Gladstone Investment’s Erika Highland becomes president

Before joining Gladstone in August 2005, Highland worked at Wells Fargo Retail Finance and A.G. Edwards in investment banking.

Rhea-AI Filing Summary

Gladstone Investment Corporation (GAIN) made Erika Highland’s previously announced appointment as president effective October 1, 2026. David Dullum stepped down as president on the same date and continues as chief executive officer.

Highland served as executive vice president from March 2026 through September 30, 2026, and as senior managing director from October 2023 until March 2026. She joined the Gladstone Companies in August 2005 and has led investment activities for numerous portfolio companies, including sourcing, transaction execution and portfolio management. She has served, and continues to serve, on boards of various past and current portfolio companies.

8-K Event Classification

Item 5.02 — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers

1 item

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers Governance

Key personnel changes including departures, elections, or appointments of directors and executive officers.

Key Figures

Appointment effective date: October 1, 2026 Age: 46 years Joined the Gladstone Companies: August 2005

3 metrics

Appointment effective date October 1, 2026 Erika Highland became president

Age 46 years Erika Highland

Joined the Gladstone Companies August 2005 Erika Highland

Key Terms

transaction execution, portfolio management, investment banking

3 terms

transaction execution financial

"sourcing, transaction execution, portfolio management"

The process of completing a financial deal or order after its terms are agreed, including the steps needed to settle payment, transfer assets, and record the transaction. It covers everything from executing a stock trade on an exchange to finalizing the transfer and legal steps in a corporate deal; its speed, accuracy, and cost affect how quickly ownership changes and how much parties ultimately receive, similar to how timely delivery and correct paperwork matter when buying a house.

portfolio management financial

"sourcing, transaction execution, portfolio management, and exit"

Portfolio management is the process of selecting, organizing, and overseeing a collection of investments to achieve specific financial goals. It involves making decisions about where to put money, balancing risk and reward, and adjusting the mix of investments over time, much like a gardener tending to different plants to ensure a healthy, thriving garden. This helps investors grow their wealth steadily while managing potential losses.

investment banking financial

"worked at Wells Fargo Retail Finance and A.G. Edwards in investment banking"

Investment banking is a financial service that helps companies raise money by selling stocks or bonds to investors, similar to how a broker connects buyers and sellers. It also advises businesses on mergers, acquisitions, and other major financial decisions, acting as a guide through complex transactions. For investors, investment banking facilitates access to opportunities and ensures that large financial deals are managed smoothly and efficiently.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

Who is the president of GAIN?

Erika Highland became president of Gladstone Investment Corporation on October 1, 2026. She had served as executive vice president from March 2026 through September 30, 2026, and as senior managing director from October 2023 until March 2026.

What is David Dullum’s role at GAIN?

David Dullum stepped down as president on October 1, 2026, and continues to serve as chief executive officer of Gladstone Investment Corporation.

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

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Available on EDGAR 10/01/2026 - 04:05 PM Accepted by SEC EDGAR 10/01/2026 - 04:05 PM Learn about SEC filing dates

GLADSTONE INVESTMENT CORPORATION\DE false 0001321741 0001321741 2026-10-01 2026-10-01 0001321741 us-gaap:CommonStockMember 2026-10-01 2026-10-01 0001321741 gain:A4875NotesDue2028Member 2026-10-01 2026-10-01 0001321741 gain:A7.875NotesDue2030Member 2026-10-01 2026-10-01 0001321741 gain:A7.125NotesDue2031Member 2026-10-01 2026-10-01

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): October 1, 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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On October 1, 2026, the appointment of Erika Highland as President of Gladstone Investment Corporation (the “Company”), which was previously announced on March 23, 2026, became effective. As of the same date, David Dullum stepped down as President of the Company and continues to serve as its Chief Executive Officer.

Ms. Highland, age 46, served as the Company’s Executive Vice President from March 2026 until September 30, 2026 and as Senior Managing Director from October 2023 until March 2026. She joined the Gladstone Companies in August 2005 and has led the investment activities for numerous portfolio companies, including sourcing, transaction execution, portfolio management, and exit. In addition, Ms. Highland has served, and continues to serve, on the boards of directors of various past and current portfolio companies. Prior to joining the Gladstone Companies, Ms. Highland worked at Wells Fargo Retail Finance and A.G. Edwards in investment banking. Ms. Highland holds a Bachelor of Science in Business Administration, with a concentration in Finance, from Boston College.

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: October 1, 2026				By:		/s/ Taylor Ritchie
						Taylor Ritchie
						Chief Financial Officer and Treasurer

Filing Exhibits & Attachments

4 documents

Other Documents

• EX-101 XBRL TAXONOMY EXTENSION SCHEMA 4.7 KB
• EX-101 XBRL TAXONOMY EXTENSION DEFINITION LINKBASE 14.0 KB
• EX-101 XBRL TAXONOMY EXTENSION LABEL LINKBASE 23.5 KB
• EX-101 XBRL TAXONOMY EXTENSION PRESENTATION LINKBASE 15.1 KB