Gladstone Investment Corporation\de Sample Contracts

Gladstone Investment Corporation\de – CERTIFICATE OF ELIMINATION OF 6.75% SERIES B CUMULATIVE TERM PREFERRED STOCK OF GLADSTONE INVESTMENT CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware (October 19th, 2018)

Gladstone Investment Corporation (the “Corporation”), a corporation organized and existing under the laws of the State of Delaware, certifies as follows:

Gladstone Investment Corporation\de – CERTIFICATE OF ELIMINATION OF 6.50% SERIES C CUMULATIVE TERM PREFERRED STOCK OF GLADSTONE INVESTMENT CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware (October 19th, 2018)

Gladstone Investment Corporation (the “Corporation”), a corporation organized and existing under the laws of the State of Delaware, certifies as follows:

Gladstone Investment Corporation\de – Gladstone Investment Corporation Announces Amendment to Credit Facility: Increased Facility Size, Extended Maturity, Improved Pricing, and Asset Coverage Update (August 23rd, 2018)

McLean, VA, August 23, 2018: Gladstone Investment Corporation (NASDAQ: GAIN) (the “Company”) today announced the amendment and extension of its credit facility led by KeyBank National Association (“KeyBank”), which includes an increase in facility size, extension of the maturity date, and reduction in pricing.

Gladstone Investment Corporation\de – AMENDMENT NO. 4 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (August 23rd, 2018)
Gladstone Investment Corporation\de – CERTIFICATE OF DESIGNATION OF 6.375% SERIES E CUMULATIVE TERM PREFERRED STOCK DUE 2025 OF GLADSTONE INVESTMENT CORPORATION Pursuant to Section 151 of the General Corporation Law of the State of Delaware (August 16th, 2018)

Gladstone Investment Corporation, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), certifies that pursuant to the authority contained in its amended and restated certificate of incorporation, as amended from time to time (the “Certificate of Incorporation”), and in accordance with the provisions of Section 151 of the General Corporation Law of the State of Delaware (“DGCL”), the Board of Directors has duly approved and adopted the following resolutions on August 14, 2018:

Gladstone Investment Corporation\de – GLADSTONE INVESTMENT CORPORATION Shares of Preferred Stock UNDERWRITING AGREEMENT (August 16th, 2018)
Gladstone Investment Corporation\de – CERTIFICATE OF ELIMINATION OF 7.125% SERIES A CUMULATIVE TERM PREFERRED STOCK OF GLADSTONE INVESTMENT CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware (January 11th, 2017)

Gladstone Investment Corporation (the “Corporation”), a corporation organized and existing under the laws of the State of Delaware, certifies as follows:

Gladstone Investment Corporation\de – AMENDMENT NO. 2 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (November 17th, 2016)
Gladstone Investment Corporation\de – Gladstone Investment Corporation Announces Amendment to its Credit Facility (November 17th, 2016)

MCLEAN, VA, November 17, 2016 — Gladstone Investment Corporation (NASDAQ: GAIN; the “Company”) announced today that on November 16, 2016, the Company, through its wholly-owned subsidiary, Gladstone Business Investment, LLC, entered into Amendment No. 2 to its Fifth Amended and Restated Credit Agreement (the “Credit Facility”) with Keybank National Association, Alostar Bank of Commerce, Manufacturers and Traders Trust, East West Bank, Chemical Bank (as successor in interest to Talmer Bank and Trust), and Customers Bank. The amendment follows the successful issuance of $57.5 million of 6.25% Series D Cumulative Term Preferred Stock, due 2023, in September 2016, the proceeds of which significantly exceeded the redemption payment of $40.0 million made on September 30, 2016 for the Company’s 7.125% Series A Cumulative Term Preferred Stock, due 2017. The Company’s availability under its previous revolving line of credit was approximately $80 million prior to the amendment and approximately $

Gladstone Investment Corporation\de – JOINDER AGREEMENT (September 22nd, 2014)

Reference is made to that certain Fifth Amended and Restated Credit Agreement dated as of April 30, 2013 by and among Gladstone Business Investment, LLC, Gladstone Management Corporation, as Servicer, the Lenders and Managing Agents parties thereto from time to time, and Key Equipment Finance, a division of KeyBank National Association, as Administrative Agent (as amended, modified or restated from time to time, the “Credit Agreement”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Credit Agreement.

