Gladstone Investment Corp. Enters Material Definitive Agreement

TL;DR

GAIN signed a big deal on Nov 6th, filing today.

AI Summary

Gladstone Investment Corporation (GAIN) entered into a material definitive agreement on November 6, 2025. The company, incorporated in Delaware, filed an 8-K report on November 10, 2025, detailing this agreement. Specifics of the agreement, such as dollar amounts or the nature of the contract, are not detailed in the provided text.

Why It Matters

This filing indicates a significant new contract or transaction for Gladstone Investment Corporation, which could impact its financial performance and strategic direction.

Risk Assessment

Risk Level: medium — The filing indicates a material definitive agreement, which suggests a significant event, but the lack of specific details about the agreement's nature and financial implications necessitates a medium risk assessment.

Key Players & Entities

• Gladstone Investment Corporation (company) — Registrant
• GAIN (company) — Ticker Symbol
• November 6, 2025 (date) — Date of earliest event reported
• November 10, 2025 (date) — Date of Report
• Delaware (jurisdiction) — State of Incorporation

FAQ

Key Financial Figures

• $0.001 — ange on Which Registered Common Stock, $0.001 par value per share GAIN The Nasdaq

Filing Documents

• d86111d8k.htm (8-K) — 42KB
• d86111dex11.htm (EX-1.1) — 240KB
• d86111dex41.htm (EX-4.1) — 107KB
• d86111dex51.htm (EX-5.1) — 12KB
• d86111dex991.htm (EX-99.1) — 7KB
• g86111dsp73.jpg (GRAPHIC) — 5KB
• g86111dsp74.jpg (GRAPHIC) — 4KB
• g86111g1107071821769.jpg (GRAPHIC) — 6KB
• 0001193125-25-274307.txt ( ) — 827KB
• gain-20251106.xsd (EX-101.SCH) — 53KB
• d86111d8k_htm.xml (XML) — 18KB

From the Filing

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2025 ( November 6, 2025 ) Gladstone Investment Corporation (Exact Name of Registrant as Specified in Charter) Delaware 814-00704 83-0423116 (State or Other Jurisdiction of Incorporation) (Commission 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) 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 5.00% Notes due 2026 GAINN The Nasdaq Stock Market LLC 4.875% Notes due 2028 GAINZ The Nasdaq Stock Market LLC 8.00% Notes due 2028 GAINL The Nasdaq Stock Market LLC 7.875% Notes due 2030 GAINI 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. Item1.01. Entry into a Material Definitive Agreement On November 6, 2025, Gladstone Investment Corporation (the "Company") entered into an underwriting agreement ( the "Underwriting Agreement" ) by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and B. Riley Securities, Inc, in connection with the issuance and sale of $ 60.0 million aggregate principal amount of the Company's 6.875% Notes due 2028 in a registered direct offering (the "Notes" and such offering, the "Offering"). The closing of the Offering occurred on November 10, 2025. The Company intends to use the net proceeds from the Offering to repay a portion of the amount outstanding under its credit facility, to fund new investment opportunities and for other general corporate purposes. The Company intends to re-borrow under its credit facility to make investments in portfolio companies in accordance with its investment objectives and market conditions and for other general corporate purposes. The Offering was made pursuant to the Company's effective shelf registration statement on Form N-2 (Registration No. 333-277452) previously filed with the Securities and Exchange Commission, as supplemented by a prospectus supplement dated November 6, 2025 and the pricing term sheet dated November 6, 2025. This Current Report on Form 8-K shall not constitute an offer to sell or a solicitation of an offer to buy any securities, nor shall there be any sale of these securities in any state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or other jurisdiction. On November 10, 2025, in connection with the Offering, the Company and UMB Bank, National Association, as trustee (the "Trustee"), entered into a Sixth Supplemental Indenture (the "Sixth Supplemental Indenture") to the Indenture, dated May 22, 2020, between the Company and the Trustee (together with the Sixth Supplemental Indenture, the "Indenture"). The Sixth Supplemental Indenture relates to the Offering of the Notes. The Notes will mature on November 1, 2028, unless previously redeemed or repurchased in accordance with their terms. The interest rate of the Notes is 6.875% per year, and interest on the Notes will be paid on May 1 and November 1 of each year, beginning on May 1, 2026. The Notes are the Company's direct unsecured obligations and rank pari passu with the Company's existing and future unsecured, unsubordinated indebtedness, including its 5.00% notes due 2026, 4.875% notes due 2028, 8.00% notes due 2028 and 7.875% Notes due 2030; senior to any series of preferred stock that the Company may issue in the future; senior to any of the Company's future indebtednes

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View this 8-K filing on SEC EDGAR