<SEC-DOCUMENT>0001171843-19-005603.txt : 20190821
<SEC-HEADER>0001171843-19-005603.hdr.sgml : 20190821
<ACCEPTANCE-DATETIME>20190821163012
ACCESSION NUMBER:		0001171843-19-005603
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20190821
ITEM INFORMATION:		Other Events
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20190821
DATE AS OF CHANGE:		20190821

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			GLADSTONE CAPITAL CORP
		CENTRAL INDEX KEY:			0001143513
		IRS NUMBER:				542040781
		STATE OF INCORPORATION:			MD
		FISCAL YEAR END:			0930

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	814-00237
		FILM NUMBER:		191043350

	BUSINESS ADDRESS:	
		STREET 1:		1521 WESTBRANCH DRIVE
		STREET 2:		SUITE 100
		CITY:			MCLEAN
		STATE:			VA
		ZIP:			22102
		BUSINESS PHONE:		703-287-5800

	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_082119.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<!DOCTYPE html PUBLIC "-//W3C//DTD XHTML 1.0 Transitional//EN" "http://www.w3.org/TR/xhtml1/DTD/xhtml1-transitional.dtd"><html><head></head><body style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt"><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%;">&#160;</div></div><p style="font-size: 14pt;" align="center"><strong>UNITED STATES</strong><br /><strong>SECURITIES AND EXCHANGE COMMISSION</strong><br /><strong>Washington, D.C. 20549<br /></strong>______________________</p><p style="font-size: 14pt; text-transform: uppercase;" align="center"><strong>Form 8-K<br /></strong>______________________</p><p style="font-size: 12pt;" align="center"><strong>CURRENT REPORT</strong></p><p style="font-size: 12pt;" align="center"><strong>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</strong></p><p align="center">Date of Report (Date of earliest event Reported): <!--August 21, 2019-->August 21, 2019 &#160;</p><p align="center"><strong style="font-size: 14pt;">Gladstone Capital Corporation</strong><br />(Exact Name of Registrant as Specified in Charter)</p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td align="center" width="33%"><strong>Maryland</strong></td><td align="center" width="34%"><strong>814-00237 <br /><!--814-00237--></strong></td><td align="center" width="33%"><strong>54-2040781</strong></td></tr><tr valign="top"><td align="center" width="33%">(State or Other Jurisdiction of Incorporation)</td><td align="center" width="34%">(Commission File Number)</td><td align="center" width="33%">(I.R.S. Employer Identification Number)</td></tr></table><p>&#160;</p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="bottom"><td align="center" width="50%"><strong>1521 Westbranch Drive, Suite 100<br />McLean, Virginia<!--UNITED STATES --></strong></td><td align="center" width="50%"><strong>22102</strong></td></tr><tr valign="top"><td align="center" width="50%">(Address of Principal Executive Offices)&#160;</td><td align="center" width="50%">(Zip Code)</td></tr></table><p align="center"><strong>(703) 287-5800</strong><br />(Registrant's telephone number, including area code)</p><p align="center"><strong></strong><br />(Former name or former address, if changed since last report)</p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td colspan="3">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 /></td></tr><tr valign="top"><td width="21">&#160;</td><td width="40">[ &#160; ]</td><td nowrap="nowrap">&#160;&#160;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</td></tr><tr valign="top"><td width="21">&#160;</td><td width="40">[ &#160; ]</td><td nowrap="nowrap">&#160;&#160;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</td></tr><tr valign="top"><td width="21">&#160;</td><td width="40">[ &#160; ]</td><td nowrap="nowrap">&#160;&#160;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</td></tr><tr valign="top"><td width="21">&#160;</td><td width="40">[ &#160; ]</td><td nowrap="nowrap">&#160;&#160;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</td></tr></table><p style="font-size: 10pt; margin: 0pt;">&#160;</p><p style="font-size: 10pt; margin: 0pt 0;">Securities registered pursuant to Section&#160;12(b) of the Act:</p><p style="font-size: 10pt; margin: 0pt 0;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></p><table style="width: 100%; border-collapse: collapse; font-size: 10pt;" cellspacing="0" cellpadding="0"><tr><td style="vertical-align: bottom; width: 37%; white-space: nowrap;"><p style="font-size: 10pt; text-align: center; margin: 0pt 0; border-bottom: Black 0.75pt solid;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;"><strong>Title