Shares Held by Insiders

Fully Diluted Shares Held by Insiders

Date

Name

Buy/Sell

$ Value

# Shares

Avg. Price

Title

CFO and Treasurer

President

Chief Valuation Officer

Chief Operating Officer

Chief Financial Officer

General Counsel and Secretary

Gladstone Investment Corporation is business development company, specializes in lower middle market, mature stage, buyouts; refinancing existing debt; senior debt securities such as senior loans, senior term loans, lines of credit, and senior notes; senior subordinated debt securities such as senior subordinated loans and senior subordinated notes; junior subordinated debt securities such as subordinated notes and mezzanine loans; limited liability company interests, and warrants or options. The fund does not invest in start-ups. The fund seeks to invest in manufacturing, consumer products and business/consumer services sector. It seeks to invest in small and mid-sized companies based in the United States. The fund prefers to make debt investments between $5 million and $30 million and equity investments between $10 million and $40 million in companies. The fund seeks to invest in companies with revenue between $20 million and $100 million. The fund invests in companies with EBITDA from $3 million to $20 million. It seeks minority equity ownership and prefers to hold a board seat in its portfolio companies. It also prefers to take majority stake in its portfolio companies. The fund typically holds the investments for seven years and exits via sale or recapitalization, initial public offering, or sale to third party.

Gladstone Investment Corporation is business development company, specializes in lower middle market, mature stage, buyouts; refinancing e...

Datesorted ascending	Name	Buy/Sell	$ Value	# Shares	Avg. Price	Title
2023-11-06	Premium	bought	Premium	Premium	Premium	CFO and Treasurer
2023-08-07	Premium	bought	Premium	Premium	Premium	President
2023-03-16	Premium	bought	Premium	Premium	Premium	CFO and Treasurer
2023-03-14	Premium	bought	Premium	Premium	Premium	President
2023-02-06	Premium	bought	Premium	Premium	Premium	-
2022-12-16	Premium	bought	Premium	Premium	Premium	President
2022-08-19	Premium	bought	Premium	Premium	Premium	Chief Valuation Officer
2022-06-14	Premium	bought	Premium	Premium	Premium	President
2022-05-20	Premium	bought	Premium	Premium	Premium	CFO and Treasurer
2022-02-24	Premium	bought	Premium	Premium	Premium	President
2022-02-23	Premium	bought	Premium	Premium	Premium	CFO and Treasurer
2021-12-03	Premium	bought	Premium	Premium	Premium	President
2020-03-23	Premium	bought	Premium	Premium	Premium	Chief Operating Officer
2020-03-23	Premium	bought	Premium	Premium	Premium	President
2020-03-20	Premium	bought	Premium	Premium	Premium	Chief Financial Officer
2020-03-19	Premium	bought	Premium	Premium	Premium	Chief Operating Officer
2020-03-18	Premium	bought	Premium	Premium	Premium	Chief Operating Officer
2020-03-18	Premium	bought	Premium	Premium	Premium	President
2020-03-16	Premium	bought	Premium	Premium	Premium	General Counsel and Secretary
2020-03-12	Premium	bought	Premium	Premium	Premium	President
2020-03-11	Premium	bought	Premium	Premium	Premium	President
2020-03-02	Premium	bought	Premium	Premium	Premium	President
2019-09-13	Premium	bought	Premium	Premium	Premium	President
2019-09-09	Premium	bought	Premium	Premium	Premium	CEO
2019-08-16	Premium	sold	Premium	Premium	Premium	Chief Operating Officer

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