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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 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 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.