David A. R. Dullum - 14 Mar 2023 Form 4 Insider Report for GLADSTONE INVESTMENT CORPORATION\DE (GAIN)

Role
President
Signature
/s/ Michael LiCalsi
Issuer symbol
GAIN
Transactions as of
14 Mar 2023
Net transactions value
+$38,520
Form type
4
Filing time
15 Mar 2023, 14:22:32 UTC
Previous filing
16 Dec 2022
Next filing
08 Aug 2023
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 $38,520 +3,000 +2.1% $12.84 144,916 14 Mar 2023 Direct
holding GAIN Common Stock 1,349 14 Mar 2023 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.