Company: GAINI
Filing Date: 2025-06-20
Form Type: DEF 14A
Source: 0001193125-25-143255
Chunk: 7

Company: GLADSTONE INVESTMENT CORPORATION\DE
Filing Date: 2025-06-20
Form: DEF 14A
Chunk 7
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 stockholder who wishes to propose a nominee to our Board or propose any other business to be considered by the stockholders (other than a stockholder proposal to be included in our proxy materials pursuant to Rule 14a-8of the Exchange Act) must comply with the advance notice provisions and other requirements of Article III, Section 5 of our Bylaws, a copy of which is on file with the Securities and Exchange Commission (“SEC”) and may be obtained from our corporate secretary upon request. These notice provisions require that nominations of persons for election to our Board and proposals of business to be considered by the stockholders for the 2026 Annual Meeting of Stockholders must be made in writing and submitted to our corporate secretary at the address above no earlier than April 9, 2026 (120 days before the first anniversary of our 2025 Annual Meeting of Stockholders), and not later than May 9, 2026 (90 days before the first anniversary of the 2025 Annual Meeting of Stockholders). You are also advised to review our Bylaws, which contain additional requirements about advance notice of stockholder proposals and director nominations. How many votes are needed to approve each proposal? Proposal 1 — Election of Directors.Each of David Gladstone and John Outland must be elected by a plurality of the votes cast by holders of our outstanding common stock. Only votes “ FOR” a particular director will affect the outcome of the election of such director. Under a plurality vote standard, the 5

**nominees that receive the highest number of votes cast will be elected regardless of whether they receive a majority of votes cast. In uncontested elections (like those in Proposal 1), this means that a director can be elected with a single “FOR” vote. Broker non-votes and withheld votes will not be counted as votes cast with respect to the proposal and will have no effect on the outcome of such proposal; however, they will be counted towards the quorum requirement. Cumulative voting is not permitted.

Proposal 2 — Ratification of our independent registered public accounting firm. The affirmative vote of a majority of shares held by holders of our outstanding common stock present at the annual meeting is required to ratify the Audit Committee’s selection of PwC as our independent registered public accounting firm for the fiscal year ending March 31, 2026. Abstentions will not be counted as votes cast for this proposal and will have the effect of a vote “AGAINST” this proposal.

What are “broker non-votes