GAIN Gladstone Investment

Filed: 5 Aug 21, 4:22pm





Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event Reported): August 5, 2021



Gladstone Investment Corporation

(Exact Name of Registrant as Specified in Charter)




Delaware 814-00704 83-0423116

(State or Other Jurisdiction

of Incorporation)



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)

(Former name or former address, if changed since last report)



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
6.375% Series E Cumulative Term Preferred Stock, $0.001 par value per share GAINL The Nasdaq Stock Market LLC
5.00% Notes due 2026, $25.00 par value per note GAINN 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 5.07. Submission of Matters to a Vote of Security Holders.

On August 5, 2021, Gladstone Investment Corporation (the “Company”) held its 2021 Annual Meeting of Stockholders (the “Annual Meeting”). There were present at the Annual Meeting, in person or by proxy, stockholders holding an aggregate of 21,746,827 shares of the Company’s common stock and 2,469,284 shares of the Company’s preferred stock.

The matters considered and voted on by the Company’s stockholders at the Annual Meeting and the vote of the stockholders were as follows:



The following individuals were elected as directors;

a. Terry L. Brubaker and Caren D. Merrick, to be elected by the holders of common stock and preferred stock, voting together as a single class, to serve until the 2024 Annual Meeting of Stockholders and until his or her successor is elected and qualified; and

b.    Walter H. Wilkinson, Jr., to be elected solely by the holders of preferred stock, to serve until the 2024 Annual Meeting of Stockholders and until his successor is elected and qualified:


   For   Withheld   Broker Non-Votes 

Terry L. Brubaker

   10,624,650    381,219    13,210,242 

Caren D. Merrick

   10,479,601    526,268    13,210,242 

Walter H. Wilkinson, Jr.

   886,356    29,269    1,553,659 



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, 2022:


For  Against  Abstain  Broker Non-Votes 
 23,904,652   203,665   107,794   0 


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

/s/ Julia Ryan

August 5, 2021   

Julia Ryan

Chief Financial Officer and Treasurer