Gladstone Investment EVP files initial Form 3

Gladstone Investment Corporation executive Christopher James Lee has filed an initial ownership report on Form 3 as an Executive Vice President of the company, which trades under the ticker GAIN.

Rhea-AI Filing Summary

Gladstone Investment Corporation executive Christopher James Lee has filed an initial ownership report on Form 3 as an Executive Vice President of the company, which trades under the ticker GAIN. The data provided shows no reported transactions or derivative positions in this filing.

Key Terms

Form 3, Executive Vice President, reporting person

3 terms

Form 3 regulatory

"has filed an initial ownership report on Form 3 as an Executive Vice President"

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

"Christopher James Lee as an Executive Vice President of the company"

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.

reporting person regulatory

"The reporting person is Christopher James Lee, identified as an Executive Vice President"

FAQ

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

What does the Form 3 filed for GAIN by Christopher James Lee show?

The Form 3 for GAIN lists Christopher James Lee as an Executive Vice President and reporting person. It functions as an initial ownership statement, and the provided data shows no reported transactions or derivative positions in this filing.

Who is the reporting person in the GAIN Form 3 filing?

The reporting person is Christopher James Lee, identified as an Executive Vice President of Gladstone Investment Corporation. He is treated as an insider for disclosure purposes and must report his beneficial ownership and future changes on SEC forms such as Form 3, 4, or 5.

Does the GAIN Form 3 filing report any insider stock transactions?

The Form 3 data provided for GAIN shows no reported insider stock transactions. Transaction counts for buys, sells, exercises, gifts, tax withholding, and restructuring are all zero, indicating only an initial reporting status rather than current trading activity.

Are any derivative securities disclosed in the GAIN Form 3 for Christopher James Lee?

The Form 3 excerpt shows an empty derivativeSummary, indicating no derivative securities, such as options or warrants, are listed for Christopher James Lee in this filing. It functions purely as an initial insider ownership disclosure without derivative holdings reported.

What does the transactionSummary indicate in the GAIN Form 3 filing?

The transactionSummary in the GAIN Form 3 shows zero counts for buy, sell, exercise, gift, tax withholding, and restructuring transactions, with a neutral netBuySellDirection. This means the filing records status only and no insider trading activity in the reported period.

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

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Accepted by SEC EDGAR 04/07/2026 - 04:10 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^*

Lee Christopher James

(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	04/07/2026
	** 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)