-----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, LenyTzJxK/YYWBP9LB6WL3HmxxcYGp6c8oQGAUZOxIw/FzAU/H23Xsltwr4W49/s UjfowHwhaHjyCspF4KIWmw== 0000912057-01-530023.txt : 20010824 0000912057-01-530023.hdr.sgml : 20010824 ACCESSION NUMBER: 0000912057-01-530023 CONFORMED SUBMISSION TYPE: 8-A12G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010823 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GLADSTONE CAPITAL CORP CENTRAL INDEX KEY: 0001143513 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 542040781 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-A12G SEC ACT: 1934 Act SEC FILE NUMBER: 000-33117 FILM NUMBER: 1721872 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 8-A12G 1 a2057753z8-a12g.txt 8-A12G - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------------------ FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(B) OR (G) OF THE SECURITIES EXCHANGE ACT OF 1934 Gladstone Capital Corporation (Exact Name of Registrant as Specified in its Charter) Maryland 54-2040781 ----------------------------------------- ---------------------------------- (State of Incorporation or Organization) (I.R.S. Employer Identification no.) 1750 Tysons Blvd., 4th Floor, McLean, VA 22102 ----------------------------------------- ---------------------------------- (Address of principal executive offices) (Zip code)
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), please check the following box. / / If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following. /X/ Securities Act registration statement number to which this form relates: 333-63700_______________________________________________________________________ (if applicable) Securities to be registered pursuant to Section 12(b) of the Act: None. Securities to be registered pursuant to Section 12(g) of the Act: Common Stock, $0.001 par value per share________________________________________ (Title of Class) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED. A description of the Common Stock to be registered hereunder is contained in the section entitled "Description of our capital stock," commencing at page 44 of the Prospectus included in Pre-Effective Amendment No. 2 to the Registrant's Form N-2 Registration Statement, No 333-63700, filed with the Securities and Exchange Commission (the "Commission") on August 10, 2001 and is incorporated herein by reference and the description contained under such caption included in the form of final prospectus subsequently filed by the Registrant pursuant to Rule 497 under the Securities Act of 1933, as amended, which form of final prospectus is also incorporated by reference herein. ITEM 2. EXHIBITS.
EXHIBIT NUMBER DESCRIPTION - ------------------------------------------------------------------------------------ a.1 Articles of Incorporation (1) a.2 Articles of Amendment and Restatement to the Articles of Incorporation (2) b. Bylaws (2) d.1 Form of Direct Registration Transaction Advice for the Company's common stock, par value $0.001 per share, the rights of holders of which are defined in Exhibits a and b. (2) d.2 Specimen stock certificate (3) e. Dividend Reinvestment Plan (2)
(1) INCORPORATED BY REFERENCE TO THE EXHIBIT OF THE SAME NUMBER FILED WITH THE REGISTRATION STATEMENT ON FORM N-2 (FILE NO. 333-63700) ON JUNE 22, 2001. (2) INCORPORATED BY REFERENCE TO THE EXHIBIT OF THE SAME NUMBER FILED WITH PRE-EFFECTIVE AMENDMENT NO. 1 TO THE REGISTRATION STATEMENT ON FORM N-2 (FILE NO. 333-63700) ON JULY 27, 2001. (3) INCORPORATED BY REFERENCE TO THE EXHIBIT OF THE SAME NUMBER FILED WITH PRE-EFFECTIVE AMENDMENT NO. 3 TO THE REGISTRATION STATEMENT ON FORM N-2 (FILE NO. 333-63700) ON AUGUST 23, 2001. - -------------------------------------------------------------------------------- 2 - -------------------------------------------------------------------------------- Signature Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized. GLADSTONE CAPITAL CORPORATION Date: August 23, 2001 By: /s/ DAVID GLADSTONE ----------------------------------------- David Gladstone Chairman and Chief Executive Officer
- -------------------------------------------------------------------------------- 3 - -------------------------------------------------------------------------------- Index to Exhibits
EXHIBIT NUMBER DESCRIPTION - ------------------------------------------------------------------------------------ a.1 Articles of Incorporation (1) a.2 Articles of Amendment and Restatement to the Articles of Incorporation (2) b. Bylaws (2) d.1 Form of Direct Registration Transaction Advice for the Company's common stock, par value $0.001 per share, the rights of holders of which are defined in Exhibits a and b. (2) d.2 Specimen stock certificate (3) e. Dividend Reinvestment Plan (2)
(1) INCORPORATED BY REFERENCE TO THE EXHIBIT OF THE SAME NUMBER FILED WITH THE REGISTRATION STATEMENT ON FORM N-2 (FILE NO. 333-63700) ON JUNE 22, 2001. (2) INCORPORATED BY REFERENCE TO THE EXHIBIT OF THE SAME NUMBER FILED WITH PRE-EFFECTIVE AMENDMENT NO. 1 TO THE REGISTRATION STATEMENT ON FORM N-2 (FILE NO. 333-63700) ON JULY 27, 2001. (3) INCORPORATED BY REFERENCE TO THE EXHIBIT OF THE SAME NUMBER FILED WITH PRE-EFFECTIVE AMENDMENT NO. 3 TO THE REGISTRATION STATEMENT ON FORM N-2 (FILE NO. 333-63700) ON AUGUST 23, 2001. - -------------------------------------------------------------------------------- 4 -----END PRIVACY-ENHANCED MESSAGE-----