Statistik Asas
| LEI | 549300AWMOT9JR1SIJ74 |
| CIK | 1143513 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Gladstone Capital Corporation
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| August 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| August 4, 2025 |
Estimated Value methodology for Series A Cumulative Redeemable Preferred Stock at June 30, 2025.* Exhibit 99.1 Pursuant to FINRA Rule 2231(c), Gladstone Capital Corporation (the “Company”) determined the estimated value as of June 30, 2025, of its 6.25% Series A Cumulative Redeemable Preferred Stock (the “Series A Preferred Stock”), $25.00 stated value per share, with the assistance of a third-party valuation service. In particular, the third-party valuation service reviewed the amount resulti |
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| August 4, 2025 |
Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2025 EX-99.1 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2025 McLean, VA, August 4, 2025: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its third quarter ended June 30, 2025. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange Commission (the “S |
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| August 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 4, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissio |
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| July 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 10, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 10, 2025 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for July, August and September 2025 and Conference Call Date MCLEAN, VA, July 10, 2025 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for July, August and September 2025 and also announced its plan to report earnings for i |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2025 (June 23, 2025) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| June 25, 2025 |
Exhibit 10.1 AMENDMENT NO. 9 THIS AMENDMENT NO. 9 (this “Amendment”) dated as of June 23, 2025, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), as Administrative Agent (in such capacity, the “Administrative Agent”), ING CAPITAL LLC, as an exiting Managing Agen |
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| May 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: |
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| May 6, 2025 |
Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2025 EX-99.1 2 d911048dex991.htm EX-99.1 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2025 McLean, VA, May 6, 2025: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its second quarter ended March 31, 2025. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities an |
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| May 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 6, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission F |
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| May 6, 2025 |
Estimated Value methodology for Series A Cumulative Redeemable Preferred Stock at Exhibit 99.1 Pursuant to FINRA Rule 2231(c), Gladstone Capital Corporation (the “Company”) determined the estimated value as of March 31, 2025, of its 6.25% Series A Cumulative Redeemable Preferred Stock (the “Series A Preferred Stock”), $25.00 stated value per share, with the assistance of a third-party valuation service. In particular, the third-party valuation service reviewed the amount result |
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| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 8, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 8, 2025 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for April, May and June 2025 and Conference Call Date MCLEAN, VA, April 8, 2025 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for April, May and June 2025 and also announced its plan to report earnings for its second fisc |
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| February 11, 2025 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its First Quarter Ended December 31, 2024 McLean, VA, February 11, 2025: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its first quarter ended December 31, 2024. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange Commission (the |
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| February 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBE |
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| February 11, 2025 |
Exhibit 99.1 Pursuant to FINRA Rule 2231(c), Gladstone Capital Corporation (the “Company”) determined the estimated value as of December 31, 2024, of its 6.25% Series A Cumulative Redeemable Preferred Stock (the “Series A Preferred Stock”), $25.00 stated value per share, with the assistance of a third-party valuation service. In particular, the third-party valuation service reviewed the amount res |
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| February 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 11, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commis |
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| February 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 6, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commiss |
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| January 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commiss |
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| January 24, 2025 |
Exhibit 10.1 INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN GLADSTONE CAPITAL CORPORATION AND GLADSTONE MANAGEMENT CORPORATION AGREEMENT is made this 24 day of January 2025, by and between Gladstone Capital Corporation, a Maryland corporation (the “Fund”), and Gladstone Management Corporation, a Delaware corporation (the “Adviser”). WHEREAS, the Fund is a closed-end management investment com |
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| January 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 14, 2025 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commiss |
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| January 14, 2025 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for January, February and March 2025 and Conference Call Date MCLEAN, VA, January 14, 2025 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for January, February and March 2025 and also announced its plan to report earnings |
