<SEC-DOCUMENT>0001171843-20-004950.txt : 20200714
<SEC-HEADER>0001171843-20-004950.hdr.sgml : 20200714
<ACCEPTANCE-DATETIME>20200714161509
ACCESSION NUMBER:		0001171843-20-004950
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20200714
ITEM INFORMATION:		Regulation FD Disclosure
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20200714
DATE AS OF CHANGE:		20200714

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			GLADSTONE INVESTMENT CORPORATION\DE
		CENTRAL INDEX KEY:			0001321741
		IRS NUMBER:				830423116
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			0331

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	814-00704
		FILM NUMBER:		201027303

	BUSINESS ADDRESS:	
		STREET 1:		1521 WESTBRANCH DRIVE
		STREET 2:		SUITE 100
		CITY:			MCLEAN
		STATE:			VA
		ZIP:			22102
		BUSINESS PHONE:		7032875800

	MAIL ADDRESS:	
		STREET 1:		1521 WESTBRANCH DRIVE
		STREET 2:		SUITE 100
		CITY:			MCLEAN
		STATE:			VA
		ZIP:			22102
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>f8k_071420.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<html><head><title></title></head><body><div style="margin-top: 3pt; margin-bottom: 12pt;"><div style="font-size: 1pt; border-top: Black 2.5pt solid; border-bottom: Black 1.1pt solid; width: 100%;"><font style="font-size: 10pt;">&#160;</font></div></div><p style="text-align: center;"><font style="font-size: 14pt;"><strong>UNITED STATES</strong><br /><strong>SECURITIES AND EXCHANGE COMMISSION</strong><br /><strong>Washington, D.C. 20549</strong><br />_____________________</font></p><p style="text-transform: uppercase; text-align: center;"><font style="font-size: 14pt;"><strong>Form 8-K</strong><br />_____________________</font></p><p style="text-align: center;"><font style="font-size: 12pt;"><strong>CURRENT REPORT</strong></font></p><p style="text-align: center;"><font style="font-size: 12pt;"><strong>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</strong></font></p><p align="center"><font style="font-size: 10pt;">Date of Report (Date of earliest event Reported): <!--July 14, 2020-->July 14, 2020 &#160;</font></p><p align="center"><font style="font-size: 12pt;"><strong>Gladstone Investment Corporation</strong></font><br /><font style="font-size: 10pt;">(Exact Name of Registrant as Specified in Charter)</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td align="center" width="33%"><font style="font-size: 10pt;"><strong>Delaware</strong></font></td><td align="center" width="34%"><font style="font-size: 10pt;"><strong>814-00704</strong></font></td><td align="center" width="33%"><font style="font-size: 10pt;"><strong>83-0423116</strong></font></td></tr><tr valign="top"><td align="center" width="33%"><font style="font-size: 10pt;">(State or Other Jurisdiction of Incorporation)</font></td><td align="center" width="34%"><font style="font-size: 10pt;">(Commission File Number)</font></td><td align="center" width="33%"><font style="font-size: 10pt;">(I.R.S. Employer Identification Number)</font></td></tr></table><p><font style="font-size: 10pt;">&#160;</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="bottom"><td align="center" width="50%"><font style="font-size: 10pt;"><strong>1521 Westbranch Drive, Suite 100, McLean, Virginia 22102</strong><!--UNITED STATES --></font></td></tr><tr valign="top"><td align="center" width="50%"><font style="font-size: 10pt;">(Address of Principal Executive Offices) (Zip Code)</font></td></tr></table><p align="center"><font style="font-size: 10pt;"><strong>(703) 287-5800</strong><br />(Registrant's telephone number, including area code)</font></p><p align="center"><font style="font-size: 10pt;"><strong></strong><br />(Former name or former address, if changed since last report)</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td colspan="3"><font style="font-size: 10pt;">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:<br /><br /></font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></td></tr></table><p style="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0;">&#160;</p><p style="font-size: 10pt; margin: 0pt;">Securities registered pursuant to Section 12(b) of the Act:</p><p style="margin: 0;">&#160;</p><table style="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse;" cellspacing="0" cellpadding="0"><tr><td style="vertical-align: top; width: 50%; text-align: center;"><font style="font-size: 10pt;"><u>Title of Each Class</u></font></td><td style="vertical-align: top; width: 1%;">&#160;</td><td style="vertical-align: top; width: 15%; text-align: center;"><font style="font-size: 10pt;"><u>Trading Symbol(s)</u></font></td><td style="vertical-align: bottom; width: 1%;">&#160;</td><td style="vertical-align: top; width: 32%; text-align: center;"><font style="font-size: 10pt;"><u>Name of Each