{"schema":"rootz.ai/filing-signals/v1","query":{"ticker":"GAIN","limit":50},"count":50,"signals":[{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":44,"context":"ns under this Agreement, the Indenture and the Securities, except where the failure of the Company to be so qualified or in good standing or have such power or authority would not result in a Company Material Adverse Effect (defined below). Each of the Companys consolidated subsidiaries other than those entities which would not constitute a significant subsidiary within the meaning of Rule 1-02(w) of Regulation S-X (col","filed_date":"2026-02-11","accession":"0001193125-26-046552","full_text":"https://origin.rootz.global/static/filing/0001193125-26-046552.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":55,"context":"lification, except where the failure of the Company and the Subsidiaries to be so qualified or in good standing or have such power or authority would not (i) have, individually or in the aggregate, a material adverse effect on the earnings, business, properties, assets, rights, operations, condition (financial or otherwise) or prospects of the Company and the Subsidiaries, taken as a whole, or (ii) prevent the consummat","filed_date":"2025-06-03","accession":"0001193125-25-134147","full_text":"https://origin.rootz.global/static/filing/0001193125-25-134147.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":70,"context":"l. We may in the future have difficulty accessing debt and equity capital, and a severe disruption in U.S. or global financial markets or deterioration in credit and financing conditions could have a material adverse effect on our business, financial condition, results of operations, and cash flows. In addition, significant changes in the capital markets have had, and may in the future have, a negative effect on the val","filed_date":"2025-05-13","accession":"0001321741-25-000010","full_text":"https://origin.rootz.global/static/filing/0001321741-25-000010.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":12,"context":"stment in Nth Degree Investment Group, LLC (\"Nth Degree\"), which resulted in success fee income of $0.1 million, a realized gain on our preferred equity of $42.3 million and the repayment of our debt investment of $25.0 million at par. In November 2024, we invested $27.2 million in a new portfolio company, Pyrotek Special Effects, Inc. (\"Pyrotek\"), in the form of $20.1 million of secured first lien debt and $7.1 million of","filed_date":"2025-05-13","accession":"0001321741-25-000010","full_text":"https://origin.rootz.global/static/filing/0001321741-25-000010.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":44,"context":"ns under this Agreement, the Indenture and the Securities, except where the failure of the Company to be so qualified or in good standing or have such power or authority would not result in a Company Material Adverse Effect (defined below). Each of the Companys consolidated subsidiaries other than those entities which would not constitute a significant subsidiary within the meaning of Rule 1-02(w) of Regulation S-X (col","filed_date":"2024-12-12","accession":"0001193125-24-277058","full_text":"https://origin.rootz.global/static/filing/0001193125-24-277058.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":55,"context":"lification, except where the failure of the Company and the Subsidiaries to be so qualified or in good standing or have such power or authority would not (i) have, individually or in the aggregate, a material adverse effect on the earnings, business, properties, assets, rights, operations, condition (financial or otherwise) or prospects of the Company and the Subsidiaries, taken as a whole, or (ii) prevent the consummat","filed_date":"2024-05-14","accession":"0001193125-24-138399","full_text":"https://origin.rootz.global/static/filing/0001193125-24-138399.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":68,"context":"ssing debt and equity capital, and a severe disruption in U.S. or global financial markets or deterioration in credit and financing conditions, including as a result of rising inflation, could have a material adverse effect on our business, financial condition, results of operations, and cash flows. In addition, significant changes in the capital markets have had, and may in the future have, a negative effect on the val","filed_date":"2024-05-08","accession":"0001321741-24-000009","full_text":"https://origin.rootz.global/static/filing/0001321741-24-000009.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":11,"context":"al Adverse Change means, with respect to any Person, any material adverse change in the business, condition (financial or otherwise), operations, performance, properties or prospects of such Person.  Material Adverse Effect means with respect to any event or circumstance, a material adverse effect on (a) the business, condition (financial or otherwise), operations, performance, properties or prospects of the Servicer or","filed_date":"2024-02-06","accession":"0001193125-24-024265","full_text":"https://origin.rootz.global/static/filing/0001193125-24-024265.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":11,"context":"dverse Change means, with respect to any Person, any material adverse change in the business, condition (financial or otherwise), operations, performance, properties or prospects of such Person.  