GAIN director files amended Form 3 with no trades

Gladstone Investment Corporation (GAIN) director George Stelljes III filed an amended Form 3, which is an update to his initial statement of beneficial ownership as a company insider.

Rhea-AI Filing Summary

Gladstone Investment Corporation (GAIN) director George Stelljes III filed an amended Form 3, which is an update to his initial statement of beneficial ownership as a company insider. The amendment reports his status as a director and confirms there are no buy, sell, or other share transactions disclosed in this filing.

Key Terms

Form 3/A, reportingPersons, is_director, is_ten_percent_owner, +1 more

5 terms

Form 3/A regulatory

"INSIDER FILING DATA (Form 3/A):"

An amended Form 3 (Form 3/A) is a corrected or updated disclosure filed with regulators that revises an insider’s initial report of their ownership in a public company — typically for officers, directors or large shareholders. Investors use it like a corrected inventory list: it clarifies who owns how many shares and whether earlier reports had errors, helping assess insider confidence, possible conflicts and the accuracy of ownership records that can affect stock valuation and trust.

reportingPersons regulatory

""reportingPersons": [ { "name": "STELLJES GEORGE III""

is_director regulatory

""is_director": 1,"

is_ten_percent_owner regulatory

""is_ten_percent_owner": 0,"

transactionSummary financial

""transactionSummary": { "buyCount": 0, "sellCount": 0"

FAQ

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

What does the amended Form 3/A for GAIN disclose about George Stelljes III?

The amended Form 3/A shows George Stelljes III as a director of Gladstone Investment Corporation. It updates his initial beneficial ownership statement and reports no insider share transactions or derivative positions in this specific filing.

Are there any insider share purchases or sales reported for GAIN in this Form 3/A?

No insider share purchases or sales are reported. The transaction summary shows zero buy, sell, acquire, dispose, gift, tax-withholding, or restructuring transactions, indicating this amendment is administrative rather than a record of trading activity.

Does this GAIN Form 3/A include any derivative securities information?

No derivative securities are listed in this amendment. The derivative summary is empty and derivativeTransactionCount is zero, meaning there are no option, warrant, or other derivative holdings or exercises reported for George Stelljes III in this filing.

Is George Stelljes III a 10% owner of Gladstone Investment Corporation (GAIN) in this filing?

The filing indicates he is not a 10% owner. The reporting person data mark him as a director with is_ten_percent_owner set to zero, so he is reported solely in his capacity as a board member in this amendment.

What is the net insider trading activity shown in this GAIN Form 3/A?

Net insider trading activity is neutral. The transactionSummary shows zero shares bought, sold, or otherwise transacted, with netBuySellShares at 0 and netBuySellDirection marked neutral, underscoring that no trading occurred in this amendment.

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

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Accepted by SEC EDGAR 06/05/2026 - 02:52 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^*

STELLJES GEORGE III

(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)
06/01/2026

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)
06/03/2026

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

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

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:

Remarks:

(1) This Amendment corrects an initial Form 3 filing that inadvertently included the incorrect POA. This Amendment includes the reporting person's POA.

No securities are beneficially owned.

	/s/Michael LiCalsi, Atttorney in Fact	06/05/2026
	** 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)