of each class</strong></font></p></td><td style="vertical-align: top; width: 3%;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="vertical-align: top; border-bottom: Black 1pt solid; text-align: center; width: 20%; white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;"><strong>Trading symbol</strong></font></td><td style="vertical-align: bottom; width: 3%;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="vertical-align: bottom; 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white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;"><strong>Common Stock, $0.001 par value per share</strong></font></td><td><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="text-align: center; white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">GLAD</font></td><td><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="text-align: center; white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;"><strong>Nasdaq Global Select Market</strong></font></td></tr><tr style="vertical-align: top;"><td style="white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="text-align: center; white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td></tr><tr style="vertical-align: top;"><td style="white-space: nowrap;"><p style="font-size: 10pt; text-align: center; margin: 0pt 0;">&#160; <strong><font style="font-size: 10.0pt; font-family: &#39;Times New Roman&#39;,serif;">6.125% Notes due 2023, $25.00 par value per note</font></strong> </p><p style="font-size: 10pt; text-align: center; margin: 0pt 0;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></p></td><td><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="text-align: center; white-space: nowrap;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">GLADD</font></td><td><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;">&#160;</font></td><td style="white-space: nowrap;"><p style="font-size: 10pt; text-align: center; margin: 0pt 0;"><font style="font-size: 10pt; font-family: 'times new roman', roman, serif;"><strong>Nasdaq Global Select Market</strong></font></p></td></tr></table><p style="margin: 0;">&#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 &sect;230.405) or Rule&#160;12b-2&#160;of the Securities Exchange Act of 1934 (17 CFR&#160;&sect;240.12b-2).&#160;Emerging growth company [&#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;]</p><p style="margin: 0;">&#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%;">&#160;</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 8.01. Other Events.</strong></font></p><p><font style="font-size: 10pt;">
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 <p style="margin-left:0in; margin-right:0in;"><font style="font-size:10pt; font-family:'times new roman';">(d) Exhibits.</font></p> <table style="border-collapse:collapse !important;;border-collapse: collapse; "><tr><td style="vertical-align: bottom ; "><font style="font-size:10pt; font-family:'times new roman';"><strong><u>Exhibit No.</u></strong></font></td><td class="hugin"><font style="font-size:10pt; font-family:'times new roman';">&#160;</font></td><td style="vertical-align: bottom ; "><font style="font-size:10pt; font-family:'times new roman';"><strong><u>Description</u></strong></font></td></tr><tr><td class="hugin"><font style="font-size:10pt; font-family:'times new roman';">&#160;</font></td><td class="hugin"><font style="font-size:10pt; font-family:'times new roman';">&#160;</font></td><td class="hugin"><font style="font-size:10pt; font-family:'times new roman';">&#160;</font></td></tr><tr><td class="hugin"><font style="font-size:10pt; font-family:'times new roman';"><font style="font-size:10pt; font-family:'times new roman';"><a href="exh_991.htm" rel="nofollow">99.1</a></font></font></td><td class="hugin"><font style="font-size:10pt; font-family:'times new roman';">&#160;</font></td><td class="hugin"><font style="font-size:10pt; font-family:'times new roman';"><a href="exh_991.htm" rel="nofollow">&#65279;Press Release of Gladstone Capital Corporation, dated August 21, 2019.</a></font></td></tr></table> <p><font>&#65279;</font></p> </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"><strong>SIGNATURE</strong></p><p>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.