0001238284-16-000003.txt : 20161108 0001238284-16-000003.hdr.sgml : 20161108 20161108131627 ACCESSION NUMBER: 0001238284-16-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161107 FILED AS OF DATE: 20161108 DATE AS OF CHANGE: 20161108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLADSTONE INVESTMENT CORPORATION\DE CENTRAL INDEX KEY: 0001321741 IRS NUMBER: 830423116 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 1521 WESTBRANCH DRIVE STREET 2: SUITE 100 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7032875800 MAIL ADDRESS: STREET 1: 1521 WESTBRANCH DRIVE STREET 2: SUITE 100 CITY: MCLEAN STATE: VA ZIP: 22102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DULLUM DAVID A R CENTRAL INDEX KEY: 0001238279 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23191 FILM NUMBER: 161980642 MAIL ADDRESS: STREET 1: C/O GLADSTONE CAPITAL CORP STREET 2: 1521 WESTBRANCH DRIVE SUITE 200 CITY: MCLEAN STATE: VA ZIP: 22102 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-11-07 0001321741 GLADSTONE INVESTMENT CORPORATION\DE GAIN 0001238279 DULLUM DAVID A R 1521 WESTBRANCH DRIVE SUITE 100 MCLEAN VA 22102 0 1 0 0 President Common Stock 2016-11-07 4 P 0 4000 7.65 A 73565 D Michael LiCalsi, Attorney-in-fact 2016-11-08