Gladstone Investment (GAIN) CFO adds 1,500 shares in plan trade

Rhea-AI Filing Summary

Gladstone Investment Corporation (GAIN) reported that its Chief Financial Officer, Ritchie Taylor, purchased 1,500 shares of common stock on 2026-08-18 in an open-market or private transaction at $16.20 per share. Following this transaction, Taylor directly holds 4,352.82 shares of GAIN common stock. The filing affirms that this trade was made pursuant to a Rule 10b5-1 trading plan.

Insider Trade Summary 10b5-1

Net Buyer: 1,500 shares

Net Buy 1 txn

Insider Ritchie Taylor

Role Chief Financial Officer

Bought 1,500 shs ($24K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	1,500	$16.20	$24K

Holdings After Transaction: Common Stock — 4,352.82 shares (Direct)

Key Figures

Shares purchased: 1,500 shares Purchase price per share: $16.20 Shares owned after transaction: 4,352.82 shares +1 more

4 metrics

Shares purchased 1,500 shares Common stock purchased on 2026-08-18 by CFO Ritchie Taylor

Purchase price per share $16.20 Price per share for the 1,500-share common stock purchase

Shares owned after transaction 4,352.82 shares Direct holdings of GAIN common stock by CFO after the purchase

Net insider share change 1,500 shares Net buy shares in this Form 4 transaction summary

Key Terms

Rule 10b5-1 trading plan, Form 4, open-market or private transaction

3 terms

Rule 10b5-1 trading plan regulatory

"The filing affirms that this trade was made pursuant to a Rule 10b5-1 trading plan"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

Form 4 regulatory

"This was an open-market or private transaction reported on a Form 4 filing"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

open-market or private transaction financial

"purchased 1,500 shares of common stock in an open-market or private transaction"

FAQ

What insider transaction did GAIN report for CFO Ritchie Taylor?

GAIN reported that CFO Ritchie Taylor purchased 1,500 shares of common stock on 2026-08-18 at $16.20 per share. This was an open-market or private transaction reported on a Form 4 filing.

How many GAIN shares does CFO Ritchie Taylor own after this Form 4 transaction?

After the reported transaction, CFO Ritchie Taylor directly owns 4,352.82 shares of GAIN common stock. This reflects the addition of 1,500 shares purchased on 2026-08-18 under the disclosed transaction.

Was the GAIN CFO’s recent share purchase under a Rule 10b5-1 plan?

Yes. The Form 4 for GAIN indicates the transaction was made under a Rule 10b5-1 trading plan. This means the trade followed a pre-established plan, potentially reducing the informational value of its timing.

What price did GAIN’s CFO pay per share in the latest Form 4 purchase?

The CFO of GAIN paid $16.20 per share for the 1,500 shares of common stock purchased on 2026-08-18. The transaction code indicates a purchase in an open-market or private transaction.

How many GAIN shares did the CFO buy in the latest insider transaction?

In the latest insider transaction, the GAIN CFO bought 1,500 shares of common stock. This purchase increased his direct holdings to 4,352.82 shares, as disclosed in the Form 4 filing.

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/19/2026 - 10:27 AM Accepted by SEC EDGAR 08/19/2026 - 10:26 AM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Ritchie Taylor

(Last) (First) (Middle)

1521 WESTBRANCH DRIVE

SUITE 100

(Street)

MCLEAN VIRGINIA 22102

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/18/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/18/2026		P		1,500	A	$16.2	4,352.82	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/Michael LiCalsi, Atttorney in Fact	08/19/2026
	** 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 4 (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 4: SEC 1474 (03-26)