Company: GAINI
Filing Date: 2025-11-06
Form Type: 424B2
Source: 0001193125-25-269767
Chunk: 99

Company: GLADSTONE INVESTMENT CORPORATION\DE
Filing Date: 2025-11-06
Form: 424B2
Chunk 99
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 from withholding under the rules applicable to foreign shareholders described above (e.g., interest-related dividends). In addition, subject to certain exceptions, this legislation also imposes a 30% withholding on payments to foreign entities that are not financial institutions unless the foreign entity certifies that it does not have a greater than 10% U.S. owner or provides the withholding agent with identifying information on each greater than 10% U.S. owner. Depending on the status of a non-U.S. stockholder and the status of the intermediaries through which they hold their shares, non-U.S. stockholders could be subject to this 30% withholding tax with respect to distributions on their shares and proceeds from the sale of their shares. Under certain circumstances, a non-U.S. stockholder might be eligible for refunds or credits of such taxes.

All stockholders are urged to consult their tax advisers with respect to the U.S. federal income and withholding tax consequences, and state, local and non-U.S. tax consequences, of an investment in our common stock. We will not pay any additional amounts in respect to any amounts withheld.**

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DESCRIPTION OF OUR SECURITIES Our authorized capital stock consists of 100,000,000 shares of common stock, par value $0.001 per share, and 10,000,000 shares of preferred stock, par value $0.001 per share. The following are our outstanding classes, and series thereof, of Securities as of February 23, 2024.

| (1) Title of Class    
 Common Stock          |     | (2)        
 Amount     
 Authorized | 100,000,000 shares |     | (3)          
 Amount       
 Held         
 by us or for 
 Our          
 Account      | — |     | (4)           
 Amount        
 Outstanding   
 Exclusive of  
 Amounts Shown 
 Under(3)      | 36,688,667 shares |
|:----------------------|:----|:-----------|-------------------:|:----|:-------------|:--|:----|:--------------|------------------:|
| 5.00% Notes due 2026  |     | $          |        127,937,500 |     |              | — |     | $             |       127,937,500 |
| 4.875% Notes due 2028 |     | $          |        134,550,000 |     |              | — |     | $             |