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GAIN > SEC Filings for GAIN > Form 8-K/A on 29-Nov-2012All Recent SEC Filings




Change in Directors or Principal Officers, Regulation FD Di

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On November 27, 2012, George Stelljes III informed the management of the Company that he intends to resign as a director and the co-vice chairman, chief investment officer, and assistant secretary of the Company, although no effective date for the resignations has yet been determined. Mr. Stelljes will continue as an officer and director of Gladstone Management Corporation, the Company's investment adviser, after such resignation is effective. Mr. Stelljes will also continue to perform his duties for the Company until his resignation is effective.

Item 7.01. Regulation FD Disclosure.

A copy of the press release announcing Mr. Stelljes' intended resignation is furnished herewith as Exhibit 99.1 to this Current Report on Form 8-K/A.

Pursuant to the rules and regulations of the Securities and Exchange Commission, the information set forth in this Item 7.01 and in the attached exhibit is deemed to be furnished and shall not be deemed to be filed.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits - The following exhibit is being furnished with this Current Report on Form 8-K/A.

Exhibit 99.1 - Press Release issued by Gladstone Investment Corporation on November 28, 2012.

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