33  Material Adverse Effect means with respect to any event or circumstance, a material adverse effect on (a) the business, condition (financial or otherwise), operations, performance, properties or prospects of the Servicer or","filed_date":"2023-10-31","accession":"0001193125-23-267202","full_text":"https://origin.rootz.global/static/filing/0001193125-23-267202.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":55,"context":"lification, except where the failure of the Company and the Subsidiaries to be so qualified or in good standing or have such power or authority would not (i) have, individually or in the aggregate, a material adverse effect on the earnings, business, properties, assets, rights, operations, condition (financial or otherwise) or prospects of the Company and the Subsidiaries, taken as a whole, or (ii) prevent the consummat","filed_date":"2023-08-08","accession":"0001193125-23-205188","full_text":"https://origin.rootz.global/static/filing/0001193125-23-205188.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":44,"context":"ns under this Agreement, the Indenture and the Securities, except where the failure of the Company to be so qualified or in good standing or have such power or authority would not result in a Company Material Adverse Effect (defined below). Each of the Companys consolidated subsidiaries other than those entities which would not constitute a significant subsidiary within the meaning of Rule 1-02(w) of Regulation S-X (col","filed_date":"2023-05-24","accession":"0001193125-23-153046","full_text":"https://origin.rootz.global/static/filing/0001193125-23-153046.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":38,"context":"ssing debt and equity capital, and a severe disruption in U.S. or global financial markets or deterioration in credit and financing conditions, including as a result of rising inflation, could have a material adverse effect on our business, financial condition, results of operations, and cash flows. In addition, significant changes in the capital markets have had, and may in the future have, a negative effect on the val","filed_date":"2023-05-10","accession":"0001321741-23-000011","full_text":"https://origin.rootz.global/static/filing/0001321741-23-000011.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":55,"context":"lification, except where the failure of the Company and the Subsidiaries to be so qualified or in good standing or have such power or authority would not (i) have, individually or in the aggregate, a material adverse effect on the earnings, business, properties, assets, rights, operations, condition (financial or otherwise) or prospects of the Company and the Subsidiaries, taken as a whole, or (ii) prevent the consummat","filed_date":"2022-08-16","accession":"0001193125-22-221746","full_text":"https://origin.rootz.global/static/filing/0001193125-22-221746.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":39,"context":"ssing debt and equity capital, and a severe disruption in U.S. or global financial markets or deterioration in credit and financing conditions, including as a result of rising inflation, could have a material adverse effect on our business, financial condition, results of operations, and cash flows. In addition, significant changes in the capital markets have had, and may in the future have, a negative effect on the val","filed_date":"2022-05-11","accession":"0001321741-22-000012","full_text":"https://origin.rootz.global/static/filing/0001321741-22-000012.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":13,"context":"2022, the following significant transactions occurred In May 2021, we dissolved our investment in Channel Technologies Group, LLC (CTG) and recorded a realized loss of $1.8 million. In June 2021, we invested $10.0 million in a new portfolio company, Nocturne Villa Rentals, Inc. (Nocturne), through a combination of secured first lien debt and preferred equity. Nocturne, headquartered in Telluride, Colorado, is a luxury","filed_date":"2022-05-11","accession":"0001321741-22-000012","full_text":"https://origin.rootz.global/static/filing/0001321741-22-000012.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":12,"context":"ber31, 2021, the following significant transactions occurred In May 2021, we dissolved our investment in Channel Technologies Group, LLC and recorded a realized loss of $1.8 million. In June 2021, we invested $10.0 million in Nocturne Villa Rentals, Inc. (Nocturne) through a combination of secured first lien debt and preferred equity. Nocturne, headquartered in Telluride, Colorado, is a luxury vacation rental manager.","filed_date":"2022-02-08","accession":"0001321741-22-000004","full_text":"https://origin.rootz.global/static/filing/0001321741-22-000004.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":37,"context":"e difficulty accessing debt and equity capital, and a severe disruption in the global  22  [Table of Contents](#toc) financial markets or deterioration in credit and financing conditions could have a material adverse effect on our business, financial condition, results of operations, and cash flows. In addition, significant changes in the capital markets have had, and may in the future have, a negative effect on the val","filed_date":"2021-05-11","accession":"0001193125-21-157561","full_text":"https://origin.rootz.global/static/filing/0001193125-21-157561.