Exchange on Which Registered</u></font></td><td style="vertical-align: top; width: 1%; text-align: center;"><font style="font-size: 10pt;">&#160;</font></td></tr><tr><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">Common Stock, $0.001 par value per share</font></td><td style="vertical-align: top;">&#160;</td><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">GAIN</font></td><td style="vertical-align: bottom;">&#160;</td><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">The Nasdaq Stock Market LLC</font></td><td style="vertical-align: top; text-align: center;">&#160;</td></tr><tr><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">6.250% Series D Cumulative Term Preferred Stock, $0.001 par value per share</font></td><td style="vertical-align: top;">&#160;</td><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">GAINM</font></td><td style="vertical-align: bottom;">&#160;</td><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">The Nasdaq Stock Market LLC</font></td><td style="vertical-align: top; text-align: center;">&#160;</td></tr><tr><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">6.375% Series E Cumulative Term Preferred Stock, $0.001 par value per share</font></td><td style="vertical-align: top;">&#160;</td><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">GAINL</font></td><td style="vertical-align: bottom;">&#160;</td><td style="vertical-align: top; text-align: center;"><font style="font-size: 10pt;">The Nasdaq Stock Market LLC</font></td><td style="vertical-align: top; text-align: center;">&#160;</td></tr></table><p style="font-size: 10pt; margin: 0pt;">&#160;</p><p style="font-size: 10pt; margin: 0pt;">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 &#167;230.405) or Rule&#160;12b-2&#160;of the Securities Exchange Act of 1934 (17 CFR&#160;&#167;240.12b-2).&#160;Emerging growth company [&#160;&#160; ]</p><p style="font-size: 10pt; margin: 0pt;">&#160;</p><p style="font-size: 10pt; margin: 0pt;">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. [&#160;&#160; ]</p><p style="font-size: 10pt; margin: 0pt;">&#160;</p><div style="margin-top: 12pt; margin-bottom: 3pt;"><div style="font-size: 1pt; border-top: Black 1.1pt solid; border-bottom: Black 2.5pt solid; width: 100%;"><font style="font-size: 10pt;">&#160;</font></div>&#160;</div><hr style="page-break-after: always;" noshade="noshade" /><p><font style="font-size: 10pt;">  <strong>  </strong></font></p><p><font style="font-size: 10pt;"><strong>Item 7.01. Regulation FD Disclosure.</strong></font></p><p><font style="font-size: 10pt;"><p>On July 14, 2020, Gladstone Investment Corporation (the &ldquo;Company&rdquo;) issued a press release, filed herewith as Exhibit 99.1, announcing that the Company&rsquo;s board of directors declared monthly cash distributions for the Company&rsquo;s common stock, 6.25% Series D Cumulative Term Preferred Stock, and 6.375% Series E Cumulative Term Preferred Stock for each of July, August, and September 2020.</p><p>The information disclosed under this Item 7.01, including portions of Exhibit 99.1 attached hereto regarding distributions, is being furnished and shall not be deemed &ldquo;filed&rdquo; for purposes of Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, except as expressly set forth by specific reference in such filing.</p></font></p><p><font style="font-size: 10pt;"><strong>  </strong></font></p><p><font style="font-size: 10pt;"><strong>Item 9.01. Financial Statements and Exhibits.</strong></font></p><p><font style="font-size: 10pt;"><p>(d) Exhibits.</p><table style="font-size: 10pt;" border="0" cellspacing="0" cellpadding="0"><tr><td style="text-decoration: underline;" valign="bottom"><font style="font-size: 10pt;"><strong>Exhibit No.</strong></font></td><td width="20"><font style="font-size: 10pt;">&#160;</font></td><td style="text-decoration: underline;" valign="bottom"><font style="font-size: 10pt;"><strong>Description</strong></font></td></tr><tr><td>&#160;</td><td width="20"><font style="font-size: 10pt;">&#160;</font></td><td><font style="font-size: 10pt;">&#160;</font></td></tr><tr><td><font style="font-size: 10pt;"><a href="exh_991.htm">99.1</a></font></td><td width="20"><font style="font-size: 10pt;">&#160;</font></td><td><font style="font-size: 10pt;"><a href="exh_991.htm">Press Release issued by Gladstone Investment Corporation, dated July 14, 2020.</a> </font></td></tr></table></font></p><p><font style="font-size: 10pt;"></font></p><p><font style="font-size: 10pt;"></font></p><hr style="page-break-after: always;" noshade="noshade" /><p align="center"><font style="font-size: 10pt;"><strong>SIGNATURE</strong></font></p><p><font style="font-size: 10pt;">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.