0001193125-21-242795.txt : 20210811 0001193125-21-242795.hdr.sgml : 20210811 20210811084521 ACCESSION NUMBER: 0001193125-21-242795 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20210811 DATE AS OF CHANGE: 20210811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GLADSTONE INVESTMENT CORPORATION\DE CENTRAL INDEX KEY: 0001321741 IRS NUMBER: 830423116 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 424B3 SEC ACT: 1933 Act SEC FILE NUMBER: 333-232124 FILM NUMBER: 211162109 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 424B3 1 d173749d424b3.htm 424B3 424B3

Filed Pursuant to Rule 424(b)(3)

Registration Statement No. 333-232124

Supplement No. 1 dated August 11, 2021 to Prospectus Supplement dated May 21, 2020

(To Prospectus dated July 24, 2019)

 

LOGO

Up to $50,000,000 Aggregate Liquidation Preference

6.375% Series E Cumulative Term Preferred Stock

 

 

This Supplement No. 1 supplements and amends our Prospectus Supplement, dated May 21, 2020 (the “Series E Preferred Stock ATM Prospectus Supplement”), and should be read in conjunction with the Series E Preferred Stock ATM Prospectus Supplement and the prospectus dated July 24, 2019 (the “Base Prospectus”).

On May 21, 2020, we entered into separate sales agreements (each a “Sales Agreement” and collectively the “Sales Agreements”) with Wedbush Securities Inc. and Virtu Americas LLC (collectively, the “Sales Agents”), relating to the shares of our 6.375% Series E Cumulative Term Preferred Stock, par value $0.001 per share (“Series E Term Preferred Stock”), offered pursuant to the Series E Preferred Stock ATM Prospectus Supplement and the Base Prospectus. The Sales Agreements provide that we may offer and sell up to $50,000,000 aggregate liquidation preference of our Series E Term Preferred Stock from time to time through the Sales Agents or directly to the Sales Agents, acting as principals (the “Offering”).

As of the date hereof, we have sold approximately $19.6 million of the Series E Term Preferred Stock pursuant to the Series E Preferred Stock ATM Prospectus Supplement and have decided to terminate the Sales Agreements and the Offering, each effective as of the date hereof.

 

 

The date of this Supplement No. 1 to Prospectus Supplement is August 11, 2021

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