David A. R. Dullum - 03 Dec 2021 Form 4 Insider Report for GLADSTONE INVESTMENT CORPORATION\DE (GAIN)

Role
President
Signature
/s/ Michael LiCalsi, attorney-in-fact
Issuer symbol
GAIN
Transactions as of
03 Dec 2021
Net transactions value
+$49,620
Form type
4
Filing time
06 Dec 2021, 15:13:31 UTC
Next filing
24 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GAIN Common Stock Purchase $49,620 +3,000 +2.4% $16.54 129,416 03 Dec 2021 Direct
holding GAIN Common Stock 1,349 03 Dec 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.