OTHER INFORMATION.
−Removed: Not applicable.
+Added: During the three months ended June 30, 2023, none of our officers or directors adopted or terminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement.”
See the exhibit index.
14 unchanged sentences
814-00704), filed August 18, 2021.
+Added: 4.5 Fourth Supplemental Indenture between Gladstone Investment Corporation and UMB Bank, National Association, dated as of May 31, 2023, incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K (File No.
+Added: 814-00704), filed May 31, 2023.
+Added: 10.1 Amendment No.
+Added: 7 to Fifth Amended and Restated Credit Agreement, dated as of April 10, 2023 by and among Gladstone Business Investment, LLC, as Borrower, Gladstone Management Corporation, as Servicer, KeyBank National Association, as administrative agent, swingline lender, managing agent and lead arranger and certain other lenders party thereto, incorporated by reference to Exhibit 10.20 to the Annual Report on Form 10-K (File No.
+Added: 814-00704), filed May 10, 2023.
31.1* Certification of Chief Executive Officer pursuant to section 302 of The Sarbanes-Oxley Act of 2002.
13 unchanged sentences
*** Attached as Exhibit 101 to this Quarterly Report on Form 10-Q are the following materials, formatted in Inline eXtensible Business Reporting Language (iXBRL):
−Removed: (i) the Consolidated Statements of Assets and Liabilities as of December 31, 2022 and March 31, 2022, (ii) the Consolidated Statements of Operations for the three and nine months ended December 31, 2022 and 2021, (iii) the Consolidated Statements of Changes in Net Assets for the three and nine months ended December 31, 2022 and 2021, (iv) the Consolidated Statements of Cash Flows for the nine months ended December 31, 2022 and 2021, (v) the Consolidated Schedules of Investments as of December 31, 2022 and March 31, 2022, and (vi) the Notes to Consolidated Financial Statements
+Added: (i) the Consolidated Statements of Assets and Liabilities as of June 30, 2023 and March 31, 2023, (ii) the Consolidated Statements of Operations for the three months ended June 30, 2023 and 2022, (iii) the Consolidated Statements of Changes in Net Assets for the three months ended June 30, 2023 and 2022, (iv) the Consolidated Statements of Cash Flows for the three months ended June 30, 2023 and 2022, (v) the Consolidated Schedules of Investments as of June 30, 2023 and March 31, 2023, and (vi) the Notes to Consolidated Financial Statements
All other exhibits for which provision is made in the applicable regulations of the Securities and Exchange Commission are not required under the related instruction or are inapplicable and therefore have been omitted.
5 unchanged sentences
(principal financial and accounting officer)
−Removed: February 1, 2023
+Added: August 2, 2023
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.