GAINNasdaqFiscal year ends March 31Also trades as GAING, GAINI, GAINZ
GLADSTONE INVESTMENT CORPORATIONDE
Financials through Q4 FY2026, quarter ended Mar 31, 2026Last filing: 10-Q on Aug 6, 2026
$14.85−0.20 (-1.33%)
Close on Oct 19, 2026
- Market cap
- $591.36M
- P/E (TTM)
- –
- Dividend yield
- 10.10%
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
7M
Shares held, 13F filers
Institutional holders
94
17 new, 11 sold out
Net institutional buying
0M
In Q2 2026
Insider trades, 12 months
5 buys · 0 sales
Net bought $39.25K
Shares held by institutions
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of GAIN | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Van Eck Associates Corp | 804,098 | – | $12.43M | +212,170 | 0.01% |
| Melia Wealth LLC | 656,313 | – | $10.15M | −413,173 | 5.84% |
| UBS Group AG | 618,149 | – | $9.56M | −114,082 | 0.00% |
| Two Sigma Investments, LP | 584,106 | – | $9.03M | −220,157 | 0.01% |
| Cooper Creek Partners Management LLC | 576,289 | – | $8.91K | New | 0.21% |
| Morgan Stanley | 349,848 | – | $5.41M | +11,776 | 0.00% |
| Legal & General Group Plc | 337,067 | – | $5.21M | +36,369 | 0.00% |
| PFG Advisors | 236,628 | – | $3.66M | −78,702 | 0.18% |
| BlackRock, Inc. | 220,759 | – | $3.41M | +13,356 | 0.00% |
| Outfitter Financial LLC | 203,370 | – | $3.14M | −1,750 | 2.20% |
| LPL Financial LLC | 185,176 | – | $2.86M | −2,262 | 0.00% |
| Blair William & Co/Il | 143,679 | – | $2.22M | −2,075 | 0.01% |
| DAVENPORT & Co LLC | 142,530 | – | $2.20M | +2,668 | 0.01% |
| Tudor Investment Corp Et Al | 120,964 | – | $1.87M | −4,245 | 0.00% |
| Marshall Wace, Llp | 116,693 | – | $1.80M | New | 0.00% |
| Legacy Capital Wealth Partners, LLC | 113,833 | – | $1.76M | −5,235 | 0.34% |
| Advisors Asset Management, Inc. | 104,239 | – | $1.61M | −4,734 | 0.02% |
| Atlantic Union Bankshares Corp | 96,664 | – | $1.49M | −500 | 0.02% |
| Osaic Holdings, Inc. | 91,023 | – | $1.41M | −4,232 | 0.00% |
| Baird Financial Group, Inc. | 90,300 | – | $1.40M | – | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 94 | 7M | 17 / 23 | 29 / 11 | 1M | 1M |
| Q1 2026 | 90 | 7M | 15 / 29 | 26 / 15 | 1M | 1M |
| Q4 2025 | 92 | 7M | 17 / 29 | 27 / 12 | 1M | 1M |
| Q3 2025 | 87 | 6M | 16 / 30 | 22 / 12 | 1M | 1M |
| Q2 2025 | 84 | 6M | 12 / 36 | 19 / 14 | 1M | 0M |
| Q1 2025 | 86 | 5M | 11 / 30 | 26 / 9 | 1M | 0M |
| Q4 2024 | 85 | 5M | 17 / 24 | 27 / 11 | 1M | 1M |
| Q3 2024 | 81 | 5M | 14 / 23 | 28 / 15 | 0M | 1M |
| Q2 2024 | 85 | 5M | 15 / 27 | 27 / 9 | 1M | 1M |
| Q1 2024 | 81 | 5M | 7 / 27 | 32 / 18 | 1M | 1M |
| Q4 2023 | 92 | 4M | 25 / 32 | 19 / 8 | 1M | 1M |
| Q3 2023 | 75 | 4M | 11 / 25 | 24 / 13 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of GAIN | Value | % of fund | As of |
|---|---|---|---|---|---|
| VanEck BDC Income ETF | 805,308 | – | $12.45M | 0.76% | Jun 30, 2026 |
| OneAscent Enhanced Small and Mid Cap ETF | 73,442 | – | $1.16M | 1.38% | May 31, 2026 |
| Invesco Global Listed Private Equity ETF | 72,317 | – | $1.17M | 0.50% | Jul 31, 2026 |
| Virtus Private Credit Strategy ETF | 22,223 | – | $358.90K | 1.18% | Jul 31, 2026 |
| FT Confluence BDC & Specialty Finance Income ETF | 22,000 | – | $347.60K | 1.01% | May 31, 2026 |
| Fundamentals First ETF | 2,446 | – | $37.82K | 0.55% | Jun 30, 2026 |
