A. Dullum David - Dec 3, 2021 Form 4 Insider Report for GLADSTONE INVESTMENT CORPORATION\DE (GAIN)

Role
President
Signature
/s/ Michael LiCalsi, attorney-in-fact
Stock symbol
GAIN
Transactions as of
Dec 3, 2021
Transactions value $
$49,620
Form type
4
Date filed
12/6/2021, 03:13 PM
Next filing
Feb 24, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GAIN Common Stock Purchase $49.6K +3K +2.37% $16.54 129K Dec 3, 2021 Direct
holding GAIN Common Stock 1.35K Dec 3, 2021 By Spouse F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.