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":11,"context":"al Adverse Change means, with respect to any Person, any material adverse change in the business, condition (financial or otherwise), operations, performance, properties or prospects of such Person.  Material Adverse Effect means with respect to any event or circumstance, a material adverse effect on (a) the business, condition (financial or otherwise), operations, performance, properties or prospects of the Servicer or","filed_date":"2021-03-08","accession":"0001193125-21-073180","full_text":"https://origin.rootz.global/static/filing/0001193125-21-073180.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":11,"context":"al Adverse Change means, with respect to any Person, any material adverse change in the business, condition (financial or otherwise), operations, performance, properties or prospects of such Person.  Material Adverse Effect means with respect to any event or circumstance, a material adverse effect on (a) the business, condition (financial or otherwise), operations, performance, properties or prospects of the Servicer or","filed_date":"2020-08-11","accession":"0001193125-20-216368","full_text":"https://origin.rootz.global/static/filing/0001193125-20-216368.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"ai_adoption","strength":100,"match_count":16,"context":"nce with the terms hereof and shall include the terms of particular series of Securities established as contemplated by Section 2.01.  2  **Interest Payment Date**, when used with respect to any installment of interest on a Security of a particular series, means the date specified in such Security or in a Board Resolution or in an indenture supplemental hereto with respect to such series as the fixed","filed_date":"2020-05-22","accession":"0001193125-20-150098","full_text":"https://origin.rootz.global/static/filing/0001193125-20-150098.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":52,"context":"lification, except where the failure of the Company and the Subsidiaries to be so qualified or in good standing or have such power or authority would not (i) have, individually or in the aggregate, a material adverse effect on the earnings, business, properties, assets, rights, operations, condition (financial or otherwise) or prospects of the Company and the Subsidiaries, taken as a whole, or (ii) prevent the consummat","filed_date":"2020-05-21","accession":"0001193125-20-148711","full_text":"https://origin.rootz.global/static/filing/0001193125-20-148711.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":35,"context":"tal. We could in the future have difficulty accessing debt and equity capital, and a severe disruption in the global financial markets or deterioration in credit and financing conditions could have a material adverse effect on our business, financial condition, results of operations, and cash flows. In addition, significant changes in the capital markets have had, and may in the future have, a negative effect on the val","filed_date":"2020-05-12","accession":"0001193125-20-140388","full_text":"https://origin.rootz.global/static/filing/0001193125-20-140388.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":16,"context":"led buyouts of Lower Middle Market companies in the U.S. During the year ended March 31, 2020, we exited six portfolio companies with a combined fair value prior to their exits of $125.7 million, and invested $79.1 million in three new portfolio companies and retained a common stock ownership in one of the exited portfolio companies, resulting in a net reduction of two companies in our portfolio, which was comprised of","filed_date":"2020-05-12","accession":"0001193125-20-140388","full_text":"https://origin.rootz.global/static/filing/0001193125-20-140388.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":14,"context":"our investment in Tread Corporation, which resulted in a realized loss of $2.7 million. In connection with the sale, we received net cash proceeds of $4.9 million, including the repayment of our debt investment of $3.2 million at par. | | |  |  |  |  In April 2019, we sold our investment in Jackrabbit Inc., which resulted in dividend income of $2.1 million and a realized gain of $3.2 million. In connection with the sale, w","filed_date":"2020-02-04","accession":"0001193125-20-024218","full_text":"https://origin.rootz.global/static/filing/0001193125-20-024218.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":51,"context":"lification, except where the failure of the Company and the Subsidiaries to be so qualified or in good standing or have such power or authority would not (i) have, individually or in the aggregate, a material adverse effect on the earnings, business, properties, assets, rights, operations, condition (financial or otherwise) or prospects of the Company and the Subsidiaries, taken as a whole, or (ii) prevent the consummat","filed_date":"2019-12-19","accession":"0001193125-19-319194","full_text":"https://origin.rootz.global/static/filing/0001193125-19-319194.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":12,"context":"our investment in Tread Corporation, which resulted in a realized loss of $2.7 million. In connection with the sale, we received net cash proceeds of $4.9 million, including the repayment of our debt investment of $3.2 million at par. | | |  |  |  |  In April 2019, we sold our investment in Jackrabbit Inc., which resulted in dividend income of $2.1 million and a realized gain of $3.2 million. In connection with the sale, w","filed_date":"2019-11-04","accession":"0001193125-19-283342","full_text":"https://origin.rootz.global/static/filing/0001193125-19-283342.