| Blackstone Alternative Multi-Strategy Fund | 400 | – | $6.18K | 0.00% | Jun 30, 2026 |
| WHITEWOLF Publicly Listed Private Equity ETF | 319 | – | $5.15K | 0.07% | Jul 31, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Taylor Ritchie | Chief Financial Officer | 4,353 | Aug 19, 2026 |
| Erika P. Highland | Executive Vice President | – | Apr 7, 2026 |
| Christopher James Lee | Executive Vice President | – | Apr 7, 2026 |
| John Sateri | Chief Investment Officer | – | Mar 30, 2026 |
| Erich Michael Hellmold | Co-General Counsel | – | Jul 18, 2025 |
| George Stelljes Iii | Director | 20,995 | Jun 5, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Taylor Ritchie Chief Financial Officer | Aug 18, 2026 | Buy | +1,500 | $16.20 | $24.30K | 4,353 |
| Taylor Ritchie Chief Financial Officer | May 19, 2026 | Buy | +160 | $16.15 | $2.58K | 2,657 |
| Taylor Ritchie Chief Financial Officer | May 19, 2026 | Buy | +155 | $16.10 | $2.50K | 2,812 |
| Taylor Ritchie Chief Financial Officer | May 18, 2026 | Buy | +150 | $16.29 | $2.44K | 2,497 |
| Taylor Ritchie Chief Financial Officer | May 15, 2026 | Buy | +450 | $16.50 | $7.43K | 2,347 |
| David A. R. Dullum President | Oct 10, 2024 | Gift | −3,000 | – | – | 0 |
| Rachael Z. Easton CFO and Treasurer | Nov 6, 2023 | Buy | +650 | $14.67 | $9.54K | 1,400 |
| David A. R. Dullum President | Aug 7, 2023 | Buy | +5,000 | $13.39 | $66.95K | 149,916 |
| Rachael Z. Easton CFO and Treasurer | Mar 16, 2023 | Buy | +375 | $13.12 | $4.92K | 750 |
| David A. R. Dullum President | Mar 14, 2023 | Buy | +3,000 | $12.84 | $38.52K | 144,916 |
| Walter H. Wilkinson Director | Feb 6, 2023 | Buy | +3,661 | $13.96 | $51.11K | 26,154 |
| David A. R. Dullum President | Dec 16, 2022 | Buy | +3,000 | $13.06 | $39.18K | 141,916 |
| Jennifer A. Smith Chief Valuation Officer | Aug 19, 2022 | Buy | +100 | $15.61 | $1.56K | 100 |
| David A. R. Dullum President | Jun 14, 2022 | Buy | +4,000 | $12.75 | $51.00K | 138,916 |
| Rachael Z. Easton CFO and Treasurer | May 20, 2022 | Buy | +175 | $14.52 | $2.54K | 375 |
| David A. R. Dullum President | Feb 24, 2022 | Buy | +3,000 | $14.46 | $43.38K | 132,416 |
| David A. R. Dullum President | Feb 24, 2022 | Buy | +2,500 | $14.69 | $36.73K | 134,916 |
| Rachael Z. Easton CFO and Treasurer | Feb 23, 2022 | Buy | +200 | $14.93 | $2.99K | 200 |
| David A. R. Dullum President | Dec 3, 2021 | Buy | +3,000 | $16.54 | $49.62K | 129,416 |
| Terry Lee Brubaker Chief Operating Officer, Director | Mar 23, 2020 | Buy | +2,500 | $6.83 | $17.08K | 16,233 |
| David A. R. Dullum President | Mar 23, 2020 | Buy | +2,500 | $6.80 | $17.00K | 126,416 |
| Julia Ryan Chief Financial Officer | Mar 20, 2020 | Buy | +2,500 | $8.18 | $20.45K | 4,000 |
| Terry Lee Brubaker Chief Operating Officer, Director | Mar 19, 2020 | Buy | +2,500 | $6.73 | $16.83K | 13,733 |
| Terry Lee Brubaker Chief Operating Officer, Director | Mar 18, 2020 | Buy | +2,500 | $7.35 | $18.38K | 11,233 |
| David A. R. Dullum President | Mar 18, 2020 | Buy | +8,000 | $7.20 | $57.60K | 123,916 |
| Michael LiCalsi General Counsel and Secretary | Mar 16, 2020 | Buy | +1,000 | $8.73 | $8.73K | 9,144 |
| David A. R. Dullum President | Mar 12, 2020 | Buy | +5,000 | $8.99 | $44.95K | 115,916 |
| David A. R. Dullum President | Mar 11, 2020 | Buy | +10,000 | $10.49 | $104.90K | 110,916 |
