SEC Form 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|Estimated average burden|
|hours per response:
1. Name and Address of Reporting Person*
|1521 WESTBRANCH DRIVE|
2. Date of Event Requiring Statement
3. Issuer Name and Ticker or Trading Symbol
GLADSTONE INVESTMENT CORPORATION\DE
[ GAIN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
||Officer (give title below)
||Other (specify below)
|Chief Financial Officer||
5. If Amendment, Date of Original Filed
6. Individual or Joint/Group Filing (Check Applicable Line)
||Form filed by One Reporting Person
||Form filed by More than One Reporting Person
|Table I - Non-Derivative Securities Beneficially Owned|
|1. Title of Security (Instr.
Amount of Securities Beneficially Owned (Instr.
||3. Ownership Form: Direct (D) or Indirect (I) (Instr.
||4. Nature of Indirect Beneficial Ownership (Instr.
Table II - Derivative Securities Beneficially Owned|
(e.g., puts, calls, warrants, options, convertible securities)
|1. Title of Derivative Security (Instr.
||2. Date Exercisable and Expiration Date
||3. Title and Amount of Securities Underlying Derivative Security (Instr.
||4. Conversion or Exercise Price of Derivative Security
||5. Ownership Form: Direct (D) or Indirect (I) (Instr.
||6. Nature of Indirect Beneficial Ownership (Instr.
||Amount or Number of Shares
|Explanation of Responses:|
||Paula Novara, Attorney-in-fact
||** Signature of Reporting Person
|Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.|
|* If the form is filed by more than one reporting person,
|** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).|
|Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
Instruction 6 for procedure.|
|Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.|
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
each of David Gladstone, Terry Brubaker, Harry Brill, Paula Novara, Allyson Williams, Kelly Sargent
Darren DeStefano, Bobbi Miliken and Patty Lamm, signing
individually, the undersigned's true and lawful attorneys-in fact and agents
execute for and on behalf of the undersigned, an officer, director or holder
or more of a registered class of securities of Gladstone Investment
Corporation, a Delaware corporation
(the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the
Exchange Act of 1934, as amended (the Exchange Act) and the rules thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned that
be necessary or desirable to complete and execute such Form 3, 4 or 5, complete
any amendment or amendments thereto, and timely file such forms or amendments
United States Securities and Exchange Commission and any stock exchange or
authority; and (3) take any other action of any nature whatsoever in
connection with the
which, in the opinion of such attorney-in-fact, may be of benefit, in
or legally required
by, the undersigned, it being understood that the
by such attorney-in-fact on behalf of the undersigned pursuant to this
shall be in such form and shall contain such terms and conditions as
may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
to do and perform any and every act and thing whatsoever requisite,
to be done in the exercise of any of the rights and powers herein
as fully to
all intents and purposes as the undersigned might or could do if
with full power of substitution or revocation, hereby ratifying and
such attorney-in-fact, or such attorney-in-fact's substitute or
do or cause to be done by virtue of this power of attorney and the
powers herein granted. The undersigned acknowledges that the foregoing
in serving in such capacity at the request of the undersigned, are not
nor is the Company assuming, any of the undersigned's responsibilities
with Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
earliest to occur of (a) the undersigned is no longer required to file
Forms 3, 4
and 5 with
respect to the undersigned's holdings of and transactions in securities
the Company, (b) revocation by the undersigned in a signed writing
delivered to the
foregoing attorneys-in-fact or (c) as to any attorney-in-fact
such attorney-in-fact shall no longer be employed by the Company, Gladstone Management
Corporation or Cooley Godward
IN WITNESS WHEREOF, the undersigned has cause this Power of
Attorney to be
executed as of this 22nd day of June, 2005.
/s/ Harry T. Brill, Jr.
Harry T. Brill, Jr.