Gladstone Investment Corporation\de – JOINDER AGREEMENT (September 22nd, 2014)

Reference is made to that certain Fifth Amended and Restated Credit Agreement dated as of April 30, 2013 by and among Gladstone Business Investment, LLC, Gladstone Management Corporation, as Servicer, the Lenders and Managing Agents parties thereto from time to time, and Key Equipment Finance, a division of KeyBank National Association, as Administrative Agent (as amended, modified or restated from time to time, the “Credit Agreement”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Credit Agreement.

Gladstone Investment Corporation\de – JOINDER AGREEMENT (September 22nd, 2014)

Reference is made to that certain Fifth Amended and Restated Credit Agreement dated as of April 30, 2013 by and among Gladstone Business Investment, LLC, Gladstone Management Corporation, as Servicer, the Lenders and Managing Agents parties thereto from time to time, and Key Equipment Finance, a division of KeyBank National Association, as Administrative Agent (as amended, modified or restated from time to time, the “Credit Agreement”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Credit Agreement.

Gladstone Investment Corporation\de – JOINDER AGREEMENT (September 22nd, 2014)

Reference is made to that certain Fifth Amended and Restated Credit Agreement dated as of April 30, 2013 by and among Gladstone Business Investment, LLC, Gladstone Management Corporation, as Servicer, the Lenders and Managing Agents parties thereto from time to time, and Key Equipment Finance, a division of KeyBank National Association, as Administrative Agent (as amended, modified or restated from time to time, the “Credit Agreement”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Credit Agreement.

Gladstone Investment Corporation\de – AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED CREDIT AGREEMENT (June 30th, 2014)
Gladstone Investment Corporation\de – Gladstone Investment Corporation Announces Amendment to its Credit Facility (June 30th, 2014)

MCLEAN, VA, June 30, 2014 /PRNewswire/ — Gladstone Investment Corporation (NASDAQ: GAIN) announced today that on June 26, 2014, through one of its wholly-owned subsidiaries, Gladstone Business Investment, LLC, it entered into Amendment No. 1 to its Fifth Amended and Restated Credit Agreement (the “Credit Facility”) with Key Equipment Finance, a division of Keybank National Association, Branch Banking and Trust Company, Everbank Commercial Finance, Inc. and Alostar Bank of Commerce.

Gladstone Investment Corporation\de – JOINDER AGREEMENT (June 17th, 2013)

Reference is made to the that certain Fifth Amended and Restated Credit Agreement dated as of April 30, 2013 by and among Gladstone Business Investment, LLC, Gladstone Management Corporation, as Servicer, the Lenders and Managing Agents parties thereto from time to time, and Key Equipment Finance Inc., as Administrative Agent, (as amended, modified or restated from time to time, the “Credit Agreement”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Credit Agreement.

Gladstone Investment Corporation\de – JOINDER AGREEMENT (June 17th, 2013)

Reference is made to the that certain Fifth Amended and Restated Credit Agreement dated as of April 30, 2013 by and among Gladstone Business Investment, LLC, Gladstone Management Corporation, as Servicer, the Lenders and Managing Agents parties thereto from time to time, and Key Equipment Finance Inc., as Administrative Agent, (as amended, modified or restated from time to time, the “Credit Agreement”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Credit Agreement.

Gladstone Investment Corporation\de – FIFTH AMENDED AND RESTATED CREDIT AGREEMENT Dated as of April 30, 2013 Among GLADSTONE BUSINESS INVESTMENT, LLC as the Borrower GLADSTONE MANAGEMENT CORPORATION as the Servicer THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Lenders THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Managing Agents KEY EQUIPMENT FINANCE, INC. as the Administrative Agent and KEY EQUIPMENT FINANCE, INC. as Lead Arranger (May 2nd, 2013)
Gladstone Investment Corporation\de – AMENDMENT NO. 1 TO GLADSTONE BUSINESS INVESTMENT, LLC CREDIT AGREEMENT (October 9th, 2012)

THIS AMENDMENT NO. 1 to Gladstone Business Investment, LLC Credit Agreement (this “Agreement”), dated as of October 5, 2012, is made among Gladstone Business Investment, LLC, a Delaware limited liability company (the “Borrower”), Gladstone Management Corporation, a Delaware corporation (the “Servicer”), Branch Banking and Trust Company, as administrative agent (the “Administrative Agent”), and the Lenders party to the Credit Agreement (defined below) and is being executed and delivered pursuant to that certain Fourth Amended and Restated Credit Agreement, dated as of October 26, 2011 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among the Borrower, the Servicer, the Administrative Agent, the Lenders and the other parties thereto. Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Credit Agreement.