| David A. R. Dullum President | Mar 2, 2020 | Buy | +3,300 | $11.86 | $39.14K | 100,916 |
| David A. R. Dullum President | Sep 13, 2019 | Buy | +2,400 | $12.44 | $29.86K | 97,616 |
| David Gladstone CEO, Director | Sep 9, 2019 | Buy | +20,581 | $11.99 | $246.77K | 666,554 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 16, 2019 | Sale | −21,501.73 | $11.52 | $247.70K | 8,733 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 14, 2019 | Sale | −21,501.73 | $11.38 | $244.69K | 30,235 |
| David A. R. Dullum President | Jun 4, 2019 | Buy | +2,000 | $11.10 | $22.20K | 95,216 |
| David A. R. Dullum President | Dec 12, 2018 | Buy | +1,400 | $9.90 | $13.86K | 93,216 |
| David A. R. Dullum President | Nov 8, 2018 | Buy | +5,600 | $9.94 | $55.66K | 91,816 |
| Julia Ryan Chief Financial Officer | Nov 8, 2018 | Buy | +1,500 | $9.98 | $14.97K | 1,500 |
| David A. R. Dullum President | Mar 5, 2018 | Buy | +5,000 | $9.56 | $47.80K | 86,216 |
| Walter H. Wilkinson Director | Nov 28, 2017 | Buy | +5,730 | $10.84 | $62.11K | 14,416 |
| David Gladstone CEO, Director | Jun 14, 2017 | Buy | +4,000 | $9.26 | $37.04K | 625,973 |
| David Gladstone CEO, Director | Jun 14, 2017 | Buy | +20,000 | $9.25 | $185.00K | 645,973 |
| David Gladstone CEO, Director | Mar 13, 2017 | Buy | +5,000 | $8.70 | $43.50K | 621,973 |
| David A. R. Dullum President | Mar 13, 2017 | Buy | +5,000 | $8.77 | $43.85K | 81,216 |
| David A. R. Dullum President | Mar 9, 2017 | Buy | +3,100 | $8.49 | $26.32K | 75,316 |
| David A. R. Dullum President | Mar 9, 2017 | Buy | +900 | $8.50 | $7.65K | 76,216 |
| Terry Lee Brubaker Chief Operating Officer, Director | Mar 6, 2017 | Sale | −104,936.09 | $9.18 | $963.31K | 43,711 |
| Terry Lee Brubaker Chief Operating Officer, Director | Mar 6, 2017 | Sale | −104,936.09 | $9.18 | $963.31K | 34,979 |
| Terry Lee Brubaker Chief Operating Officer, Director | Mar 3, 2017 | Sale | −59,963.48 | $9.20 | $551.66K | 139,915 |
| David A. R. Dullum President | Nov 7, 2016 | Buy | +4,000 | $7.65 | $30.60K | 73,565 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 16, 2016 | Sale | −15,317 | $8.78 | $134.48K | 198,864 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 15, 2016 | Sale | −4,380 | $8.74 | $38.28K | 0 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 15, 2016 | Sale | −18,417 | $8.73 | $160.78K | 214,181 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 12, 2016 | Sale | −5,400 | $8.67 | $46.82K | 4,381 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 12, 2016 | Sale | −5,400 | $8.67 | $46.82K | 232,598 |
| Terry Lee Brubaker Chief Operating Officer, Director | Aug 12, 2016 | Sale | −500 | $8.66 | $4.33K | 9,781 |
| David A. R. Dullum President | Feb 8, 2016 | Buy | +5,000 | $6.69 | $33.45K | 69,565 |
| David Gladstone CEO, Director | Dec 14, 2015 | Buy | +90,000 | $7.53 | $677.70K | 616,973 |
| David Gladstone Chief Executive Officer, Director | Jun 15, 2015 | Buy | +1,095 | $7.90 | $8.65K | 369,568 |
| David Gladstone Chief Executive Officer, Director | Jun 15, 2015 | Buy | +5,026 | $7.87 | $39.55K | 374,594 |
| David Gladstone Chief Executive Officer, Director | Jun 15, 2015 | Buy | +32,142 | $7.86 | $252.64K | 406,736 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.