GLADSTONE INVESTMENT CORPORATIONDE false 0001321741 0001321741 2024-10-10 2024-10-10 0001321741 us-gaap:CommonStockMember 2024-10-10 2024-10-10 0001321741 gain:M5.00NotesDue20263Member 2024-10-10 2024-10-10 0001321741 gain:M4.875NotesDue20281Member 2024-10-10 2024-10-10 0001321741 gain:M8.00NotesDue20282Member 2024-10-10 2024-10-10

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 15, 2024 (October 10, 2024)

 

 

Gladstone Investment Corporation

(Exact Name of Registrant as Specified in Charter)

 

 

 

Delaware   814-00704   83-0423116

(State or Other Jurisdiction

of Incorporation)

  

(Commission

File Number)

  

(I.R.S. Employer

Identification Number)

1521 Westbranch Drive, Suite 100, McLean, Virginia 22102

(Address of Principal Executive Offices) (Zip Code)

(703) 287-5800

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

  ☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  ☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  ☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  ☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

  

Trading

Symbol(s)

  

Name of Each Exchange

on Which Registered

Common Stock, $0.001 par value per share   GAIN   The Nasdaq Stock Market LLC
5.00% Notes due 2026   GAINN   The Nasdaq Stock Market LLC
4.875% Notes due 2028   GAINZ   The Nasdaq Stock Market LLC
8.00% Notes due 2028   GAINL   The Nasdaq Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On October 10, 2024, Rachael Easton gave notice that she was resigning as the Chief Financial Officer and Treasurer of Gladstone Investment Corporation (the “Company”) effective November 8, 2024.

On October 15, 2024, the Company appointed Taylor Ritchie to serve as the Chief Financial Officer and Treasurer of the Company, with such appointment effective November 8, 2024. Mr. Ritchie, age 35, served as the Company’s Accounting Manager from November 2018 until July 2020, the Company’s Controller from July 2020 until July 2022 and as the Company’s Controller and Director of Financial Reporting since July 2022. Prior to joining the Company, Mr. Ritchie worked for Ernst & Young from 2011 until 2018 as a Manager in the Financial Services practice, focusing on Banking and Capital Markets, in McLean, VA as well as Atlanta, GA. Mr. Ritchie is a CPA licensed in the Commonwealth of Virginia and is a member of the AICPA and the VSCPA. He holds a B.S. in Accounting and Finance from the University of Alabama where he graduated Summa Cum Laude.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

    Gladstone Investment Corporation
Date: October 15, 2024     By:  

/s/ Rachael Easton

      Rachael Easton
      Chief Financial Officer and Treasurer
v3.24.3
Document and Entity Information
Oct. 10, 2024
Document And Entity Information [Line Items]  
Entity Registrant Name GLADSTONE INVESTMENT CORPORATIONDE
Amendment Flag false
Entity Central Index Key 0001321741
Document Type 8-K
Document Period End Date Oct. 10, 2024
Entity Incorporation State Country Code DE
Entity File Number 814-00704
Entity Tax Identification Number 83-0423116
Entity Address, Address Line One 1521 Westbranch Drive
Entity Address, Address Line Two Suite 100
Entity Address, City or Town McLean
Entity Address, State or Province VA
Entity Address, Postal Zip Code 22102
City Area Code (703)
Local Phone Number 287-5800
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Soliciting Material false
Pre Commencement Tender Offer false
Pre Commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Common Stock [Member]  
Document And Entity Information [Line Items]  
Security 12b Title Common Stock, $0.001 par value per share
Trading Symbol GAIN
Security Exchange Name NASDAQ
M 5.00 Notes Due 20263 [Member]  
Document And Entity Information [Line Items]  
Security 12b Title 5.00% Notes due 2026
Trading Symbol GAINN
Security Exchange Name NASDAQ
M 4.875 Notes Due 20281 [Member]  
Document And Entity Information [Line Items]  
Security 12b Title 4.875% Notes due 2028
Trading Symbol GAINZ
Security Exchange Name NASDAQ
M 8.00 Notes Due 20282 [Member]  
Document And Entity Information [Line Items]  
Security 12b Title 8.00% Notes due 2028
Trading Symbol GAINL
Security Exchange Name NASDAQ
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