The page is the record's research on the issuer — no analyst, no rating, no view.

# GLADSTONE INVESTMENT CORPORATION\DE (NASDAQ: GAINI) — research page

As of 2026-11-08 · us-cm-kg · record version 1

## 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.

## 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.

## 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.

## 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.

## 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.

## 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.

- https://www.sec.gov/files/company_tickers_exchange.json (identity.exchange)
- https://www.sec.gov/data-research/sec-markets-data/fails-deliver-data (identity.isin)
- https://data.sec.gov/submissions/CIK0001321741.json (identity.jurisdiction)
- https://mapping.gleif.org/api/v2/isin-lei/latest/download (identity.lei)
- https://mcp.us-cm-kg.ai/events/NASDAQ/GAINI (the disclosure lines)
- https://www.nasdaqtrader.com/rss.aspx?feed=tradehalts (the halt flag)
- https://mcp.us-cm-kg.ai/book/aio.json (the orderability chapter)
- https://www.gladstoneinvestment.com/investors/stock-data/analyst-coverage (coverage)
- https://mcp.us-cm-kg.ai/record/NASDAQ/GAINI (the record)

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