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  4. [8-K] GLADSTONE INVESTMENT CORPORATION\DE Reports Material Event

Gladstone Investment holders back all 2026 proposals

Gladstone Investment Corporation’s stockholders approved all proposals at the reconvened 2026 Annual Meeting, including the election of two directors.

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
8-K

Rhea-AI Filing Summary

Gladstone Investment Corporation (GAIN) reported the results of its reconvened 2026 Annual Meeting of Stockholders held on September 4, 2026. Stockholders approved all proposals described in the company’s Definitive Proxy Statement on Schedule 14A filed June 18, 2026.

Two directors, Michela A. English and Anthony W. Parker, were elected, receiving 18,537,008 and 18,591,517 votes "For," respectively, with no broker non-votes reported for these items. Another proposal received 14,460,192 votes "For," 4,733,646 "Against," and 1,075,897 "Abstain," and was also approved.

Positive

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Item 5.07 Submission of Matters to a Vote of Security Holders Governance
Results of a shareholder vote on proposals at an annual or special meeting.
Votes For – Michela A. English 18,537,008 votes Director election at the 2026 Annual Meeting on September 4, 2026
Votes Withheld – Michela A. English 1,732,727 votes Director election at the 2026 Annual Meeting on September 4, 2026
Votes For – Anthony W. Parker 18,591,517 votes Director election at the 2026 Annual Meeting on September 4, 2026
Votes Withheld – Anthony W. Parker 1,678,218 votes Director election at the 2026 Annual Meeting on September 4, 2026
Other proposal – For votes 14,460,192 votes Non-director proposal voted at the 2026 Annual Meeting
Other proposal – Against votes 4,733,646 votes Non-director proposal voted at the 2026 Annual Meeting
Other proposal – Abstain votes 1,075,897 votes Non-director proposal voted at the 2026 Annual Meeting
Annual Meeting of Stockholders regulatory
"reconvened its 2026 Annual Meeting of Stockholders"
Definitive Proxy Statement regulatory
"described in detail in the Company’s Definitive Proxy Statement"
A Definitive Proxy Statement is a detailed document that a company sends to its shareholders before a big meeting, like voting on important decisions. It explains what's being voted on and gives important information so shareholders can make informed choices. It matters because it helps shareholders understand and participate in key company decisions.
Broker Non-Votes regulatory
"For | | Withheld | | Broker Non-Votes"
Broker non-votes occur when a brokerage firm is unable to vote on a shareholder’s behalf during a company election or decision because the shareholder has not given specific voting instructions, and the broker is not allowed or chooses not to vote on certain matters. They are important because they can affect the outcome of votes, especially when the results are close, by effectively reducing the total number of votes cast.
Emerging growth company regulatory
"Emerging growth company"
An emerging growth company is a recently public or smaller public firm that qualifies for temporary, lighter regulatory and disclosure rules to reduce the cost and effort of being public. For investors, it means the company may provide less historical financial detail and face fewer reporting requirements than larger firms, so it can grow more quickly but also carries higher uncertainty—like buying a promising early-stage product with fewer user reviews.

FAQ

What did GAIN stockholders approve at the September 4, 2026 Annual Meeting?
Stockholders approved all proposals presented at the reconvened 2026 Annual Meeting, as described in the Definitive Proxy Statement on Schedule 14A filed June 18, 2026, including the election of all director nominees.

Which directors were elected at GAIN’s 2026 Annual Meeting?
Stockholders elected Michela A. English and Anthony W. Parker as directors. English received 18,537,008 votes "For" and Parker received 18,591,517 votes "For," with no broker non-votes reported for these elections.

How many votes did Michela A. English receive in the GAIN director election?
Michela A. English received 18,537,008 votes "For" and 1,732,727 votes "Withheld," with 0 broker non-votes, in the director election held at the September 4, 2026 Annual Meeting.

How many votes did Anthony W. Parker receive in the GAIN director election?
Anthony W. Parker received 18,591,517 votes "For" and 1,678,218 votes "Withheld," with 0 broker non-votes, in the director election at the September 4, 2026 Annual Meeting.

What were the vote totals on the other proposal at GAIN’s 2026 Annual Meeting?
Another proposal received 14,460,192 votes "For", 4,733,646 votes "Against," and 1,075,897 votes "Abstain." The company states that stockholders approved this proposal along with the others presented.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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GLADSTONE INVESTMENT CORPORATION\DE false 0001321741 0001321741 2026-09-04 2026-09-04 0001321741 us-gaap:CommonStockMember 2026-09-04 2026-09-04 0001321741 gain:A4875NotesDue2028Member 2026-09-04 2026-09-04 0001321741 gain:A7.875NotesDue2030Member 2026-09-04 2026-09-04 0001321741 gain:A7.125NotesDue2031Member 2026-09-04 2026-09-04
 
 

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): September 4, 2026

 

 

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
4.875% Notes due 2028   GAINZ   The Nasdaq Stock Market LLC
7.875% Notes due 2030   GAINI   The Nasdaq Stock Market LLC
7.125% Notes due 2031   GAING   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. ☐

 

 
 

Item 5.07.

Submission of Matters to a Vote of Security Holders.

On September 4, 2026, Gladstone Investment Corporation (the “Company”) reconvened its 2026 Annual Meeting of Stockholders (the “Annual Meeting”) that was previously adjourned on August 6, 2026. The Company’s stockholders voted and approved each of the proposals presented at the Annual Meeting, which are described in detail in the Company’s Definitive Proxy Statement on Schedule 14A, which was filed with the Securities and Exchange Commission on June 18, 2026.

The matters considered and voted on by the Company’s stockholders at the Annual Meeting and the vote of the stockholders were as follows:

 

  1.

The election of two directors to hold office until the 2029 Annual Meeting of Stockholders.

 

   

For

  

Withheld

  

Broker Non-Votes

Michela A. English

   18,537,008   1,732,727   0

Anthony W. Parker

   18,591,517   1,678,218   0

 

  2.

The proposal to authorize the Company, with the subsequent approval of its board of directors (the “Board”), to issue and sell shares of the Company’s common stock (during the 12 months following such authorization) at a price below its then current net asset value per share, provided that the number of shares issued and sold pursuant to such authority does not exceed 25% of the Company’s then outstanding common stock immediately prior to each such sale:

 

For

  

Against

  

Abstain

14,460,192   4,733,646   1,075,897

 

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: September 4, 2026     By:  

  /s/ Taylor Ritchie

        Taylor Ritchie
        Chief Financial Officer and Treasurer

Source: View Original Filing on SEC EDGAR

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