Gladstone Investment Confirms Nasdaq Listings for Common Stock, 5.00% Notes
Ticker: GAINI · Form: 8-K · Filed: Jan 9, 2024 · CIK: 1321741
| Field | Detail |
|---|---|
| Company | Gladstone Investment Corporation\De (GAINI) |
| Form Type | 8-K |
| Filed Date | Jan 9, 2024 |
| Risk Level | low |
| Pages | 2 |
| Reading Time | 2 min |
| Key Dollar Amounts | $0.001 |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: regulatory-filing, security-listing, debt
TL;DR
**Gladstone Investment just confirmed its stock and 5.00% Notes due 2026 are listed on Nasdaq.**
AI Summary
Gladstone Investment Corporation (GAIN) filed an 8-K on January 9, 2024, to update its registered securities. The filing confirms that its Common Stock, $0.001 par value per share, trades under the symbol GAIN on The Nasdaq Stock Market LLC, and its 5.00% Notes due 2026 trade under GAINN, also on Nasdaq. This matters to investors as it reaffirms the listing status of these key securities, providing clarity on where they can be traded and their official designations.
Why It Matters
This filing provides transparency and confirms the official trading venues and symbols for Gladstone Investment Corporation's common stock and a specific debt instrument, which is crucial for investors to accurately track and trade these securities.
Risk Assessment
Risk Level: low — This filing is purely informational, confirming existing security listings, and does not introduce new financial risks or operational changes.
Analyst Insight
Investors should use this filing to verify the correct trading symbols (GAIN and GAINN) and exchange (Nasdaq) for Gladstone Investment Corporation's common stock and 5.00% Notes due 2026 when conducting trades or researching the company.
Key Numbers
- $0.001 — par value per share (for Common Stock)
- 5.00% — interest rate (for Notes due 2026)
- 2026 — maturity year (for Notes)
Key Players & Entities
- Gladstone Investment Corporation (company) — the registrant
- The Nasdaq Stock Market LLC (company) — exchange where securities are registered
- GAIN (company) — trading symbol for Common Stock
- GAINN (company) — trading symbol for 5.00% Notes due 2026
- $0.001 (dollar_amount) — par value per share of Common Stock
- 5.00% (dollar_amount) — interest rate of Notes due 2026
- 2026 (dollar_amount) — maturity year of the Notes
- January 9, 2024 (dollar_amount) — date of earliest event reported
Forward-Looking Statements
- Gladstone Investment Corporation's Common Stock and 5.00% Notes due 2026 will continue to trade on The Nasdaq Stock Market LLC under their respective symbols. (Gladstone Investment Corporation) — high confidence, target: Ongoing
FAQ
What is the exact name of the registrant as specified in its charter?
The exact name of the registrant as specified in its charter is Gladstone Investment Corporation.
On what date was the earliest event reported in this 8-K filing?
The earliest event reported in this 8-K filing occurred on January 9, 2024.
What is the trading symbol and exchange for Gladstone Investment Corporation's Common Stock?
Gladstone Investment Corporation's Common Stock, with a $0.001 par value per share, trades under the symbol GAIN on The Nasdaq Stock Market LLC.
What is the trading symbol and exchange for Gladstone Investment Corporation's 5.00% Notes due 2026?
Gladstone Investment Corporation's 5.00% Notes due 2026 trade under the symbol GAINN on The Nasdaq Stock Market LLC.
What is the state of incorporation for Gladstone Investment Corporation?
Gladstone Investment Corporation is incorporated in Delaware.
Filing Stats: 514 words · 2 min read · ~2 pages · Grade level 10.5 · Accepted 2024-01-09 16:17:04
Key Financial Figures
- $0.001 — nge on Which Registered Common Stock, $0.001 par value per share GAIN The Nasdaq
Filing Documents
- d22718d8k.htm (8-K) — 31KB
- d22718dex991.htm (EX-99.1) — 9KB
- g22718g0109011742850.jpg (GRAPHIC) — 7KB
- 0001193125-24-005210.txt ( ) — 219KB
- gain-20240109.xsd (EX-101.SCH) — 4KB
- gain-20240109_def.xml (EX-101.DEF) — 14KB
- gain-20240109_lab.xml (EX-101.LAB) — 23KB
- gain-20240109_pre.xml (EX-101.PRE) — 15KB
- d22718d8k_htm.xml (XML) — 7KB
01
Item 7.01. Regulation FD Disclosure. On January 9, 2024, Gladstone Investment Corporation (the "Company") issued a press release, filed herewith as Exhibit 99.1, announcing that the Company's board of directors declared monthly cash distributions for the Company's common stock for each of January, February and March 2024. 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 "filed" 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.
Financial Statements and Exhibits
Financial Statements and Exhibits. (d) Exhibits. Exhibit No. Description 99.1 Press Release issued by Gladstone Investment Corporation, dated January 9, 2024. 104 Cover Page Interactive Data File (embedded within the Inline XBRL document). SIGNATURE 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 Date: January 9, 2024 By: /s/ Rachael Easton Rachael Easton Chief Financial Officer and Treasurer