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| December 20, 2024 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2024 (December 3, 2024) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 22, 2024 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-275934 PROSPECTUS SUPPLEMENT (To Prospectus dated January 17, 2024) Maximum of 5,561,275 Shares 6.25% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) We operate as an externally managed, closed-end, non-diversified management investment company and have elected to be treated as a business development com |
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| November 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2024 (November 22, 2024) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 15, 2024 (November 13, 2024) Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of In |
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| November 15, 2024 |
Gladstone Capital Announces Retirement of Chief Operating Officer Terry Lee Brubaker Exhibit 99.1 Gladstone Capital Announces Retirement of Chief Operating Officer Terry Lee Brubaker McLean, VA, November 15, 2024: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced that Terry Lee Brubaker will be retiring as Chief Operating Officer of the Company effective December 2, 2024. Mr. Brubaker is also retiring as director and executive officer of Gladstone Management C |
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| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 13, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commis |
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| November 13, 2024 |
Subsidiaries of the Registrant. Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Loan, LLC (organized in Delaware) |
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| November 13, 2024 |
Gladstone Capital Corporation Compensation Recoupment Policy 1. Purpose. The purpose of this Compensation Recoupment Policy of the Company (as amended from time to time, the “Policy”), dated as of October 10, 2023 (the “Adoption Date”) is to describe the circumstances in which current and former Executive Officers will be required to repay or return Erroneously Awarded Compensation to members of t |
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| November 13, 2024 |
Estimated Value methodology for Series A Cumulative Redeemable Preferred Stock at September 30, 2024 Exhibit 99.1 Pursuant to FINRA Rule 2231(c), Gladstone Capital Corporation (the “Company”) determined the estimated value as of September 30, 2024, of its 6.25% Series A Cumulative Redeemable Preferred Stock (the “Series A Preferred Stock”), $25.00 stated value per share, with the assistance of a third-party valuation service. In particular, the third-party valuation service reviewed the amount re |
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| November 13, 2024 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended September 30, 2024 McLean, VA, November 13, 2024: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its fourth quarter and fiscal year ended September 30, 2024. Please read the Company’s Annual Report on Form 10-K filed today with the U.S. Securi |
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| November 13, 2024 |
1 Code of Ethics and Business Conduct For Gladstone Capital Corporation Gladstone Commercial Corporation Gladstone Investment Corporation Gladstone Land Corporation Gladstone Alternative Income Fund Gladstone Management Corporation Gladstone Administration LLC Gladstone Securities, LLC and their subsidiaries (UPDATED OCTOBER 8, 2024) I. |
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| November 13, 2024 |
Exhibit 4.7 DESCRIPTION OF SECURITIES Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to which this Description of Securities is an exhibit. (a) Capital Stock Common Stock, $0.001 par value per share As of September 30, 2024, we had 22,230,587 shares of common stock outstanding. All shares of our common stock have equal rights |
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| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00237 GLADSTONE CAPITAL CORPORATION (Exact name of registrant as specified in its charter) Maryland 54-2040781 (State or other jurisdiction of incorporation or organization) (I. |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 12, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commis |
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| November 12, 2024 |
Gladstone Capital Announces $0.40 Supplemental Cash Distribution to Common Stockholders EX-99.1 Exhibit 99.1 Gladstone Capital Announces $0.40 Supplemental Cash Distribution to Common Stockholders MCLEAN, VA, November 12, 2024 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following additional supplemental cash distribution to common stockholders payable in December 2024. Common Stock: A supplemental distributio |
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| October 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 8, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissi |
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| October 8, 2024 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for October, November and December 2024 and Conference Call Date MCLEAN, VA, October 8, 2024 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for October, November and December 2024 and also announced its plan to report earn |
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| August 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 22, 2024 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 22, 2024 |
Gladstone Capital Corporation Announces Election of Katharine Cornell Gorka as Director Exhibit 99.1 Gladstone Capital Corporation Announces Election of Katharine Cornell Gorka as Director McLean, VA, August 22, 2024: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced that Katharine Cornell Gorka has been elected to the 2027 class of Directors for the Company, effective August 22, 2024. Ms. Gorka, 64, is the President of Threat Knowledge Group, which provides trai |
