Welcome to our dedicated page for Gladstone Invt SEC filings (Ticker: GAIN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Gladstone Investment Corporation (GAIN) SEC filings page on Stock Titan provides access to the company’s regulatory documents as filed with the U.S. Securities and Exchange Commission. As a publicly traded business development company and registered investment company, Gladstone Investment files periodic and current reports that describe its financial condition, portfolio activity, governance, and capital markets transactions.
Investors can review Form 10-Q quarterly reports and Form 10-K annual reports, which include detailed financial statements, schedules of investments, and discussions of results. The company’s earnings press releases are often furnished on Form 8-K under Item 2.02, providing summarized financial results for recent quarters. Other Forms 8-K disclose material events such as the pricing of note offerings, entry into underwriting agreements and supplemental indentures, the redemption of outstanding notes, and the declaration of monthly cash distributions.
Gladstone Investment also files a definitive proxy statement (DEF 14A) in connection with its annual meeting of stockholders. This document outlines proposals such as the election of directors and the ratification of the independent registered public accounting firm, and explains how stockholders can vote.
On this page, Stock Titan surfaces these filings with AI-powered summaries that highlight key points, helping readers quickly understand topics such as changes in Gladstone Investment’s capital structure, the performance of its investment portfolio, and governance matters. Users can also monitor securities registered under Section 12(b), including GAIN common stock and the company’s various series of notes, as referenced in its Form 8-K filings.
Gladstone Investment Corporation grew its portfolio and net asset value in the quarter ended December 31, 2025. Total assets reached $1.24 billion, up from $1.01 billion as of March 31, 2025, while net assets rose to $595.4 million.
Net asset value per share increased from $13.55 to $14.95 as investments appreciated. Total investment income for the quarter was $25.1 million, higher than $21.4 million a year earlier, but higher management, incentive and interest expenses resulted in a net investment loss of $6.5 million.
Strong unrealized gains of $70.2 million on the investment portfolio drove a $65.9 million net increase in net assets from operations, compared with $38.5 million in the prior-year quarter. At fair value, investments grew to $1.22 billion, with 71.0% in debt and 29.0% in equity at cost.
Gladstone Investment Corporation announced it will redeem 100% of its outstanding 8.00% notes due 2028 on December 16, 2025. The redemption covers $74,750,000 aggregate principal amount and will be executed at 100% of principal plus accrued and unpaid interest to, but excluding, the redemption date.
In connection with the redemption, the 8.00% notes due 2028 will be delisted from the Nasdaq Global Select Market. This action retires the specific note series at par while meeting all interest obligations through the redemption cutoff.
Gladstone Investment Corporation (GAIN) issued and sold $60.0 million aggregate principal amount of 6.875% Notes due 2028 in a registered direct offering, closing on November 10, 2025. The company plans to use net proceeds to repay a portion of its credit facility, fund new investments, and for general corporate purposes.
The notes mature on November 1, 2028 and pay interest at 6.875% semiannually on May 1 and November 1, starting May 1, 2026. They are unsecured obligations ranking pari passu with GAIN’s existing 2026, 2028, and 2030 unsecured notes, and are effectively subordinated to secured debt and structurally subordinated to subsidiary obligations.
Redemption is permitted at any time prior to August 1, 2028 at par plus a make‑whole premium, and thereafter at par plus accrued interest. The notes were issued under a Sixth Supplemental Indenture with UMB Bank as trustee, with covenants tied to Investment Company Act leverage provisions.
Gladstone Investment Corporation (GAIN) launched a primary debt offering of $60,000,000 aggregate principal amount of 6.875% Notes due 2028. The Notes mature on November 1, 2028 and pay interest semiannually on May 1 and November 1, beginning May 1, 2026. Pricing was 100.000% with a 1.500% underwriting discount ($900,000), yielding $59,100,000 in proceeds before expenses and an estimated $58,700,000 in net proceeds after approximately $0.4 million of offering expenses.
The company intends to use the net proceeds to repay a portion of its revolving Credit Facility, to fund new investments, and for general corporate purposes. As of November 5, 2025, borrowings under the Credit Facility were approximately $96.9 million. The Notes are unsecured, rank equal with existing unsecured notes, and are structurally subordinated to subsidiary debt. They include optional redemption provisions, a change of control repurchase at 100% of principal plus accrued interest, and will not be listed on an exchange. B. Riley Securities acted as sole book‑running manager, with settlement expected on November 10, 2025.
Gladstone Investment Corporation furnished a Form 8-K to report that it issued a press release announcing its financial results for its second fiscal quarter ended September 30, 2025. The press release, dated November 4, 2025, is included as Exhibit 99.1 and is furnished rather than filed under the Exchange Act. The company lists its common stock and several note issues, including 5.00% Notes due 2026, 4.875% Notes due 2028, 8.00% Notes due 2028, and 7.875% Notes due 2030, on The Nasdaq Stock Market LLC.
Gladstone Investment Corporation (GAIN) reported its September 30, 2025 quarter with higher total investment income and strong fair value gains, offset by a sizable realized loss tied to a loan restructuring. Total investment income rose to $25,279 thousand from $22,565 thousand, while net expenses increased on higher interest and incentive fees. Net investment income was $4,279 thousand versus $7,291 thousand a year ago.
The company recorded a $29,938 thousand realized loss from restructuring J.R. Hobbs Co. – Atlanta, LLC debt, but this was more than offset by $54,368 thousand of net unrealized appreciation, driving a net increase in net assets from operations of $28,709 thousand (vs. $15,482 thousand). Assets grew to $1,144,439 thousand (from $1,006,404 thousand), and borrowings totaled $555,031 thousand. Net asset value per share was $13.53 (vs. $13.55 at March 31, 2025). Shares outstanding were 39,646,451 as of November 3, 2025.
Operating cash flow was a use of $110,839 thousand, reflecting new investment purchases, while financing provided $97,922 thousand, including common stock issuance and net line of credit activity.
Gladstone Investment Corporation reported that it has released its financial results for the first fiscal quarter ended June 30, 2025. The company issued a press release on August 12, 2025 to provide details on its operating performance and financial condition for this period.
The company’s common stock trades on Nasdaq under the symbol GAIN, alongside several series of publicly traded notes due between 2026 and 2030. The press release is provided as an exhibit to this report so investors and analysts can review the full quarterly results and commentary from management.
Gladstone Investment Corporation reported mixed quarterly results with portfolio growth but pressure on income and net asset value. Total assets were $1.054 billion and investments at fair value rose to $1.037 billion, while net assets declined to $485.3 million, producing a net asset value of $12.99 per share compared with $13.55 at the prior quarter end.
The company generated $9.09 million of net investment income ($0.25 per share), down from $12.41 million a year earlier, and reported a $7.77 million net increase from operations after a $1.316 million net unrealized depreciation. Management paid total distributions of $28.79 million, including $18.66 million funded from net realized gains ($0.51 per share).
Leverage increased with total borrowings of $518.6 million (including a $62.3 million draw on the line of credit). Credit metrics show $90.3 million of loans on non-accrual at cost (12.6% of debt cost basis) with a $51.7 million fair value. New investments included Smart Chemical Solutions ($49.5 million) and Sun State Nursery ($12.8 million), and PSI Molded debt was restructured into preferred equity.