Source-grounded facts extracted from GLADSTONE INVESTMENT CORPORATION\DE's SEC 8-K filings across all families, newest first. Each cites a verbatim SEC excerpt.
GLADSTONE INVESTMENT CORPORATION\DE amended credit facility of $405.0 million with KeyBank National Association at 30-day Term SOFR, subject to a floor of 0.35%, plus 2.85% per annum maturing two years after the termination of the revolving period (i.e., June 8, 2031).
“then increasing to 3.10% for the period from June 8, 2029 to June 8, 2030, and increasing further to 3.35% thereafter; • increase the Credit Facility size from $300.0 million to $405.0 million, with the ability to increase the total maximum facility to $500.0 million; and • update certain existing terms and covenants including certain change-in-control events. The”
Material Agreements
GLADSTONE INVESTMENT CORPORATION\DE amended Amendment No. 13 with KeyBank National Association (effective 2026-06-10).
“On June 10, 2026, Gladstone Investment Corporation (the “Company”), through its wholly-owned subsidiary Gladstone Business Investment, LLC, entered into Amendment No. 13 (the “Amendment”) to its Fifth Amended and Restated Credit Agreement with KeyBank National Association (“KeyBank”), as administrative agent, joint lead arranger and lender, Fifth Third Bank as managing agent, joint lead arranger and lender, City National Bank as joint lead arranger and lender, Gladstone Management Corporation, the Company’s Adviser, as servicer, and certain other lenders party thereto (together with the Amendment, the “Credit Facility”).”
George Stelljes, III was elected as Director at GLADSTONE INVESTMENT CORPORATION\DE.
“On June 1, 2026, the Board of Directors (the “Board”) of Gladstone Investment Corporation (the “Company”) elected George “Chip” Stelljes, III to the Board, effective June 1, 2026.”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported financial results for fourth quarter and fiscal year ended March 31, 2026.
“On May 12, 2026, Gladstone Investment Corporation issued a press release announcing its financial results for its fourth quarter and fiscal year ended March 31, 2026.”
Material Agreements
GLADSTONE INVESTMENT CORPORATION\DE entered into Seventh Supplemental Indenture with UMB Bank, National Association valued at $115.0 million aggregate principal amount (effective 2026-02-18).
“On February 18, 2026, in connection with a previously announced public offering, Gladstone Investment Corporation (the “Company”) and UMB Bank, National Association, as trustee (the “Trustee”), entered into a Seventh Supplemental Indenture ( the “Seventh Supplemental Indenture” ) to the Indenture, dated May 22, 2020, between the Company and the Trustee (together with the Seventh Supplemental Indenture, the “Indenture”).”
Debt Financings
GLADSTONE INVESTMENT CORPORATION\DE incurred senior notes of $115.0 million with UMB Bank, National Association, as trustee at 7.125% per year maturing May 1, 2031.
“On February 18, 2026, in connection with a previously announced public offering, Gladstone Investment Corporation (the “Company”) and UMB Bank, National Association, as trustee (the “Trustee”), entered into a Seventh Supplemental Indenture ( the “Seventh Supplemental Indenture” ) to the Indenture, dated May 22, 2020, between the Company and the Trustee (together with the Seventh Supplemental Indenture, the “Indenture”). The Seventh Supplemental Indenture relates to Company’s issuance, offer and sale of up to $ 115.0 million aggregate principal amount of its 7.125% Notes due 2031 (the “Notes”).”
Material Agreements
GLADSTONE INVESTMENT CORPORATION\DE entered into Underwriting Agreement with Oppenheimer & Co. Inc., as representative of the several underwriters valued at $100.0 million aggregate principal amount (effective 2026-02-10).
“On February 10, 2026, Gladstone Investment Corporation (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Oppenheimer & Co. Inc., as representative of the several underwriters named therein, in connection with the issuance and sale of $100.0 million aggregate principal amount of the Company’s 7.125% Notes due 2031 (the “Offering”).”
