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This excerpt taken from the GAIN 8-K filed Jul 9, 2009. Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
Registrant’s telephone number, including area code: (703) 287-5800
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))
This excerpt taken from the GAIN 8-K filed Jul 7, 2009. Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
This excerpt taken from the GAIN 8-K filed Jun 5, 2009. Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
Registrant’s telephone number, including area code: (703) 287-5800
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:
This excerpt taken from the GAIN 8-K filed Apr 14, 2009. Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
Registrant’s telephone number, including area code: (703) 287-5800
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))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
This excerpt taken from the GAIN 8-K filed Jul 11, 2008. Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
Registrant’s telephone number, including area code: (703) 287-5800
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))
This excerpt taken from the GAIN 8-K filed Jun 26, 2008. On June 23, 2008, Gladstone Investment Corporation
(the “Company”) renewed its Investment Advisory and Management Agreement (the “Advisory Agreement”) with
its external investment adviser, Gladstone Management Corporation (the “Adviser”), and
its Administration Agreement (the “Administration
Agreement”) with Gladstone Administration,
LLC, a wholly-owned subsidiary of the Adviser (“Gladstone Administration”). The renewal of the Advisory and Administration Agreements extends
their respective terms through August 31, 2008. The Board of Directors of the Company will
consider the renewal of the agreement through August 31, 2009 at its next
regular meeting.
The Company’s Board of Directors approved the renewal of the Advisory Agreement at a meeting held on August 9, 2007. In its consideration of the Advisory Agreement, the Board of Directors focused on information it had received relating to, among other things: the reasonableness of the advisory fee (including the incentive fee), the experience of the Adviser’s personnel, the potential for additional attractive investments resulting from synergies with other funds to be managed by the Adviser, and potential savings due to economies of scale. The Board of Directors considered the investment advisory and incentive fees under the Advisory Agreement and the administrative fees under the Administration Agreement (the “Fees”) and information on fees charged by other investment advisers and administrators for comparable services, and determined that the Fees were reasonable in relation to the services to be provided by the Adviser and Gladstone Administration.
In recommending that the Company continue to use the Adviser as its investment adviser, the Company’s Board of Directors considered the fact that the advisory and administrative team of the Adviser and Gladstone Administration were expected to be in all material respects, for at least the next year, the same as the then-current team responsible for the Company’s management and administration and the fact that the Company’s investment objectives are consistent with the investment selection process employed by the Adviser. In connection with its final deliberations, the Board of Directors reviewed and discussed additional materials provided by the Adviser in response to the Board’s request, including information regarding the nature, extent and quality of services to be performed; the prior experience of the Adviser’s personnel in connection with the types of investments the Company proposes to make, including such personnel’s extensive network of contacts; the size of the staff of the Adviser and Gladstone Administration; anticipated changes in the current personnel of the Adviser and Gladstone Administration; the compensation of such personnel; the Adviser’s ability to provide managerial assistance to portfolio companies; the written plan for allocating investment opportunities among the Adviser’s current and future clients; the operations of the Adviser and Gladstone Administration; and the organizational capabilities and financial condition of the Adviser and Gladstone Administration as evidenced by their respective levels of service to the Company and its affiliates, Gladstone Capital Corporation and Gladstone Commercial Corporation. The Board of Directors also relied upon comparisons of the services to be rendered and the amounts to be paid under the Advisory and Administration Agreements with those under other investment advisory and administrative contracts, including those of Gladstone Capital Corporation and Gladstone Commercial Corporation, which have entered into agreements with the Adviser and Gladstone Administration on substantially identical terms and conditions.This excerpt taken from the GAIN 8-K filed May 22, 2008. Gladstone Investment Corporation (Exact name of registrant as specified in its charter)
This excerpt taken from the GAIN 8-K filed Apr 25, 2008. Gladstone Investment Corporation (Exact name of registrant as specified in its charter)
This excerpt taken from the GAIN 8-K filed Apr 9, 2008. Gladstone Investment Corporation (Exact name of registrant as specified in its charter)
This excerpt taken from the GAIN 8-K filed Mar 24, 2008. Gladstone Investment Corporation (Exact name of registrant as specified in its charter)
Registrant’s telephone number, including area code: This excerpt taken from the GAIN 8-K filed Jan 31, 2008. Gladstone Investment Corporation (Exact name of registrant as specified in its charter)
Registrant’s telephone number, including area code: (703) 287-5800 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)) Item 2.02 Results of Operations and Financial Condition. On January 31, 2008, Gladstone Investment Corporation issued a press release announcing its financial results for the fiscal third quarter ended December 31, 2007. The text of the press release is included as an exhibit to this Form 8-K. Pursuant to the rules and regulations of the Securities and Exchange Commission, such exhibit and the information set forth therein and herein are deemed to be furnished and shall not be deemed to be filed. This excerpt taken from the GAIN 8-K filed Jan 23, 2008. Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
Registrant’s telephone number, including area code: (703) 287-5800
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:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
This excerpt taken from the GAIN 8-K filed Oct 10, 2007. Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
Registrant’s telephone number, including area code: (703) 287-5800 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: o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
This excerpt taken from the GAIN 8-K filed Aug 3, 2007. Gladstone Investment Corporation (Exact name of registrant as specified in its charter)
Registrant’s telephone number, including area code: (703) 287-5800 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: o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Gladstone Investment Corporation is filing this Amendment No. 1 to its Current Report on Form 8-K, which was filed on May 31, 2007 (the “Original Filing”), to correct an inadvertent error in the numbering of Item 2.02 Results of Operations and Financial Condition. In the Original Filing, Item 2.02 Results of Operations and Financial Condition, was incorrectly numbered Item 8.01 Other Events. The corrected Item 2.02 in this Amendment No. 1 entirely supersedes the applicable item in the Original Filing and all other items remain unchanged from the Original Filing. This excerpt taken from the GAIN 10-Q filed Aug 1, 2007. GLADSTONE INVESTMENT CORPORATION (Exact name of registrant as specified in its charter)
These excerpts taken from the GAIN 8-K filed Jul 10, 2007. GLADSTONE INVESTMENT CORPORATION The following Amendment is hereby made to the Bylaws (the “Bylaws”) of Gladstone Investment Corporation, a Maryland corporation, as of July 10, 2007: 1. Article IV, Section 15 is hereby deleted in its entirety, and replaced with the following: Gladstone Investment Corporation (Exact name of registrant as specified in its chapter)
Registrant’s telephone number, including area code: (703) 287-5800
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:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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