0001238284-16-000002.txt : 20160816 0001238284-16-000002.hdr.sgml : 20160816 20160816155553 ACCESSION NUMBER: 0001238284-16-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160812 FILED AS OF DATE: 20160816 DATE AS OF CHANGE: 20160816 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: BRUBAKER TERRY LEE CENTRAL INDEX KEY: 0001238284 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00704 FILM NUMBER: 161835993 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 2016-08-12 0001321741 GLADSTONE INVESTMENT CORPORATION\DE GAIN 0001238284 BRUBAKER TERRY LEE 1521 WESTPARK DRIVE SUITE 100 MCLEAN VA 22102 1 1 0 0 Chief Operating Officer Common Stock 2016-08-12 4 S 0 5400 8.6711 D 232597.99 D Common Stock 2016-08-12 4 S 0 500 8.66 D 9780.8 I By Spouse Common Stock 2016-08-12 4 S 0 5400 8.672 D 4380.8 I By Spouse Common Stock 2016-08-15 4 S 0 4380 8.7383 D 0 I By Spouce Common Stock 2016-08-15 4 S 0 18417 8.7274 D 214180.99 D Common Stock 2016-08-16 4 S 0 15317 8.7791 D 198863.99 D Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.66 to $8.68 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. Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.69 to $8.75 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. Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.71 to $8.75 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. Price reflected is a weighted-average price for shares sold. The range of sale prices for transactions reported was $8.71 to $8.88 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. Michael LiCalsi, Attorney-in-fact 2016-08-16