Terry Lee Brubaker departed as Chief Operating Officer at GLADSTONE INVESTMENT CORPORATION\DE.
“On November 13, 2024, Terry Lee Brubaker gave notice that he will be retiring as the Chief Operating Officer of Gladstone Investment Corporation (the “Company”) effective December 2, 2024.”
Taylor Ritchie was appointed as Chief Financial Officer and Treasurer at GLADSTONE INVESTMENT CORPORATION\DE.
“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.”
Rachael Easton departed as Chief Financial Officer and Treasurer at GLADSTONE INVESTMENT CORPORATION\DE.
“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.”
Katharine Cornell Gorka was elected as Director at GLADSTONE INVESTMENT CORPORATION\DE.
“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.”
Material Agreements
GLADSTONE INVESTMENT CORPORATION\DE entered into Sales Agreements with Gladstone Management Corporation, Gladstone Administration, LLC, and Oppenheimer & Co. Inc., B. Riley Securities, Inc., Virtu Americas LLC valued at $75 million (effective 2024-05-14).
“Gladstone Investment Corporation (the “Company”) entered into separate sales agreements, each dated May 14, 2024 (collectively, the “Sales Agreements”), with Gladstone Management Corporation, Gladstone Administration, LLC, and Oppenheimer & Co. Inc. B. Riley Securities, Inc. and Virtu Americas LLC (each, a “Sales Agent” and, collectively, the “Sales Agents”), providing for the issuance of up to an aggregate of $75 million of its common stock”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported fiscal year ended March 31, 2024 results: revenue $ 87,306, net income 21,777, EPS $ 0.63.
“For the year ended: Total investment income $ 87,306 $ 81,543 $ 5,763 7.1 % Total expenses, net (A) 65,529 44,543 20,986 47.1 % Net investment income (A) 21,777 37,000 (15,223) (41.1) % Net realized gain 30,256 10,753 19,503 181.4 % Net unrealized appreciation (depreciation) 33,272 (12,206) 45,478 NM Net increase in net assets resulting from operations (A) $ 85,305 $ 35,547 $ 49,758 140.0 % Net investment income per weighted-average common share (A) $ 0.63 $ 1.11 $ (0.48) (43.2) %”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported fourth quarter ended March 31, 2024 results: revenue $ 23,648, net income 5,323, EPS $ 0.15.
“For the quarter ended: Total investment income $ 23,648 $ 23,081 $ 567 2.5 % Total expenses, net (A) 18,325 13,337 4,988 37.4 % Net investment income (A) 5,323 9,744 (4,421) (45.4) % Net realized (loss) gain (14,650) 43,461 (58,111) NM Net unrealized appreciation (depreciation) 31,911 (46,626) 78,537 NM Net increase in net assets resulting from operations (A) $ 22,584 $ 6,579 $ 16,005 243.3 % Net investment income per weighted-average common share (A) $ 0.15 $ 0.28 $ (0.13) (46.4) %”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported third fiscal quarter ended December 31, 2023 results: revenue $23.1 million, net income $9.7 million, EPS $0.28 per weighted-average common share.
“Net investment income for the quarter ended December 31, 2023 was $9.7 million, or $0.28 per weighted-average common share, compared to net investment loss of $1.7 million, or $(0.05) per weighted-average common share, for the quarter ended September 30, 2023. This increase was a result of a decrease in total expenses, net of credits, primarily due to a decrease in accruals for capital gains-based incentive fees, and an increase in total investment income in the current quarter. Total investment income for the quarters ended December 31, 2023 and September 30, 2023 was $23.1 million and $20.3 million, respectively.”
Debt Financings
GLADSTONE INVESTMENT CORPORATION\DE amended credit facility of $200.0 million with KeyBank National Association.
“Under the terms of the Amendment, the Credit Facility was amended to increase the Credit Facility size from $135.0 million to $200.0 million and update certain existing terms.”
Material Agreements
GLADSTONE INVESTMENT CORPORATION\DE amended Amendment No. 9 with KeyBank National Association, Fifth Third Bank, and certain other lenders valued at $200.0 million (effective 2024-02-05).
