
Reported balance
After 2024-10-10 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-10-10 · Gift · Disposed 3,000 · Balance 0 F1: 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: 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. |
| Common StockSEC Table I · non-derivative | Direct | 149,916 |
Reported balance
Holding disclosure · report date 2024-10-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 149,916 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 1,349 |
Reported balance
Holding disclosure · report date 2024-10-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,349 F3: Mr. Dullum disclaims beneficial ownership of these 1,349 shares held by his spouse and this report shall not be deemed an admission that Mr. Dullum is the beneficial owner of the securities for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
F3: Mr. Dullum disclaims beneficial ownership of these 1,349 shares held by his spouse and this report shall not be deemed an admission that Mr. Dullum is the beneficial owner of the securities for purposes of Section 16 or any other purpose.
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 |
|---|---|---|---|---|---|---|
| October 10, 2024 Filed Oct 11, 2024 11:11 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| August 07, 2023 Filed Aug 8, 2023 16:14 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 14, 2023 Filed Mar 15, 2023 14:22 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| December 16, 2022 Filed Dec 16, 2022 16:58 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| June 14, 2022 Filed Jun 15, 2022 13:11 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| February 24, 2022 Filed Feb 24, 2022 16:57 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| December 03, 2021 Filed Dec 6, 2021 16:13 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 16:10 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 18, 2020 Filed Mar 19, 2020 16:52 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 12, 2020 Filed Mar 16, 2020 13:57 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| June 04, 2019 Filed Jun 6, 2019 16:01 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 13, 2018 08:16 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| March 13, 2017 Filed Mar 13, 2017 15:46 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 09, 2017 Filed Mar 13, 2017 15:46 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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 |
| November 07, 2016 Filed Nov 8, 2016 13:16 UTC | GLADSTONE INVESTMENT CORPORATIONDE GAIN · Entity 8917 | 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.