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":33,"context":"pital. We may in the future have difficulty accessing debt and equity capital, and a severe disruption in the global financial markets or deterioration in credit and financing conditions could have a material adverse effect on our business, financial condition, results of operations, and cash flows. In addition, significant changes in the capital markets have had, and may in the future have, a negative effect on the val","filed_date":"2019-05-13","accession":"0001193125-19-145332","full_text":"https://origin.rootz.global/static/filing/0001193125-19-145332.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":20,"context":"ed buyouts of Lower Middle Market companies in the U.S. During the year ended March 31, 2019, we exited five portfolio companies with a combined fair value prior to their exits of $131.4 million, and invested $57.8 million in two new portfolio companies, resulting in a net reduction of three companies in our portfolio, which was comprised of 30 companies as of March 31, 2019. From our initial public offering in June 20","filed_date":"2019-05-13","accession":"0001193125-19-145332","full_text":"https://origin.rootz.global/static/filing/0001193125-19-145332.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":25,"context":"$ |  606,650 |  |  |  $ |  598,953 |  |  |  |  |  |  |  |  |  | | |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | | |  (A) |  Fair value as of December 31, 2018 includes one new proprietary debt investment of $20.0 million, which was valued at cost using the transaction price as the unobservable input, and one proprietary debt investment of $3.2 million, which was valued using the expected payoff amount as the unobserv","filed_date":"2019-02-05","accession":"0001193125-19-028274","full_text":"https://origin.rootz.global/static/filing/0001193125-19-028274.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":12,"context":"of March 31, 2018 includes two new proprietary debt investments for a combined $14.5 million, which were valued at cost using the transaction price as the unobservable input, and one proprietary debt investment of $10.0 million, which was valued at the expected payoff amount as the unobservable input. | | |  (B) |  Fair value as of March 31, 2018 includes one proprietary debt investment of $13.0 million, which was valued at","filed_date":"2018-11-05","accession":"0001193125-18-318357","full_text":"https://origin.rootz.global/static/filing/0001193125-18-318357.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":12,"context":"|  | | |  Total |  |  |  $628,606 |  |  |  |  $598,953 |  |  |  | | |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | | |  (A) |  Fair value as of June 30, 2018 includes one new proprietary debt investment of $23.0 million, which was valued at cost using the transaction price as the unobservable input. Fair value as of March 31, 2018 includes two new proprietary debt investments for a combined $14.5 million, which were","filed_date":"2018-08-01","accession":"0001193125-18-234910","full_text":"https://origin.rootz.global/static/filing/0001193125-18-234910.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":34,"context":"ore relationships than us. Furthermore, many of our competitors are not subject to the regulatory restrictions that the 1940 Act imposes on us as a BDC. The competitive pressures we face could have a material adverse effect on our business, financial condition and results of operations. Also, as a result of this competition, we may not be able to take advantage of attractive investment opportunities from time to time an","filed_date":"2018-05-15","accession":"0001193125-18-164066","full_text":"https://origin.rootz.global/static/filing/0001193125-18-164066.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":14,"context":"Middle Market companies in the U.S. For the fiscal year ended March 31, 2018, we exited two portfolio companies with fair values prior to their sales of $19.2 million and $3.4 million, respectively, invested $59.4 million in two new portfolio companies, and completed two separate mergers (in each case, one of our existing portfolio companies merged with another one of our portfolio companies), resulting in a net reduc","filed_date":"2018-05-15","accession":"0001193125-18-164066","full_text":"https://origin.rootz.global/static/filing/0001193125-18-164066.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":16,"context":"ch resulted in success fee income of $1.7 million and a realized gain of $1.0 million. In connection with the sale, we received net cash proceeds of $19.0 million, including the repayment of our debt investment of $13.6 million at par. | | |  |  |  |  In May and June 2017, we sold a portion of our common stock investment in AquaVenture resulting in net cash proceeds of $2.0 million, which represented a return of capital. In","filed_date":"2018-02-06","accession":"0001193125-18-033299","full_text":"https://origin.rootz.global/static/filing/0001193125-18-033299.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":22,"context":"ore relationships than us. Furthermore, many of our competitors are not subject to the regulatory restrictions that the 1940 Act imposes on us as a BDC. The competitive pressures we face could have a material adverse effect on our business, financial condition and results of operations. Also, as a result of this competition, we may not be able to take advantage of attractive investment opportunities from time to time an","filed_date":"2017-05-15","accession":"0001193125-17-170640","full_text":"https://origin.rootz.global/static/filing/0001193125-17-170640.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":11,"context":"overage ratio on our senior securities that are stock was 235.6%.  **Investment Highlights** For the fiscal year ended March 31, 2017, we received $78.8 million in proceeds from repayments and sales, invested $54.4 million in two new portfolio company, and extended $16.8 million of follow-on investments to existing portfolio companies through revolver draws, term loans, preferred equity, and common equity. From our ini","filed_date":"2017-05-15","accession":"0001193125-17-170640","full_text":"https://origin.rootz.global/static/filing/0001193125-17-170640.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":21,"context":"ore relationships than us. Furthermore, many of our competitors are not subject to the regulatory restrictions that the 1940 Act imposes on us as a BDC. The competitive pressures we face could have a material adverse effect on our business, financial condition and results of operations. Also, as a result of this competition, we may not be able to take advantage of attractive investment opportunities from time to time an","filed_date":"2016-05-17","accession":"0001193125-16-593211","full_text":"https://origin.rootz.global/static/filing/0001193125-16-593211.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":15,"context":"ecurities representing indebtedness was 483.8% and our asset coverage ratio on our senior securities that are stock was 221.4%.  **Investment Highlights** For the fiscal year ended March 31, 2016, we invested $69.4 million in new debt and equity investments and extended $6.5 million of investments to existing portfolio companies through revolver draws, additions to term notes, or equity investments. From our initial pu","filed_date":"2016-05-17","accession":"0001193125-16-593211","full_text":"https://origin.rootz.global/static/filing/0001193125-16-593211.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":10,"context":"ecember 31, 2014. | | 21  [Table of Contents](#toc) *Investment Activity* During the nine months ended December 31, 2015, the following significant transactions occurred:  |  |  |  |  In May 2015, we invested $16.3 million in Brunswick Bowling Products, Inc. (Brunswick) through a combination of secured first lien debt and equity. Brunswick, headquartered in Muskegon, Michigan, is a leader in the recreation industry and","filed_date":"2016-02-03","accession":"0001193125-16-449291","full_text":"https://origin.rootz.global/static/filing/0001193125-16-449291.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":21,"context":"ore relationships than us. Furthermore, many of our competitors are not subject to the regulatory restrictions that the 1940 Act imposes on us as a BDC. The competitive pressures we face could have a material adverse effect on our business, financial condition and results of operations. Also, as a result of this competition, we may not be able to take advantage of attractive investment opportunities from time to time an","filed_date":"2015-05-20","accession":"0001193125-15-195213","full_text":"https://origin.rootz.global/static/filing/0001193125-15-195213.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":10,"context":"hich purchased the building owned by another one of our portfolio companies, Tread Corporation (Tread). This building has subsequently been leased back to Tread. | | |  |  |  |  In September 2014, we invested $20.2 million in Cambridge Sound Management, Inc. (Cambridge) through a combination of secured debt and equity. Cambridge, based in Waltham, Massachusetts, is the developer of sound systems and solutions. | | |  |","filed_date":"2015-05-20","accession":"0001193125-15-195213","full_text":"https://origin.rootz.global/static/filing/0001193125-15-195213.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":11,"context":"al Adverse Change means, with respect to any Person, any material adverse change in the business, condition (financial or otherwise), operations, performance, properties or prospects of such Person.  Material Adverse Effect means with respect to any event or circumstance, a material adverse effect on (a) the business, condition (financial or otherwise), operations, performance, properties or prospects of the Servicer or","filed_date":"2014-06-30","accession":"0001193125-14-255752","full_text":"https://origin.rootz.global/static/filing/0001193125-14-255752.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":18,"context":"l structure or trading markets similar to ours.* **Risks Related to the Economy and Recent Legislation** *The failure of U.S. lawmakers to reach an agreement on the national debt ceiling could have a material adverse effect on our business, financial condition and results of operations.