“On February 5, 2024, Gladstone Investment Corporation (the “Company”), through its wholly-owned subsidiary Gladstone Business Investment, LLC, entered into Amendment No. 9 (the “Amendment”) to its Fifth Amended and Restated Credit Agreement with KeyBank National Association (“KeyBank”), as administrative agent, joint lead arranger and lender, Fifth Third Bank as managing agent, joint lead arranger and lender, Gladstone Management Corporation, the Company’s Adviser, as servicer, and certain other lenders party thereto (together with the Amendment, the “Credit Facility”).”
Shareholder Votes
GLADSTONE INVESTMENT CORPORATION\DE shareholders approved To approve a new investment advisory agreement between the Company and Gladstone Management Corporation, the Company’s investment adviser at the 2024-01-04 meeting.
“To approve a new investment advisory agreement between the Company and Gladstone Management Corporation, the Company’s investment adviser: For Against Abstain 15,797,260 884,850 733,182”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported second fiscal quarter ended September 30, 2023 results: revenue $20,277, net income $47,356, EPS $1.40.
“Information: (dollars in thousands, except per share data (unaudited)) : September 30, 2023 June 30, 2023 $ Change % Change For the quarter ended: Total investment income $ 20,277 $ 20,300 $ (23) (0.1) % Total expenses, net (A) 22,007 11,860 10,147 85.6 % Net investment (loss) income (A) (1,730) 8,440 (10,170) NM Net realized gain 289 1,155 (866) (75.0) %”
Material Agreements
GLADSTONE INVESTMENT CORPORATION\DE amended Amendment No. 8 with KeyBank National Association (effective 2023-10-30).
“On October 30, 2023, Gladstone Investment Corporation (the “Company”), through its wholly-owned subsidiary Gladstone Business Investment, LLC, entered into Amendment No. 8 (the “Amendment”) to its Fifth Amended and Restated Credit Agreement with KeyBank National Association (“KeyBank”), as administrative agent, lead arranger and lender, Gladstone Management Corporation, the Company’s Adviser, as servicer, and certain other lenders party thereto (together with the Amendment, the “Credit Facility”).”
Shareholder Votes
GLADSTONE INVESTMENT CORPORATION\DE shareholders approved Ratification of the selection by the Audit Committee of our Board of Directors of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending March 31, 2024 at the 2023-08-03 meeting.
“2. The ratification of the selection by the Audit Committee of our Board of Directors of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending March 31, 2024: For Against Abstain Broker Non-Votes 21,087,700 375,076 319,536 0”
Shareholder Votes
GLADSTONE INVESTMENT CORPORATION\DE shareholders approved Election of two directors to hold office until the 2026 Annual Meeting of Stockholders at the 2023-08-03 meeting.
“1. The election of two directors to hold office until the 2026 Annual Meeting of Stockholders. For Withheld Broker Non—Votes Michela A. English 8,671,666 545,193 12,565,453 Anthony W. Parker 8,706,311 510,548 12,565,453”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported First fiscal quarter ended June 30, 2023 results: revenue $20.3 million, net income $8.4 million, EPS $0.25 per weighted-average common share.
“First Quarter Results: Net investment income for the quarter ended June 30, 2023 was $8.4 million, or $0.25 per weighted-average common share, compared to $9.6 million, or $0.29 per weighted-average common share, for the quarter ended March 31, 2023. This decrease was a result of an increase in total expenses, net of credits, primarily due to increased accruals for capital gains-based incentive fees and an increase in interest expense in the current quarter, partially offset by an increase in total investment income. Total investment income for the quarters ended June 30, 2023 and March 31, 2023 was $20.3 million and $19.9 million, respectively.”
Debt Financings
GLADSTONE INVESTMENT CORPORATION\DE incurred senior notes of $74,750,000 aggregate principal amount with UMB Bank, National Association, as trustee at 8.00% per year maturing August 1, 2028.