Gladstone Investment Corporation\de – FOURTH AMENDED AND RESTATED CREDIT AGREEMENT Dated as of October 26, 2011 Among GLADSTONE BUSINESS INVESTMENT, LLC as the Borrower GLADSTONE MANAGEMENT CORPORATION as the Servicer THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Lenders THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Managing Agents BRANCH BANKING AND TRUST COMPANY as the Administrative Agent and BRANCH BANKING AND TRUST COMPANY and KEY EQUIPMENT FINANCE, INC. as Joint Lead Arrangers (October 27th, 2011)
Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Quarter Ended September 30, 2010 - Net Investment Income for the three and six months ended September 30, 2010 was $2.4 million and $6.6 million, or $0.11 and $0.30 per share, respectively. - Net Decrease in Net Assets Resulting From Operations for the three and six months ended September 30, 2010 was $6.9 million and $1.5 million, or $0.31 and $0.07 per share, respectively. (November 3rd, 2010)

MCLEAN, Va., Nov. 2, 2010 /PRNewswire-FirstCall/ -- Gladstone Investment Corporation (Nasdaq: GAIN) (the "Company") today announced earnings for the second quarter ended September 30, 2010.  All per share references are per basic and diluted weighted average common share outstanding, unless noted otherwise.

Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Quarter Ended September 30, 2010 - Net Investment Income for the three and six months ended September 30, 2010 was $2.4 million and $6.6 million, or $0.11 and $0.30 per share, respectively. - Net Decrease in Net Assets Resulting From Operations for the three and six months ended September 30, 2010 was $6.9 million and $1.5 million, or $0.31 and $0.07 per share, respectively. (November 2nd, 2010)

MCLEAN, Va., Nov. 2, 2010 /PRNewswire-FirstCall/ -- Gladstone Investment Corporation (Nasdaq: GAIN) (the "Company") today announced earnings for the second quarter ended September 30, 2010.  All per share references are per basic and diluted weighted average common share outstanding, unless noted otherwise.

Gladstone Investment Corporation\de – Shareholders Approve All Proxy Proposals at Gladstone Investment Corporation's Annual Meeting of Stockholders (August 6th, 2010)

MCLEAN, Va., Aug. 5, 2010 (GLOBE NEWSWIRE) -- Gladstone Investment Corporation (Nasdaq:GAIN) (the "Company") announced today that its stockholders voted in favor of all proxy proposals set forth in the proxy statement and discussed at the Company's Annual Meeting of Stockholders, held at the Hilton McLean Tysons Corner in McLean, Virginia on August 5, 2010 (the "Annual Meeting").

Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Quarter Ended June 30, 2010 (August 2nd, 2010)

Net Investment Income for the quarter ended June 30, 2010 was $4.2 million, or $0.19 per common share. Net Increase in Net Assets Resulting From Operations for the quarter ended June 30, 2010 was $5.4 million, or $0.24 per common share.

Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Quarter and Fiscal Year Ended March 31, 2010 (May 25th, 2010)

Net Investment Income for the quarter and fiscal year ended March 31, 2010 was $2.7 million, or $0.12 per common share, and $10.6 million, or $0.48 per common share, respectively. Net Increase (Decrease) in Net Assets Resulting From Operations for the quarter and fiscal year ended March 31, 2010 was $20.6 million, or $0.93 per common share, and ($11.1) million, or ($0.50) per common share, respectively.