* In February 2014, the U.S. Congress passed legislation to increase the debt ceiling through March 2015. Congress will need to pass add","filed_date":"2014-05-13","accession":"0001193125-14-197317","full_text":"https://origin.rootz.global/static/filing/0001193125-14-197317.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":26,"context":"incipal repayments on investments and divestitures.  *Investment Activity* During the fiscal year ended March 31, 2014, the following significant transactions occurred:  |  |  |  |  In April 2013, we invested $17.7 million in Jackrabbit, Inc. (Jackrabbit) through a combination of debt and equity. Jackrabbit, headquartered in Ripon, California, is a manufacturer of nut harvesting equipment. | | |  |  |  |  In May 2013,","filed_date":"2014-05-13","accession":"0001193125-14-197317","full_text":"https://origin.rootz.global/static/filing/0001193125-14-197317.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":20,"context":"ember 30, 2012. | | 19  [Table of Contents](#toc) *Investment Activity* During the nine months ended December 31, 2013, the following significant transactions occurred:  |  |  |  |  In April 2013, we invested $17.7 million in Jackrabbit, Inc. (Jackrabbit) through a combination of debt and equity. Jackrabbit, headquartered in Ripon, California, is a manufacturer of nut harvesting equipment. | | |  |  |  |  In May 2013,","filed_date":"2014-02-04","accession":"0001193125-14-034973","full_text":"https://origin.rootz.global/static/filing/0001193125-14-034973.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":15,"context":"during the quarter ended September 30, 2012. | | *Investment Activity* During the six months ended September 30, 2013, the following significant transactions occurred:  |  |  |  |  In April 2013, we invested $17.7 million in Jackrabbit, Inc. (Jackrabbit) through a combination of debt and equity. Jackrabbit, headquartered in Ripon, California, is a manufacturer of nut harvesting equipment. | | |  |  |  |  In May 2013,","filed_date":"2013-11-06","accession":"0001193125-13-430182","full_text":"https://origin.rootz.global/static/filing/0001193125-13-430182.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":20,"context":"eral, could cause interest rates and borrowing costs to rise, which may negatively impact our ability to access the debt markets on favorable terms. Continued adverse economic conditions could have a material adverse effect on our business, financial condition and results of operations.  *We may experience fluctuations in our quarterly and annual results based on the impact of inflation in the United States.* The majori","filed_date":"2013-05-14","accession":"0001193125-13-219907","full_text":"https://origin.rootz.global/static/filing/0001193125-13-219907.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":100,"match_count":10,"context":"into 11 new proprietary debt and equity deals since October 2010. During the fiscal year ended March 31, 2013, we invested a total of $69.0 million in four new deals. Subsequent to March 31, 2013, we invested $17.7 million in Jackrabbit, Inc. (Jackrabbit), a manufacturer of nut harvesting equipment.  Each of these new investments, as well as the majority of our debt securities in our portfolio has a success fee compone","filed_date":"2013-05-14","accession":"0001193125-13-219907","full_text":"https://origin.rootz.global/static/filing/0001193125-13-219907.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":11,"context":"al Adverse Change means, with respect to any Person, any material adverse change in the business, condition (financial or otherwise), operations, performance, properties or prospects of such Person.  Material Adverse Effect means with respect to any event or circumstance, a material adverse effect on (a) the business, condition (financial or otherwise), operations, performance, properties or prospects of the Servicer or","filed_date":"2013-05-02","accession":"0001193125-13-196219","full_text":"https://origin.rootz.global/static/filing/0001193125-13-196219.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"GAIN","company":"GLADSTONE INVESTMENT CORPORATION\\DE","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":20,"context":"eral, could cause interest rates and borrowing costs to rise, which may negatively impact our ability to access the debt markets on favorable terms. Continued adverse economic conditions could have a material adverse effect on our business, financial condition and results of operations.  *We may experience fluctuations in our quarterly and annual results based on the impact of inflation in the United States.* The majori","filed_date":"2012-05-21","accession":"0001193125-12-241830","full_text":"https://origin.rootz.global/static/filing/0001193125-12-241830.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."}],"origin":{"leaf":"90f0c280667ff14b97352be638914e0b220b8bef9d912948806feddc34885ea1","formula":"v2: sha256( sha256(content) || parent || source_accession )","content_sha256":"cc59e4f27b58aac755a8cde280317a2df607b9fc6be62c631088343f4c77030f","parent":null,"source":"signal_search","chain":"sec.gov/EDGAR (retrieved over TLS, accession recorded) > origin.rootz.global extraction > this response","registry":"origin.rootz.global","verify":"Recompute it: sha256(sha256(<this response body minus the origin block>) || parent || source_accession). 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