GAINN · Insider Trading

Gladstone Investment Corporation 5.00% Notes Due 2026

Iron condor setups Expected move IV rank history Fibonacci levels Insider trading

Every open-market purchase and sale reported by GAINN officers, directors and 10%+ beneficial owners on SEC Form 4, which must be filed within two business days of the transaction. Sales often reflect scheduled 10b5-1 plans or tax withholding rather than a directional view, so read counts alongside the size and the filer.

Form 4 Filings

most recent

Open-Market Buys

code P

Sales

code S

Reporting Insiders

current holders

GAINN — Recent Form 4 Transactions (latest 2020-03-24)

Filed	Insider	Role	Type	Shares	Value
2020-03-24	David A R Dullum	President	Buy	+2,500	+$17.00K
2020-03-24	Terry Lee Brubaker	Chief Operating Officer	Buy	+2,500	+$17.07K
2020-03-23	Julia Ryan	Chief Financial Officer	Buy	+2,500	+$20.44K
2020-03-20	Terry Lee Brubaker	Chief Operating Officer	Buy	+2,500	+$16.82K
2020-03-19	Terry Lee Brubaker	Chief Operating Officer	Buy	+2,500	+$18.38K
2020-03-19	David A R Dullum	President	Buy	+8,000	+$57.60K
2020-03-16	David A R Dullum	President	Buy	+5,000	+$44.95K
2020-03-16	Michael LiCalsi	General Counsel and Secretary	Buy	+1,000	+$8.73K
2020-03-13	David A R Dullum	President	Buy	+10,000	+$104.90K
2020-03-03	David A R Dullum	President	Buy	+3,300	+$39.14K
2019-09-16	David A R Dullum	President	Buy	+2,400	+$29.86K
2019-09-11	David Gladstone	CEO	Buy	+20,581	+$246.77K
2019-08-19	Terry Lee Brubaker	Chief Operating Officer	Sell	−21,501	−$247.70K
2019-08-15	Terry Lee Brubaker	Chief Operating Officer	Sell	−21,501	−$244.69K
2019-06-06	David A R Dullum	President	Buy	+2,000	+$22.20K
2018-12-12	David A R Dullum	President	Buy	+1,400	+$13.86K
2018-11-13	David A R Dullum	President	Buy	+5,600	+$55.66K
2018-11-09	Julia Ryan	Chief Financial Officer	Buy	+1,500	+$14.97K

GAINN Insider Trading FAQ

Who are the insiders at GAINN?

No current Form 4 beneficial owners are on file for GAINN.

Are GAINN insiders buying or selling?

Across the 18 most recent Form 4 filings for GAINN, 16 were open-market purchases (code P) and 2 were sales (code S). Sales frequently reflect scheduled 10b5-1 plans or tax withholding rather than a view on the stock.

How current is GAINN insider data?

Form 4 must be filed within two business days of the transaction, so this is close to real time. The most recent GAINN filing is dated 2020-03-24.

How to read Form 4 activity

Form 4 reports a change in beneficial ownership by an officer, director or 10%+ holder, and must be filed within two business days of the transaction — so this is close to real time, unlike the 45-day-lagged 13F institutional data.

Transaction codes matter more than the raw buy/sell count. Code P is an open-market purchase — an insider choosing to buy with their own money, which is the signal most research treats as informative. Code S is a sale, but sales are frequently pre-scheduled under a 10b5-1 plan or cover tax withholding on vesting equity, so a run of sales often says nothing directional. Codes A and M are grants and option exercises rather than open-market decisions.

Full filing history and per-insider positions are on the GAINN quote page; the site-wide leaderboard is on the insider transactions hub.