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  4. [Form 3] GLADSTONE INVESTMENT CORPORATION\DE Initial Statement of Beneficial Ownership

Gladstone Investment (GAIN) director files initial Form 3

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Gladstone Investment Corporation filed an initial Form 3 for director George Stelljes III, formally registering him as a reporting person for the company’s securities. The filing lists no equity or derivative transactions, with all buy, sell, and exercise share counts reported as zero.

Positive

  • None.

Negative

  • None.
Buy transactions reported 0 shares Form 3 transaction summary buyShares
Sell transactions reported 0 shares Form 3 transaction summary sellShares
Derivative exercises reported 0 shares Form 3 transaction summary exerciseShares
Net buy/sell shares 0 shares Form 3 transaction summary netBuySellShares
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.
reporting person regulatory
""reportingPersons": [ { "name": "STELLJES GEORGE III""
derivativeTransactionCount financial
""derivativeTransactionCount": 0,"

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FAQ

What does the Form 3 filing for GAIN report about George Stelljes III?
The Form 3 identifies George Stelljes III as a director and reporting person for Gladstone Investment Corporation. It is an initial ownership report and shows no buy, sell, or derivative transactions, with all transaction share counts recorded as zero.

Does the GAIN Form 3 for George Stelljes III show any share purchases or sales?
No, the Form 3 reports no share purchases or sales by George Stelljes III. All buyShares, sellShares, and exerciseShares values in the transaction summary are listed as zero, indicating no reported trading activity in this filing.

What does a neutral netBuySellDirection mean in the GAIN Form 3?
A neutral netBuySellDirection means there is no net buying or selling reported. In this Form 3 for Gladstone Investment, buyShares, sellShares, and netBuySellShares are all zero, so the overall reported trading direction is neutral in this filing.

Are any derivative securities reported in the GAIN Form 3 for George Stelljes III?
No derivative securities are reported in this Form 3. The derivativeSummary is empty and derivativeTransactionCount is zero, indicating no listed options, warrants, or other derivative positions for George Stelljes III in this specific filing snapshot.

What role does George Stelljes III have at Gladstone Investment Corporation (GAIN)?
In this Form 3, George Stelljes III is identified as a director of Gladstone Investment Corporation. The filing notes he is not an officer and not a ten percent owner, focusing solely on his status as a board-level reporting person.
SEC Form 3
FORM 3UNITED 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)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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 ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
No securities are beneficially owned.
/s/Michael LiCalsi, Atttorney in Fact06/03/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR