Filing Details

Accession Number:
0001321741-11-000015
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-07 14:03:15
Reporting Period:
2011-09-06
Filing Date:
2011-09-07
Accepted Time:
2011-09-07 14:03:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1321741 Gladstone Investment Corporation GAIN () 830423116
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1238284 Lee Terry Brubaker 1521 Westbranch Drive
Suite 200
Mclean VA 22102
Coo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-09-06 10,000 $6.58 30,018 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 4,254 Indirect By Spouse
Footnotes
  1. . Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $6.5390 to $6.60 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  2. The reporting person's purchase of 10,000 shares of GAIN common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's sale of 500 shares of GAIN common stock at a price of $6.98 per share on August 9, 2011 and sale of 9,500 shares of GAIN common stock at a price of $6.80 per share on August 11, 2011. The reporting person has agreed to pay to GAIN, upon settlement of the purchase, $944, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.