OTHER INFORMATION.
−Removed: During the three months ended September 30, 2024, 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) ("Rule 10b5-1 trading arrangement") or any “non-Rule 10b5-1 trading arrangement.”
+Added: During the three months ended December 31, 2024, 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) ("Rule 10b5-1 trading arrangement") or any “non-Rule 10b5-1 trading arrangement.”
See the exhibit index.
16 unchanged sentences
814-00704), filed May 31, 2023.
+Added: 4.6 Fifth Supplemental Indenture between Gladstone Investment Corporation and UMB Bank, National Association, dated as of December 17, 2024, incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K (File No.
+Added: 814-00704), filed December 17, 2024.
+Added: 10.1* Amendment No.
+Added: 10 to Fifth Amended and Restated Credit Agreement, dated as of February 10, 2025 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.
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 September 30, 2024 and March 31, 2024, (ii) the Consolidated Statements of Operations for the three and six months ended September 30, 2024 and 2023, (iii) the Consolidated Statements of Changes in Net Assets for the three and six months ended September 30, 2024 and 2023, (iv) the Consolidated Statements of Cash Flows for the six months ended September 30, 2024 and 2023, (v) the Consolidated Schedules of Investments as of September 30, 2024 and March 31, 2024, and (vi) the Notes to Consolidated Financial Statements.
+Added: (i) the Consolidated Statements of Assets and Liabilities as of December 31, 2024 and March 31, 2024, (ii) the Consolidated Statements of Operations for the three and nine months ended December 31, 2024 and 2023, (iii) the Consolidated Statements of Changes in Net Assets for the three and nine months ended December 31, 2024 and 2023, (iv) the Consolidated Statements of Cash Flows for the nine months ended December 31, 2024 and 2023, (v) the Consolidated Schedules of Investments as of December 31, 2024 and March 31, 2024, and (vi) the Notes to Consolidated Financial Statements.
All other exhibits for which provision is made in the applicable regulations of the SEC are not required under the related instruction or are inapplicable and therefore have been omitted.
1 unchanged sentence
GLADSTONE INVESTMENT CORPORATION
−Removed: /s/ Rachael Easton
−Removed: Rachael Easton
+Added: /s/ Taylor Ritchie
+Added: Taylor Ritchie
Chief Financial Officer and Treasurer
(principal financial and accounting officer)
−Removed: November 7, 2024
+Added: February 12, 2025
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.