Form 8-K - Current report
22 Agosto 2024 - 10:35PM
Edgar (US Regulatory)
GLADSTONE INVESTMENT CORPORATIONDE false 0001321741 0001321741 2024-08-22 2024-08-22 0001321741 us-gaap:CommonStockMember 2024-08-22 2024-08-22 0001321741 gain:A500NotesDue2026Member 2024-08-22 2024-08-22 0001321741 gain:A4875NotesDue2028Member 2024-08-22 2024-08-22 0001321741 gain:A800NotesDue2028Member 2024-08-22 2024-08-22
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): August 22, 2024
Gladstone Investment Corporation
(Exact Name of Registrant as Specified in Charter)
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Delaware |
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814-00704 |
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83-0423116 |
(State or Other Jurisdiction of Incorporation) |
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(Commission File Number) |
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(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:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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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:
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Title of Each Class |
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Trading Symbol(s) |
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Name of Each Exchange on Which Registered |
Common Stock, $0.001 par value per share |
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GAIN |
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The Nasdaq Stock Market LLC |
5.00% Notes due 2026 |
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GAINN |
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The Nasdaq Stock Market LLC |
4.875% Notes due 2028 |
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GAINZ |
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The Nasdaq Stock Market LLC |
8.00% Notes due 2028 |
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GAINL |
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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 August 22, 2024, Gladstone Investment Corporation (the “Company”) announced the election of Katharine Cornell Gorka to its Board of Directors (the “Board”), effective August 22, 2024. Ms. Gorka will join the 2027 class of Directors for the Company as an independent director, with a term expiring at the Company’s 2027 annual meeting of stockholders. The Board has named Ms. Gorka to its Ethics, Nominating and Corporate Governance Committee.
Ms. Gorka will be compensated on a pro-rated basis for her service on the Board in accordance with the Company’s compensation program for independent directors, as set forth in the Company’s proxy statement for its 2024 annual meeting of stockholders.
There are no other arrangements or understandings between Ms. Gorka and any other person pursuant to which she was elected as a director of the Company. There are no transactions between Ms. Gorka and the Company that would be reportable under Item 404(a) of Regulation S-K.
Item 9.01. |
Financial Statements and Exhibits. |
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.
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Gladstone Investment Corporation |
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Date: August 22, 2024 |
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By: |
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/s/ Rachael Easton |
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Rachael Easton |
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Chief Financial Officer and Treasurer |
Exhibit 99.1
Gladstone Investment Announces Election of
Katharine Cornell Gorka as Director
MCLEAN, VA, August 22, 2024 Gladstone
Investment Corporation (Nasdaq: GAIN) (the Company) announced that Katharine Cornell Gorka has been elected to the 2027 class of Directors for the Company, effective August 22, 2024. Ms. Gorka, 64, is the President of
Threat Knowledge Group, which provides training and expertise on threats to U.S. national security, and also serves as the chair of the Fairfax County Republican Party. Ms. Gorka previously served as a Senior Policy Advisor in the Office of
Policy at the U.S. Department of Homeland Security from 2017 until 2020. In 2020, Ms. Gorka served as Press Secretary for U.S. Customs and Border Protection, and from 2020 to 2022 she served as the Director for the Civil Society at The Heritage
Foundation. Ms. Gorka graduated from the University of North Carolina at Chapel Hill with highest honors in 1978 and received her M.Sc. in Economics with Distinction from the London School of Economics in 1987. The Company believes
Ms. Gorkas background and experience, including her management expertise and strategic analyses, will add value to its Board of Directors by further expanding its knowledge and expertise base, as well as its diversity of views.
About Gladstone Investment Corporation: Gladstone Investment Corporation is a publicly traded business development company that seeks to make
secured debt and equity investments in lower middle market businesses in the United States in connection with acquisitions, changes in control, and recapitalizations. Information on the business activities of all the Gladstone funds can be found at
www.gladstonecompanies.com.
Source: Gladstone Investment Corporation
Investor Relations Inquiries: Please visit www.gladstonecompanies.com or +1-703-287-5893.
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Grafico Azioni Gladstone Investment (NASDAQ:GAINN)
Storico
Da Nov 2024 a Dic 2024
Grafico Azioni Gladstone Investment (NASDAQ:GAINN)
Storico
Da Dic 2023 a Dic 2024