Welcome to our dedicated page for Gladstone Invt SEC filings (Ticker: GAIN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Gladstone Investment Corporation (GAIN) SEC filings page on Stock Titan provides access to the company’s regulatory documents as filed with the U.S. Securities and Exchange Commission. As a publicly traded business development company and registered investment company, Gladstone Investment files periodic and current reports that describe its financial condition, portfolio activity, governance, and capital markets transactions.
Investors can review Form 10-Q quarterly reports and Form 10-K annual reports, which include detailed financial statements, schedules of investments, and discussions of results. The company’s earnings press releases are often furnished on Form 8-K under Item 2.02, providing summarized financial results for recent quarters. Other Forms 8-K disclose material events such as the pricing of note offerings, entry into underwriting agreements and supplemental indentures, the redemption of outstanding notes, and the declaration of monthly cash distributions.
Gladstone Investment also files a definitive proxy statement (DEF 14A) in connection with its annual meeting of stockholders. This document outlines proposals such as the election of directors and the ratification of the independent registered public accounting firm, and explains how stockholders can vote.
On this page, Stock Titan surfaces these filings with AI-powered summaries that highlight key points, helping readers quickly understand topics such as changes in Gladstone Investment’s capital structure, the performance of its investment portfolio, and governance matters. Users can also monitor securities registered under Section 12(b), including GAIN common stock and the company’s various series of notes, as referenced in its Form 8-K filings.
Gladstone Investment Corporation executive John Sateri, the company’s Chief Investment Officer, has filed an initial statement of beneficial ownership as a reporting person. This Form 3 filing lists him as an officer but shows no reported transactions or derivative holdings at this time.
Gladstone Investment Corporation announced a leadership succession in which founder David Gladstone has stepped down as Chief Executive Officer, effective March 20, 2026, while remaining Chairman of the Board and a member of the investment committee, as well as Chairman, CEO, and President of its affiliated adviser.
David A.R. Dullum, the company’s President since 2008, has been appointed CEO effective immediately, and will retain his President role during a transition period. John Sateri, a long-tenured executive and investment committee member, has been named Chief Investment Officer for the company and related Gladstone entities.
The Board also promoted Erika Highland to Executive Vice President, with her appointment as President of the company effective October 1, 2026, after a transition period. The company notes that its officers are compensated by its external adviser and administrator rather than directly by the company, and emphasizes that these promotions arise from a strategic succession plan aimed at continuity, stability, and alignment with corporate governance best practices, including separating the Chairman and CEO roles.
Gladstone Investment Corporation entered into a Seventh Supplemental Indenture to issue, offer and sell up to $115.0 million aggregate principal amount of its 7.125% Notes due 2031. The notes mature on May 1, 2031 and pay 7.125% interest quarterly starting May 1, 2026.
The notes are unsecured obligations ranking equally with Gladstone Investment’s other unsecured, unsubordinated debt and are effectively and structurally subordinated to secured debt and subsidiary obligations. The notes are redeemable at par on or after May 1, 2028.
Net proceeds are intended to repay a portion of the company’s credit facility, fund new investment opportunities in portfolio companies consistent with its objectives, and for other general corporate purposes, with the company planning to re-borrow under the facility as opportunities arise.
Gladstone Investment Corporation is offering $100,000,000 aggregate principal amount of 7.125% Notes due 2031. These senior unsecured notes pay interest quarterly on February 1, May 1, August 1 and November 1, beginning May 1, 2026, and mature on May 1, 2031.
The notes rank equally with Gladstone Investment’s existing unsecured notes and are structurally subordinated to borrowings at subsidiaries, including its revolving credit facility. They may be redeemed at par, in whole or in part, on or after May 1, 2028. Net proceeds of approximately $96.7 million are expected to be used to repay a portion of the company’s credit facility, fund new investments consistent with its BDC strategy, and for general corporate purposes.
The notes will be issued in $25 denominations and Gladstone Investment intends to list them on the Nasdaq Global Select Market under the symbol “GAING”, where they are expected to trade "flat," without separate accrued-interest payments in secondary trades.
Gladstone Investment Corporation entered into an underwriting agreement to issue and sell $100.0 million aggregate principal amount of its 7.125% Notes due 2031. The notes are being offered under the company’s effective shelf registration statement on Form N-2.
The company also granted the underwriters a 30-day option to purchase up to an additional $15.0 million of these notes to cover overallotments. The closing of the offering is expected to occur on February 18, 2026, subject to customary closing conditions, with Oppenheimer & Co. Inc. acting as representative of the underwriters.
Gladstone Investment Corporation, a business development company focused on lower middle market U.S. businesses, is issuing new unsecured Notes maturing on May 1, 2031. The Notes pay cash interest quarterly on February 1, May 1, August 1 and November 1, starting May 1, 2026, in minimum denominations of $25.
The Notes rank equally with Gladstone Investment’s existing unsecured notes (including its 5.00% 2026, 4.875% 2028, 6.875% 2028 and 7.875% 2030 issues) and are structurally subordinated to borrowings at subsidiaries, such as the Credit Facility, which had about $129.4 million outstanding as of February 6, 2026. The company may redeem the Notes on or after May 1, 2028.
Gladstone Investment intends to list the Notes on the Nasdaq Global Select Market under the symbol “GAING”, with trading expected to be “flat,” meaning prices include accrued interest. Net proceeds are expected to be used to repay a portion of the revolving Credit Facility, fund new portfolio investments consistent with its debt‑and‑equity strategy, and for general corporate purposes.
Gladstone Investment Corporation filed a current report to note that it has announced financial results for its third fiscal quarter ended December 31, 2025. The company released these results in a press release dated February 3, 2026, which is furnished as Exhibit 99.1.
The company clarifies that this press release and related information are being furnished rather than filed under securities laws, which affects how they may be used in future legal or regulatory contexts. No additional financial details are included beyond the reference to the furnished press release.
Gladstone Investment Corporation grew its portfolio and net asset value in the quarter ended December 31, 2025. Total assets reached $1.24 billion, up from $1.01 billion as of March 31, 2025, while net assets rose to $595.4 million.
Net asset value per share increased from $13.55 to $14.95 as investments appreciated. Total investment income for the quarter was $25.1 million, higher than $21.4 million a year earlier, but higher management, incentive and interest expenses resulted in a net investment loss of $6.5 million.
Strong unrealized gains of $70.2 million on the investment portfolio drove a $65.9 million net increase in net assets from operations, compared with $38.5 million in the prior-year quarter. At fair value, investments grew to $1.22 billion, with 71.0% in debt and 29.0% in equity at cost.
Gladstone Investment Corporation announced it will redeem 100% of its outstanding 8.00% notes due 2028 on December 16, 2025. The redemption covers $74,750,000 aggregate principal amount and will be executed at 100% of principal plus accrued and unpaid interest to, but excluding, the redemption date.
In connection with the redemption, the 8.00% notes due 2028 will be delisted from the Nasdaq Global Select Market. This action retires the specific note series at par while meeting all interest obligations through the redemption cutoff.