GLADSTONE INVESTMENT CORPORATION\DE (GAINI) — research page
US · us-cm-kg/NASDAQ/GAINI · as of 2026-11-08
Identity and listing
The issuer is GLADSTONE INVESTMENT CORPORATION\DE, listed on NASDAQ under ticker GAINI, ISIN US3765468679, LEI 549300HFFTVIBC98Z362. Its security type is Corporate and its jurisdiction is United States, Delaware. Segment and sector are not on the record. Its listing status is listed, not halted.
| field | value | source · read date |
|---|---|---|
| name | GLADSTONE INVESTMENT CORPORATION\DE | source · 2026-11-08 |
| exchange | NASDAQ | source · 2026-11-08 |
| ticker | GAINI | source · 2026-11-08 |
| ISIN | US3765468679 | source · 2026-10-14 |
| LEI | 549300HFFTVIBC98Z362 | source · 2026-11-08 |
| security type | Corporate | source · 2026-11-08 |
| segment | not on the record | |
| sector | not on the record | |
| jurisdiction | United States — Delaware | source · 2026-11-08 |
| status | listed, not halted | source · 2026-11-08 |
The disclosure read
The record holds 41 filings across 27 filing days in the window 2025-11-08 to 2026-11-08. The median gap between filing days is 7.5 days. The latest filing is dated 2026-10-26, a directors_dealings filing, 13 days before the record date of 2026-11-08. The NASDAQ peer medians are 52 filings, a 6.0-day cadence gap and 5.0 days of latency across 4,359 issuers. Sector peer medians are not on the record.
| filings | median gap between filing days | days from latest filing to as-of | |
|---|---|---|---|
| this issuer | 41 | 7.5 | 13 |
| exchange median: NASDAQ (4359 issuers) | 52 | 6 | 5 |
| date | type | category | filing |
|---|---|---|---|
| 2026-10-26 | directors_dealings | 4 | 4 — STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES |
| 2026-10-26 | director_change | 8-K | 8-K — 8-K (items 5.02) |
| 2026-10-01 | director_change | 8-K | 8-K — 8-K (items 5.02) |
| 2026-09-04 | agm_egm | 8-K | 8-K — 8-K (items 5.07) |
| 2026-08-19 | directors_dealings | 4 | 4 — STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES |
window 2025-11-08 to 2026-11-08 · the node's disclosure lines, as get_filings serves them
Auditor
The auditor of record is not on the record, because the latest annual report cover carries no auditor name tag. The auditor's location is not on the record. The record holds no auditor changes.
Events and halts
The record holds two delisting lines, dated 2025-12-15 and 2026-05-04, and two listing lines, both dated 2026-02-18. It holds no name change. Domicile change is not on the record, as EDGAR states no dated change of state of incorporation. Segment move is not on the record, as tier transfers are not EDGAR filings. The halt flag reads listed, not halted.
Orderability
The outcome is not determinable, because the chapter's orderability section carries no client categories to name. The rule version is acm-68000/us/reasonable-basis-suitability-finra-rule-2111/r1, with the chapter as of 2026-11-04.
rule acm-68000/us/reasonable-basis-suitability-finra-rule-2111/r1 · chapter as of 2026-11-04 · the full outcome: get_orderability
Coverage
The issuer's investor-relations page names 5 research houses: B. Riley Securities, Clear Street, Ladenburg Thalmann, Lucid Capital Markets and Oppenheimer & Co. Inc.
| research house | analyst | source · read date |
|---|---|---|
| B. Riley Securities | Sean Paul Adams | issuer page · 2026-11-11 |
| Clear Street | Mickey Schleien | issuer page · 2026-11-11 |
| Ladenburg Thalmann | Christopher Nolan | issuer page · 2026-11-11 |
| Lucid Capital Markets | Erik Zwick | issuer page · 2026-11-11 |
| Oppenheimer & Co. Inc. | Mitchel Penn | issuer page · 2026-11-11 |
Open research
No openly published research notes were found on the record.
Licensed
Licensed research: none loaded. A licensed row is served only to an agent whose firm holds that licence (licensor, entitlement). No licensed row is loaded.
| licensor | entitlement | title | date | source |
|---|---|---|---|---|
| none loaded |
As-of depth
The vintage is sealed. The issuer's sealed years are 2021 through 2026. The market's earliest sealed date is 2021-01-04. The live record began on 2026-09-12.
Sources
9 source pages are named on this page; every value above carries its own source page and read date in the numbers.
- 10.1
- https://www.sec.gov/files/company_tickers_exchange.json (identity.exchange)
- 10.2
- https://www.sec.gov/data-research/sec-markets-data/fails-deliver-data (identity.isin)
- 10.3
- https://data.sec.gov/submissions/CIK0001321741.json (identity.jurisdiction)
- 10.4
- https://mapping.gleif.org/api/v2/isin-lei/latest/download (identity.lei)
- 10.5
- https://mcp.us-cm-kg.ai/events/NASDAQ/GAINI (the disclosure lines)
- 10.6
- https://www.nasdaqtrader.com/rss.aspx?feed=tradehalts (the halt flag)
- 10.7
- https://mcp.us-cm-kg.ai/book/aio.json (the orderability chapter)
- 10.8
- https://www.gladstoneinvestment.com/investors/stock-data/analyst-coverage (coverage)
- 10.9
- https://mcp.us-cm-kg.ai/record/NASDAQ/GAINI (the record)
Read it by agent
The same page, signed and receipted: get_research at https://mcp.getresearch.ai/mcp with {"isin":"US3765468679"}. Twins: .md · .json. Written: Claude through the platform account, Haiku class; one pass; checked against the numbers. Page hash sha256:4d915f1ef3b1cba9.