0001475246-20-000042.txt : 20200316 0001475246-20-000042.hdr.sgml : 20200316 20200316135732 ACCESSION NUMBER: 0001475246-20-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200312 FILED AS OF DATE: 20200316 DATE AS OF CHANGE: 20200316 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: 814-00704 FILM NUMBER: 20716566 MAIL ADDRESS: STREET 1: C/O GLADSTONE CAPITAL CORP STREET 2: 1521 WESTBRANCH DRIVE SUITE 200 CITY: MCLEAN STATE: VA ZIP: 22102 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-03-12 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 2020-03-12 4 P 0 5000 8.99 A 115916 D Common Stock 1349 I By Spouse The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $8.94 to $9.00 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. Mr. Dullum disclaims beneficial ownership of these 1,349 shares held by his spouse and this report shall not be deemed an admission that Mr. Dullum is the beneficial owner of the securities for purposes of Section 16 or any other purpose. Michael LiCalsi, Attorney-in-fact 2020-03-16