-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SGFxCznurZb0bXdSWX300oVWoKrYU0IpGvcKI9PjMWkmKIzSc+AYzCZ0ct1I0h2W 6WVQcIDlX914Z2qQOZgVbg== 0000912057-02-005258.txt : 20020414 0000912057-02-005258.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-005258 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GLADSTONE CAPITAL CORP CENTRAL INDEX KEY: 0001143513 IRS NUMBER: 542040781 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78016 FILM NUMBER: 02538134 BUSINESS ADDRESS: STREET 1: 1750 TYSONS BLVD 4TH FLOOR CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037441165 MAIL ADDRESS: STREET 1: 1750 TYSONS BLVD STREET 2: 4TH FLOOR CITY: MCLEAN STATE: VA ZIP: 22102 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLADSTONE DAVID CENTRAL INDEX KEY: 0000900199 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1618 ANDERSON RD STREET 2: SUITE 208 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7032860773 MAIL ADDRESS: STREET 1: 1618 ANDERSON RD STREET 2: SUITE 208 CITY: MCLEAN STATE: VA ZIP: 22102 SC 13G 1 a2070163zsc13g.txt SCHEDULE 13G ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response......14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ______)* GLADSTONE CAPITAL CORPORATION ------------------------------------- (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE PER SHARE ------------------------------------- (Title of Class of Securities) 376535100 ------------------------------------- (CUSIP Number) DECEMBER 31, 2001 ------------------------------------- (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) / / Rule 13d-1(c) /X/ Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. Page 1 of 4 pages ------------------------------- ------------------ CUSIP NO. 376535100 13G PAGE 2 OF 4 PAGES ------------------------------- ------------------ ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY) David Gladstone ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------------------------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 990,959 ------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 590,959 ------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH: 0 ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 990,959 ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.5% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer: Gladstone Capital Corporation (b) Address of Issuer's Principal Executive Offices: 1616 Anderson Road, Suite 208 McLean, Virginia 22102 ITEM 2. (a) Name of Person Filing: David Gladstone (b) Address of Principal Business Office or, if none, Residence: 1616 Anderson Road, Suite 208 McLean, Virginia 22102 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, $0.001 par value per share (e) CUSIP Number: 376535100 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b), OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or Dealer registered under Section 15 of the Act (15 U.S.C. 78o); (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) / / Insurance company as defined in section 3(a)19) of the Act (15 U.S.C. 78c); (d) / / An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) / / An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) / / An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) / / A parent holding company or control person in accordance with Section 240.13d-1(b)(ii)(G); (h) / / A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) / / A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(J) Not applicable. ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 990,959 shares (b) Percent of Class: 9.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 990,959 shares (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or to direct the disposition of: 590,959 shares (iv) Shared power to dispose or to direct the disposition of: 0 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable. Page 3 of 4 pages ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF A GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. /s/ DAVID GLADSTONE ---------------------------------- David Gladstone Chairman and Chief Executive Officer, Gladstone Capital Corporation Date: JANUARY 31, 2002 Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----