Gladstone Investment CIO files initial ownership

Gladstone Investment Corporation executive John Sateri, the company’s Chief Investment Officer, has filed an initial statement of beneficial ownership as a reporting person.

Rhea-AI Filing Summary

Gladstone Investment Corporation executive John Sateri, the company’s Chief Investment Officer, has filed an initial statement of beneficial ownership as a reporting person. This Form 3 filing lists him as an officer but shows no reported transactions or derivative holdings at this time.

Key Terms

Chief Investment Officer, reporting person, transactionSummary

3 terms

Chief Investment Officer financial

"officer_title: "Chief Investment Officer" for reporting person John Sateri"

A chief investment officer (CIO) is the person responsible for managing a company or organization’s investments and financial strategies. They make key decisions about where to put money to help grow wealth or achieve financial goals, much like a coach plans a team’s game strategy. Their work matters to investors because it influences how effectively an organization’s assets are used to generate returns.

reporting person regulatory

"reportingPersons list identifies John Sateri as a reporting person"

transactionSummary financial

"transactionSummary shows all transaction counts and shares as zero"

FAQ

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

What does John Sateri’s Form 3 filing for GAIN indicate?

The filing shows that John Sateri is a reporting person and Chief Investment Officer of Gladstone Investment Corporation. It is an initial statement of beneficial ownership and, in this case, does not list any specific share transactions or derivative positions.

Did John Sateri buy or sell any GAIN shares in this Form 3?

No transactions are reported in this Form 3. The transaction summary shows zero buys, sells, exercises, gifts, or tax withholdings, indicating this filing is purely an initial ownership statement without any contemporaneous trading activity disclosed.

What role does John Sateri hold at Gladstone Investment Corporation (GAIN)?

John Sateri is identified as an officer of Gladstone Investment Corporation, serving as Chief Investment Officer. This title is disclosed in the Form 3 data, establishing his status as an executive subject to insider reporting requirements under SEC rules.

Does the Form 3 for GAIN disclose any derivative securities for John Sateri?

No derivative securities are disclosed for John Sateri in this Form 3. The derivative summary is empty and derivativeTransactionCount is zero, indicating there are no options, warrants, or similar derivative positions reported in this initial filing.

What does a transactionSummary of neutral mean in this GAIN Form 3?

The neutral transactionSummary reflects that there are no reported buy, sell, acquire, or dispose transactions. All transaction counts and share amounts are zero, so the netBuySellDirection is neutral, emphasizing this filing is informational rather than trade-related.

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

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Accepted by SEC EDGAR 03/30/2026 - 09:36 AM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Sateri John

(Last) (First) (Middle)

1521 WESTBRANCH DRIVE

SUITE 100

(Street)

MCLEAN VIRGINIA 22102

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/20/2026

3. Issuer Name and Ticker or Trading Symbol
GLADSTONE INVESTMENT CORPORATION\DE [ GAIN ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Investment Officer

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/Michael LiCalsi, Atttorney in Fact	03/27/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)