</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td valign="top" width="49%"><font style="font-size: 10pt;">&#160;</font></td><td style="font-size: 12pt;" colspan="2" valign="top"><font style="font-size: 10pt;"><strong>Gladstone Investment Corporation</strong></font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">&#160;</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;"></font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">Date: July 14, 2020</font></td><td width="2%"><font style="font-size: 10pt;">By:&#160;</font></td><td style="text-decoration: underline;" width="49%"><font style="font-size: 10pt;">/s/ Julia Ryan&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">Julia Ryan</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">Chief Financial Officer and Treasurer</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;"></font></td></tr></table><p /></body></html>
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>exh_991.htm
<DESCRIPTION>PRESS RELEASE
<TEXT>
<!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.0 Transitional//EN"><html lang="en-US"><head><title>EdgarFiling</title><meta content="text/html; charset=windows-1252" ><meta name="GENERATOR" content="MSHTML 8.00.7601.18094" ></head><body bgcolor="#ffffff"><p style="text-align: right;"><strong>EXHIBIT 99.1</strong></p><p style="text-align: center;"><font style="font-size: 14pt;"><strong>Gladstone Investment Announces Monthly Cash Distributions for July, August and September 2020 and First Fiscal Quarter Earnings Release and Conference Call Dates</strong></font></p><p style="text-align: center;"><strong></strong></p><p>
 <p align="justify">MCLEAN, Va., July  14, 2020  (GLOBE NEWSWIRE) -- <u>Gladstone Investment Corporation</u> (Nasdaq: GAIN) (the &#8220;Company&#8221;) announced today that its board of directors declared the following monthly cash distributions to preferred and common stockholders. The Company also announced its plan to report earnings for its first fiscal quarter ended June 30, 2020.<br ></p>  <p align="justify"><strong><em>Common Stock:</em></strong> $0.07 per share of common stock for each of July, August, and September 2020, all payable per the table below.</p> <table style="width:75%; border-collapse:collapse !important;;border-collapse: collapse; "><tr><td style="max-width:30%; width:30%; min-width:30%;;border-bottom: solid black 1pt ; "><strong>Record Date</strong></td><td style="max-width:31%; width:31%; min-width:31%;;border-bottom: solid black 1pt ; "><strong>Payment Date</strong></td><td colspan="2" style="max-width:39%; width:39%; min-width:39%;;border-bottom: solid black 1pt ; "><strong>Cash Distribution</strong></td></tr><tr><td class="hugin">July 24</td><td class="hugin">July 31</td><td colspan="2" style="padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.07</td></tr><tr><td class="hugin">August 24</td><td class="hugin">August 31</td><td colspan="2" style="padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.07</td></tr><tr><td class="hugin">September 23</td><td class="hugin">September 30</td><td colspan="2" style="border-bottom: solid black 1pt ; padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.07</td></tr><tr><td class="hugin" colspan="2"><strong>Total for the Quarter:</strong></td><td colspan="2" style="border-bottom: double black 3pt ; padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.21</td></tr><tr><td class="hugin" colspan="2">&#160;</td><td class="hugin" colspan="2">&#160;</td></tr></table> <p align="justify"><strong><em>Series D Term Preferred Stock:</em></strong> $0.13020833 per share of the Company&#8217;s 6.25% Series D Cumulative Term Preferred Stock (&#8220;Series D Term Preferred Stock&#8221;) for each of July, August, and September 2020, payable per the table below. The Series D Term Preferred Stock trades on the Nasdaq under the symbol &#8220;GAINM.&#8221;</p> <table style="width:75%; border-collapse:collapse !important;;border-collapse: collapse; "><tr><td style="max-width:30%; width:30%; min-width:30%;;border-bottom: solid black 1pt ; "><strong>Record Date</strong></td><td style="max-width:31%; width:31%; min-width:31%;;border-bottom: solid black 1pt ; "><strong>Payment Date</strong></td><td colspan="2" style="max-width:39%; width:39%; min-width:39%;;border-bottom: solid black 1pt ; "><strong>Cash Distribution</strong></td></tr><tr><td class="hugin">July 24</td><td class="hugin">July 31</td><td colspan="2" style="padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.13020833</td></tr><tr><td class="hugin">August 24</td><td class="hugin">August 31</td><td colspan="2" style="padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.13020833</td></tr><tr><td class="hugin">September 23</td><td class="hugin">September 30</td><td colspan="2" style="border-bottom: solid black 1pt ; padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.13020833</td></tr><tr><td class="hugin" colspan="2"><strong>Total for the Quarter:</strong></td><td colspan="2" style="border-bottom: double black 3pt ; padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.39062499</td></tr><tr><td class="hugin" colspan="2">&#160;</td><td class="hugin" colspan="2">&#160;</td></tr></table> <p align="justify"><strong><em>Series E Term Preferred Stock:</em></strong> $0.1328125 per share of the Company&#8217;s 6.375% Series E Cumulative Term Preferred Stock (&#8220;Series E Term Preferred Stock&#8221;) for each of July, August, and September 2020, payable per the table below. The Series E Term Preferred Stock trades on the Nasdaq under the symbol &#8220;GAINL.&#8221;</p> <table style="width:75%; border-collapse:collapse !important;;border-collapse: collapse; "><tr><td style="max-width:30%; width:30%; min-width:30%;;border-bottom: solid black 1pt ; "><strong>Record Date</strong></td><td style="max-width:31%; width:31%; min-width:31%;;border-bottom: solid black 1pt ; "><strong>Payment Date</strong></td><td colspan="2" style="max-width:39%; width:39%; min-width:39%;;border-bottom: solid black 1pt ; "><strong>Cash Distribution</strong></td></tr><tr><td class="hugin">July 24</td><td class="hugin">July 31</td><td colspan="2" style="padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.1328125</td></tr><tr><td class="hugin">August 24</td><td class="hugin">August 31</td><td colspan="2" style="padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.1328125</td></tr><tr><td class="hugin">September 23</td><td class="hugin">September 30</td><td colspan="2" style="border-bottom: solid black 1pt ; padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.1328125</td></tr><tr><td class="hugin" colspan="2"><strong>Total for the Quarter:</strong></td><td colspan="2" style="border-bottom: double black 3pt ; padding-right: 0 ; text-align: left ;  vertical-align: middle; ">$0.3984375</td></tr><tr><td class="hugin" colspan="2">&#160;</td><td class="hugin" colspan="2">&#160;</td></tr></table> <p align="justify">The Company offers a dividend reinvestment plan (the &#8220;DRIP&#8221;) to its common stockholders. For more information regarding the DRIP, please visit <u>www.gladstoneinvestment.com</u>.</p>  <p align="justify">The Company also announced today that it plans to report earnings after the stock market closes on Tuesday, July 28, 2020, for its first quarter ended June 30, 2020. The Company will hold a conference call on Wednesday, July 29, 2020 at 8:30 a.m. EDT to discuss its earnings results. Please call (833) 519-1256 and enter conference number 5383517 to enter the conference call. An operator will monitor the call and set a queue for questions.</p>  <p align="justify">A conference call replay will be available beginning one hour after the call and will be accessible through August 5, 2020. To hear the replay, please dial (855) 859-2056 and use playback conference number 5383517.</p>  <p align="justify">The live audio broadcast of the Company&#8217;s conference call will be available online at <u>www.gladstoneinvestment.com</u>. The event will also be archived and available for replay on the Company&#8217;s website through September 29, 2020.</p>  <p align="justify"><strong>About Gladstone Investment Corporation:</strong> <u>Gladstone Investment Corporation</u> 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 <u>http://www.gladstonecompanies.com/</u>.</p>  <p align="justify">Source: Gladstone Investment Corporation</p>  <p align="justify"><strong>Investor Relations Inquiries</strong>: Please visit <em>www.gladstone.com</em>&#160;or +1-703-287-5893.</p>  <p align="justify"><strong><em><u>Forward-looking Statements: </u></em></strong><br ><em>The statements in this press release regarding potential future distributions, earnings and operations of the Company are &#8220;forward-looking statements.&#8221; These forward-looking statements inherently involve certain risks and uncertainties in predicting future results and conditions. Although these statements are based on the Company's&#160;current plans that are believed to be reasonable as of the date of this press release, a number of factors could cause actual results and conditions to differ materially from these forward-looking statements, including those factors described from time to time in&#160;the Company&#8217;s&#160;filings with the&#160;Securities and Exchange Commission.&#160;The Company&#160;undertakes no obligation to publicly release the result of any revisions to these forward-looking statements that may be made to reflect any future events or otherwise, except as required by law.</em></p> </p><p ></p></body></html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
