Erika Highland files initial Form 3 for Gladstone

Gladstone Investment Corporation executive Erika P. Highland, an Executive Vice President, filed an initial Form 3 reporting her status as an officer of the company.

Rhea-AI Filing Summary

Gladstone Investment Corporation executive Erika P. Highland, an Executive Vice President, filed an initial Form 3 reporting her status as an officer of the company. The filing reports no transactions, no derivative positions, and no share holdings in this initial statement of beneficial ownership.

Key Terms

Form 3, Executive Vice President, beneficial ownership

3 terms

Form 3 regulatory

"INSIDER FILING DATA (Form 3): {"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

Executive Vice President financial

""officer_title": "Executive Vice President""

An executive vice president is a high-ranking leader within a company who oversees major parts of its operations or strategies. Think of them as senior managers responsible for important areas, similar to a vice principal in a school hierarchy. Their role matters to investors because they help guide the company's success and decision-making at the top level.

beneficial ownership regulatory

"initial statement of beneficial ownership"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

FAQ

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

What does the Gladstone Investment (GAIN) Form 3 filed by Erika P. Highland show?

The Form 3 shows that Erika P. Highland is an Executive Vice President of Gladstone Investment Corporation. It is an initial statement of beneficial ownership and reports no transactions, derivative positions, or share holdings at the time of filing.

Did Erika P. Highland report any stock transactions in GAIN on this Form 3?

No, this Form 3 reports no stock transactions by Erika P. Highland. The transaction summary shows zero buys, zero sells, zero exercises, and no gifts or other dispositions, indicating only an initial ownership filing with no trading activity disclosed.

Does the Erika P. Highland Form 3 disclose any Gladstone Investment (GAIN) share holdings?

The Form 3 does not list any reported share holdings for Erika P. Highland. The summary indicates zero holding entries and no derivative positions, so only her status as an officer is disclosed without specific ownership amounts in this filing.

What is Erika P. Highland’s role at Gladstone Investment (GAIN) according to the Form 3?

According to the Form 3, Erika P. Highland serves as an Executive Vice President of Gladstone Investment Corporation. She is identified as an officer, not a director or ten percent owner, and this filing formally records her insider status with the SEC.

Are there any derivative securities reported for Erika P. Highland in the GAIN Form 3?

No derivative securities are reported for Erika P. Highland in this Form 3. The derivative summary is empty and the transaction summary shows zero derivative transactions or exercises, indicating no options or similar instruments disclosed in this initial filing.

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

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Accepted by SEC EDGAR 04/07/2026 - 04:48 PM 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^*

Highland Erika P

(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)
	Executive Vice President

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	03/30/2026
	** 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)