Gladstone Investment Corporation\de – THIRD AMENDED AND RESTATED CREDIT AGREEMENT Dated as of April 13, 2010 Among GLADSTONE BUSINESS INVESTMENT, LLC as the Borrower GLADSTONE MANAGEMENT CORPORATION as the Servicer THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Lenders THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Managing Agents and BRANCH BANKING AND TRUST COMPANY as the Administrative Agent (April 15th, 2010)
Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Third Quarter Ended December 31, 2009 (February 9th, 2010)

Net Investment Income was $3.1 million, or $0.14 per common share Net Decrease in Net Assets Resulting from Operations was $4.4 million, or $0.20 per common share

Gladstone Investment Corporation\de – SECOND AMENDED AND RESTATED CREDIT AGREEMENT Dated as of April 14, 2009 Among GLADSTONE BUSINESS INVESTMENT, LLC as the Borrower GLADSTONE MANAGEMENT CORPORATION as the Servicer THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Committed Lenders THE COMMERCIAL PAPER LENDERS FROM TIME TO TIME PARTY HERETO as CP Lenders THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Managing Agents and BRANCH BANKING AND TRUST COMPANY as the Administrative Agent (April 14th, 2009)
Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Third Quarter Ended December 31, 2008 (February 2nd, 2009)

Net Investment Income was $3.6 million or $0.16 per common share Net Decrease in Net Assets Resulting from Operations was ($3.9) million or ($0.18) per common share

Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Second Quarter Ended September 30, 2008 (November 4th, 2008)

Net Investment Income was $3.8 million or $0.17 per common share Net Increase in Net Assets Resulting from Operations was $1.0 million or $0.04 per common share

Gladstone Investment Corporation\de – Gladstone Investment Announces Renewal on Line of Credit (October 17th, 2008)

MCLEAN, Va.--(BUSINESS WIRE)--October 16, 2008--Gladstone Investment Corp. (NASDAQ:GAIN) (the “Company”) announced today that the Company has renewed its credit facility agreement arranged by Deutsche Bank, A.G. as administrative agent through its subsidiary Gladstone Business Investment LLC. The facility will mature on April 16, 2009 and provides Gladstone Investment with a revolving credit facility to make loans and investments in small and middle market businesses. Deutsche Bank is providing $125 million of credit and the Company is working with other lenders to increase the facility to $200 million. Advances under the credit facility will generally bear interest at the commercial paper rate plus 3.5% per annum, with a commitment fee of 0.75% per annum on the undrawn amounts. There was no fee in connection with this renewal.

Gladstone Investment Corporation\de – $125,000,000 AMENDED AND RESTATED CREDIT AGREEMENT Dated as of October 16, 2008 Among GLADSTONE BUSINESS INVESTMENT, LLC as the Borrower GLADSTONE MANAGEMENT CORPORATION as the Servicer THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Committed Lenders THE COMMERCIAL PAPER LENDERS FROM TIME TO TIME PARTY HERETO as CP Lenders THE FINANCIAL INSTITUTIONS FROM TIME TO TIME PARTY HERETO as Managing Agents and DEUTSCHE BANK AG, NEW YORK BRANCH as the Administrative Agent (October 17th, 2008)
Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Quarter Ended June 30, 2008 (August 6th, 2008)

Net Investment Income was $3.1 million or $0.15 per common share Net Decrease in Net Assets Resulting from Operations was $4.5 million or $0.22 per common share

Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Fiscal Year and Quarter Ended March 31, 2008 (May 22nd, 2008)

Net Investment Income for the year ended March 31, 2008 was $13.1 million, or $0.79 per common share and for the quarter ended March 31, 2008 was $3.4 million, or $0.21 per common share Net Decrease in Net Assets Resulting From Operations for the year was $0.9 million, or $0.06 per common share and for the quarter ended March 31, 2008 was $10.0 million, or $0.60 per common share

Gladstone Investment Corporation\de – Gladstone Investment Corporation Reports Financial Results for the Third Quarter Ended December 31, 2007 Net Investment Income for the quarter ended December 31, 2007 was $3.7 million, or $0.23 per common share Net Investment Income for the nine months ended December 31, 2007 was $9.6 million, or $0.58 per common share (January 31st, 2008)

MCLEAN, Va.--(BUSINESS WIRE)--Gladstone Investment Corp. (NASDAQ:GAIN) (the “Company”) today announced earnings for the third quarter ended December 31, 2007. All per share references are per basic and diluted weighted average common share outstanding, unless otherwise noted.