Company: GAINI
Filing Date: 2025-11-10
Form Type: 8-K
Source: 0001193125-25-274307
Chunk: 0

Company: GLADSTONE INVESTMENT CORPORATION\DE
Filing Date: 2025-11-10
Form: 8-K
Item: Item 1.01
Chunk 0
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Item 1.01.

Entry into a Material Definitive Agreement

On November 6, 2025, Gladstone Investment Corporation (the “ Company”) entered into an underwriting agreement (

the “ Underwriting Agreement”

) by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and B. Riley Securities, Inc, in connection with the issuance and sale of $

60.0

million aggregate principal amount of the Company’s 6.875% Notes due 2028 in a registered direct offering (the “ Notes” and such offering, the “ Offering”). The closing of the Offering occurred on November 10, 2025. The Company intends to use the net proceeds from the Offering to repay a portion of the amount outstanding under its credit facility, to fund new investment opportunities and for other general corporate purposes. The Company

intends to re-borrow under its

credit facility to make investments in portfolio companies in accordance with its investment objectives and market conditions and for other general corporate purposes.

The Offering was made pursuant to the Company’s effective shelf registration statement on Form

N-2

(Registration

No. 333-277452)

previously filed with the Securities and Exchange Commission, as supplemented by a prospectus supplement dated November 6, 2025 and the pricing term sheet dated November 6, 2025. This Current Report on Form

8-K

shall not constitute an offer to sell or a solicitation of an offer to buy any securities, nor shall there be any sale of these securities in any state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or other jurisdiction.

On November 10, 2025, in connection with the Offering, the Company and UMB Bank, National Association, as trustee (the “ Trustee”), entered into a Sixth Supplemental Indenture (the “ Sixth Supplemental Indenture”) to the Indenture, dated May 22, 2020, between the Company and the Trustee (together with the Sixth Supplemental Indenture, the “ Indenture”). The Sixth Supplemental Indenture relates to the Offering of the Notes.

The Notes will mature on November 1, 2028, unless previously redeemed or repurchased in accordance with their terms. The interest rate of the Notes is 6.875% per year, and interest on the Notes will be paid on May 1 and November