Company: GAINI
Filing Date: 2025-05-13
Form Type: 10-K
Source: 0001321741-25-000010
Chunk: 96

Company: GLADSTONE INVESTMENT CORPORATION\DE
Filing Date: 2025-05-13
Form: 10-K
Item: Item 9B
Chunk 96
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IV

ITEM 15.    EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

a.DOCUMENTS FILED AS PART OF THIS REPORT1.The following financial statements are filed herewith:Report of Independent Registered Public Accounting Firm72Consolidated Statements of Assets and Liabilities as of March 31, 2025 and 202474Consolidated Statements of Operations for the years ended March 31, 2025, 2024, and 202375Consolidated Statements of Changes in Net Assets for the years ended March 31, 2025, 2024, and 202376Consolidated Statements of Cash Flows for the years ended March 31, 2025, 2024, and 202377Consolidated Schedules of Investments as of March 31, 2025 and 202484Notes to Consolidated Financial Statements892.The following financial statement schedule is filed herewith:Schedule 12-14 Investments in and Advances to Affiliates126No other financial statement schedules are filed herewith because (1) such schedules are not required or (2) the information has been presented in the aforementioned financial statements.3.ExhibitsThe following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the SEC:3.1Amended and Restated Certificate of Incorporation, incorporated by reference to Exhibit A.2 to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-123699), filed May 13, 2005.3.2Second Amended and Restated Bylaws, incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K (File No. 814-00704), filed May 15, 2020.4.1Specimen Stock Certificate, incorporated by reference to Exhibit d to Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-123699), filed June 21, 2005.4.2Indenture, dated as of May 22, 2020, between Gladstone Investment Corporation and UMB Bank, National Association, as trustee incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K (File No. 814-00704), filed May 22, 2020.4.3Second Supplemental Indenture between Glad