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Home > Insider Trading > Filing (0001475246-18-000078)

Filing Details

Accession Number:
0001475246-18-000078
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-12-12 16:14:07
Reporting Period:
2018-12-12
Accepted Time:
2018-12-12 16:14:07
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1321741 Gladstone Investment Corporation GAIN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1238279 R A David Dullum 1521 Westbranch Drive
Suite 100
Mclean VA 22102		 President No Yes No No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-12-12 1,400 $9.90 93,216 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,349 Indirect By Spouse
Footnotes
  1. 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.
  2. 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.