</p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td valign="top" width="49%">&#160;</td><td style="font-size: 12pt;" colspan="2" valign="top"><strong>Gladstone Capital Corporation</strong></td></tr><tr valign="top"><td width="49%">&#160;</td><td width="2%">&#160;</td><td width="49%">&#160;</td></tr><tr valign="top"><td width="49%">&#160;</td><td width="2%">&#160;</td><td width="49%">&#160;</td></tr><tr valign="top"><td width="49%">Date:&#160;August 21, 2019</td><td width="2%">By:&#160;</td><td style="text-decoration: underline;" width="49%">/s/ Nicole Schaltenbrand&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</td></tr><tr valign="top"><td width="49%">&#160;</td><td width="2%">&#160;</td><td width="49%">Nicole Schaltenbrand</td></tr><tr valign="top"><td width="49%">&#160;</td><td width="2%">&#160;</td><td width="49%">Chief Financial Officer and Treasurer</td></tr><tr valign="top"><td width="49%">&#160;</td><td width="2%">&#160;</td><td width="49%"></td></tr></table><p /></body></html>
</TEXT>
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<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 Capital Corporation Announces Intent to Redeem All Outstanding Shares of Existing 6.00% Series 2024 Term Preferred Stock due 2024</strong></font></p><p style="text-align: center;"><strong></strong></p><p ></p>
 <p align="left">MCLEAN, Va., Aug.  21, 2019  (GLOBE NEWSWIRE) -- Gladstone Capital Corporation (NASDAQ: GLAD) (the &#8220;Company&#8221;) today announced that it plans to redeem all of its outstanding shares of its 6.00% Series 2024 Term Preferred Stock due 2024, par value $0.001 per share, liquidation preference $25.00 per share (&#8220;Series 2024 Term Preferred Stock&#8221;).&#160; The Company intends to use borrowings under its credit facility to redeem all outstanding shares of its Series 2024 Term Preferred Stock.<br ></p>  <p>A notice of redemption will be mailed to all registered holders of the Series 2024 Term Preferred Stock by Computershare, Inc., as the Redemption and Paying Agent, in accordance with the requirements of the Company&#8217;s Articles Supplementary of the Series 2024 Term Preferred Stock. The anticipated redemption date is October 2, 2019 at a redemption price of $25.004166 per share, which represents the liquidation preference per share, plus accrued and unpaid dividends through October 1, 2019 in the amount of $0.004166 per share. Such redemption price payment shall be made after the payment of the September dividend of $0.125 per share to the Series 2024 Term Preferred Stock holders of record on September 17, 2019.</p>  <p>This communication does not constitute a notice of redemption under the Articles Supplementary of the Series 2024 Term Preferred Stock, nor an offer to tender for, or purchase of, any shares of Series 2024 Term Preferred Stock or any other security.</p>  <p><strong>About Gladstone Capital Corporation:</strong> Gladstone Capital 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. Including distributions through today, the Company has paid 198 consecutive monthly or quarterly cash distributions on its common stock. Information on the business activities of all the Gladstone funds can be found at www.gladstonecompanies.com.</p>  <p><strong>Forward-Looking Statements</strong></p>  <p>This press release contains statements as to the Company&#8217;s intentions and expectations of the outcome of future events that are forward-looking statements. You can identify these statements by the fact that they do not relate strictly to historical or current facts. Forward-looking statements are not guarantees of future performance and involve known and unknown risks, uncertainties and other factors that may cause the actual results to differ materially from those anticipated at the time the forward-looking statements are made. These statements relate to the anticipated use of the Company&#8217;s credit facility to fund the redemption of its Series 2024 Term Preferred Stock. Completion of the transaction on the terms described above is subject to numerous conditions, many of which are beyond the control of the Company, and such transaction may not be completed on the terms described, or at all. The Company undertakes no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise, except as required by law. For a description of certain risks to which the Company is or may be subject, please refer to the factors discussed under the captions &#8220;<em>Forward-Looking Statements</em>&#8221; and &#8220;<em>Risk Factors</em>&#8221; included in the Company&#8217;s filings with the Securities and Exchange Commission (accessible at www.sec.gov).</p>  <p>CONTACT: Investor Relations Inquiries: Please call +1-703-287-5893</p>  <p> </p><p ></p></body></html>
</TEXT>
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</SEC-DOCUMENT>
