David A. R. Dullum - 24 Feb 2022 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: 24 Feb 2022
Net transactions value: +$80,105
Form type: 4
Filing time: 24 Feb 2022, 15:57:02 UTC
Previous filing: 06 Dec 2021
Next filing: 15 Jun 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	$43,380	+3,000	+2.3%	$14.46	132,416	24 Feb 2022	Direct
transaction	GAIN	Common Stock	Purchase	$36,725	+2,500	+1.9%	$14.69	134,916	24 Feb 2022	Direct	F1
holding	GAIN	Common Stock						1,349	24 Feb 2022	By Spouse	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $14.64 to $14.69 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, any security holder of Gladstone Investment Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F2	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.

Content

The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $14.64 to $14.69 inclusive. The reporting person undertakes to provide to Gladstone Investment Corporation, any security holder of Gladstone Investment Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

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.