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

# GLADSTONE INVESTMENT CORPORATION\DE (NASDAQ: GAINZ) — 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 GAINZ, with ISIN US3765468836 and LEI 549300HFFTVIBC98Z362. Its security type is Corporate, its jurisdiction is United States, Delaware, and its 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 twelve months to 2026-11-08. The median gap between filing days is 7.5 days, and the median latency from the latest filing to the record date is 13 days. The NASDAQ exchange medians are 6.0 days for cadence and 5.0 days for latency across 4,359 issuers, and the NASDAQ median is 52 filings. Sector medians are not on the record. The latest filing is a directors_dealings filing dated 2026-10-26.

## Auditor

The auditor of record is not on the record, because the latest annual report cover carries no auditor name tag, and 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 and segment move are not on the record. The halt flag is listed, not halted.

## Orderability

The orderability outcome is not determinable, because the chapter carries no client categories to name. The rule version is acm-68000/us/reasonable-basis-suitability-finra-rule-2111/r1, and the chapter is 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 record holds sealed years 2021, 2022, 2023, 2024, 2025 and 2026 for the issuer. The market's earliest sealed date is 2021-01-04, and 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/GAINZ (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/GAINZ (the record)

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