“On May 31, 2023, in connection with a previously announced public offering, Gladstone Investment Corporation (the “Company”) and UMB Bank, National Association, as trustee (the “Trustee”), entered into a Fourth Supplemental Indenture (the “Fourth Supplemental Indenture”) to the Indenture, dated May 22, 2020, between the Company and the Trustee (together with the Fourth Supplemental Indenture, the “Indenture”). The Fourth Supplemental Indenture relates to the Company’s issuance, offer and sale of $ 74,750,000 aggregate principal amount of its 8.00% Notes due 2028 (the “Notes”). The Notes will mature on August 1, 2028, unless previously redeemed or repurchased in accordance with their terms. The interest rate of the Notes is 8.00% per year, and interest on the Notes will be paid on February 1, May 1, August 1 and November 1 of each year, beginning on August 1, 2023.”
Material Agreements
GLADSTONE INVESTMENT CORPORATION\DE entered into Fourth Supplemental Indenture with UMB Bank, National Association valued at $74,750,000 aggregate principal amount (effective 2023-05-31).
“On May 31, 2023, in connection with a previously announced public offering, Gladstone Investment Corporation (the “Company”) and UMB Bank, National Association, as trustee (the “Trustee”), entered into a Fourth Supplemental Indenture (the “Fourth Supplemental Indenture”) to the Indenture, dated May 22, 2020, between the Company and the Trustee (together with the Fourth Supplemental Indenture, the “Indenture”).”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported financial results for fourth quarter and fiscal year ended March 31, 2023.
“Gladstone Investment Corporation issued a press release announcing its financial results for its fourth quarter and fiscal year ended March 31, 2023.”
Terry L. Brubaker resigned as Director at GLADSTONE INVESTMENT CORPORATION\DE.
“On April 14, 2023, Terry L. Brubaker notified Gladstone Investment Corporation (the “Company”) that he is resigning from the Company’s board of directors, effective immediately.”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported third fiscal quarter ended December 31, 2022 results: revenue $21.6 million, net income $8.6 million, EPS $0.26.
“in the current quarter, partially offset by an increase in total investment income. Total investment income for the quarters ended December 31, 2022 and September 30, 2022 was $21.6 million and $20.8 million, respectively. The quarter over quarter increase was due to a $1.8 million increase in interest income, primarily due to an increase in the weighted-average”
Earnings Releases
GLADSTONE INVESTMENT CORPORATION\DE reported financial results for its second fiscal quarter ended September 30, 2022.
“On November 1, 2022, Gladstone Investment Corporation issued a press release announcing its financial results for its second fiscal quarter ended September 30, 2022.”
Paula Novara was elected as Director at GLADSTONE INVESTMENT CORPORATION\DE.
“On October 12, 2022, Gladstone Investment Corporation (the “Company”) announced the election of Paula Novara to its Board of Directors (the “Board”), effective October 11, 2022.”
Caren Merrick resigned as Director at GLADSTONE INVESTMENT CORPORATION\DE.
“On January 8, 2022, Caren Merrick notified Gladstone Investment Corporation (the “Company”) that she is resigning from the board of directors of the Company effective immediately.”
Rachael Easton was appointed as Chief Financial Officer and Treasurer at GLADSTONE INVESTMENT CORPORATION\DE.
“On December 13, 2021, Gladstone Investment Corporation (the “Company”) appointed Rachael Easton to serve as Chief Financial Officer and Treasurer of the Company, with such appointment effective immediately.”
Julia Ryan resigned as Chief Financial Officer and Treasurer at GLADSTONE INVESTMENT CORPORATION\DE.
“On October 7, 2021, Julia Ryan gave notice that she was resigning as the Chief Financial Officer of Gladstone Investment Corporation (the “Company”), effective December 3, 2021.”
Facts are extracted by an LLM and gated to those whose source quote is present verbatim in the filing text. Coverage is best-effort while backfill and monitoring mature; this is not yet a full-market index. See methodology.