[8-K] Gladstone Investment Corporation Reports Material Event

Rhea-AI Filing Summary

NN Inc. (NNBR) filed a Form 4 reporting an automatic share-withholding transaction by SVP & General Counsel Jami Statham on 08 July 2025.

• 1,515 common shares were withheld at $2.21 per share (transaction code “F”) to settle taxes due on the vesting of 5,294 restricted shares.
• After the withholding, the executive directly owns 53,253 shares of NN Inc. common stock.
• No open-market sales, purchases, or derivative transactions were reported.

Because code F transactions are mandatory and tax-related, they generally do not signal a change in the insider’s view of the company’s valuation. The filing is therefore viewed as routine and carries minimal immediate market impact.

Insights

Securities Analyst

TL;DR: Routine tax-withholding; small size; neutral signal to investors.

The 1,515-share disposition (≈3% of the insider’s post-vesting holding) was a compulsory tax payment tied to RSU vesting, not a discretionary sale. With 53,253 shares still held, the executive’s stake remains largely intact. Such Form 4 events rarely influence valuation or liquidity and are deemed non-impactful for NNBR’s investment thesis.

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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): July 10, 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. ☐

Item 7.01. Regulation FD Disclosure.

On July 10, 2025, 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 July, August and September 2025.

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.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

Exhibit No.		Description
99.1		Press Release issued by Gladstone Investment Corporation, dated July 10, 2025.
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: July 10, 2025				By:		/s/ Taylor Ritchie
						Taylor Ritchie
						Chief Financial Officer and Treasurer

FAQ

What insider transaction did NNBR report on 07/08/2025?

NN Inc. withheld 1,515 common shares from SVP Jami Statham to pay taxes on the vesting of 5,294 restricted shares.

What does transaction code “F” in the NNBR Form 4 mean?

Code F denotes shares withheld by the issuer to cover the insider’s tax liability; it is not an open-market sale.

How many NNBR shares does the insider own after the transaction?

Following the withholding, Jami Statham directly owns 53,253 NNBR shares.

At what price were the shares withheld for taxes?

The 1,515 shares were valued at $2.21 per share for tax-withholding purposes.

Were any derivative securities involved in this Form 4 filing?

No. The filing shows no derivative securities acquired or disposed of.