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| August 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2024 (August 16, 2024) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 16, 2024 |
Exhibit 1.1 GLADSTONE CAPITAL CORPORATION Up to $150,000,000 of Common Stock EQUITY DISTRIBUTION AGREEMENT August 16, 2024 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 HUNTINGTON SECURITIES, INC. 41 South High Street Columbus, Ohio 43215 Ladies and Gentlemen: Gladstone Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Gladstone Management Corpora |
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| August 16, 2024 |
Filed pursuant to Rule 424(b)(2) Registration Statement No. 333-275934 PROSPECTUS SUPPLEMENT (To Prospectus Dated January 17, 2024) Up to $150,000,000 Common Stock We operate as an externally managed, closed-end, non-diversified management investment company and have elected to be treated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “1940 Act” |
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| August 12, 2024 |
Exhibit 10.1 AMENDMENT NO. 8 THIS AMENDMENT NO. 8, (this “Amendment”) dated as of August 12, 2024, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), as Administrative Agent (in such capacity, the “Administrative Agent”) and WEBSTER BANK, N.A., as a Lender (in su |
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| August 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2024 (August 12, 2024) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 7, 2024 |
Estimated Value methodology for Series A Cumulative Redeemable Preferred Stock at June 30, 2024. Exhibit 99.1 Pursuant to FINRA Rule 2231(c), Gladstone Capital Corporation (the “Company”) determined the estimated value as of June 30, 2024, of its 6.25% Series A Cumulative Redeemable Preferred Stock (the “Series A Preferred Stock”), $25.00 stated value per share, with the assistance of a third-party valuation service. In particular, the third-party valuation service reviewed the amount resulti |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 7, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissio |
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| August 7, 2024 |
Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2024 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2024 McLean, VA, August 7, 2024: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its third fiscal quarter ended June 30, 2024. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange Commission (the “SE |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| July 9, 2024 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for July, August and September 2024 and Conference Call Date MCLEAN, VA, July 9, 2024 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for July, August and September 2024 and also announced its plan to report earnings for it |
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| July 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 9, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2024 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| June 27, 2024 |
Exhibit 10.1 AMENDMENT NO. 7 THIS AMENDMENT NO. 7, (this “Amendment”) dated as of June 27, 2024, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), as Swingline Lender (in such capacity, the “Swingline Lender”), KeyBank, as Administrative Agent (in such capacity, |
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| May 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: |
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| May 1, 2024 |
Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2024 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2024 McLean, VA, May 1, 2024: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its second fiscal quarter ended March 31, 2024. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange Commission (the “S |
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| May 1, 2024 |
EXECUTION VERSION AMENDMENT NO. 6 THIS AMENDMENT NO. 6, (this “Amendment”) dated as of March 28, 2024, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), as Swingline Lender (in such capacity, the “Swingline Lender”), KeyBank, as Administrative Agent (in such cap |
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| May 1, 2024 |
Estimated Value methodology for Series A Cumulative Redeemable Preferred Stock at March 31, 2024. Exhibit 99.1 Pursuant to FINRA Rule 2231(c), Gladstone Capital Corporation (the “Company”) determined the estimated value as of March 31, 2024, of its 6.25% Series A Cumulative Redeemable Preferred Stock (the “Series A Preferred Stock”), $25.00 stated value per share, with the assistance of a third-party valuation service. In particular, the third-party valuation service reviewed the amount result |
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| May 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 1, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission F |
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| April 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 9, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 9, 2024 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for April, May and June 2024 and Conference Call Date MCLEAN, VA, April 9, 2024 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for April, May and June 2024 and also announced its plan to report earnings for its second fisc |
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| April 5, 2024 |
Articles of Amendment to the Articles of Incorporation Exhibit 3.1 GLADSTONE CAPITAL CORPORATION ARTICLES OF AMENDMENT Gladstone Capital Corporation, a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: The charter of the Corporation (the “Charter”) is hereby amended to provide that, upon the Effective Time (as defined below), every two shares of Common Stock of the C |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 5, 2024 (April 4, 2024) Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporat |
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| April 5, 2024 |
Articles of Amendment to the Articles of Incorporation Exhibit 3.2 GLADSTONE CAPITAL CORPORATION ARTICLES OF AMENDMENT Gladstone Capital Corporation, a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: The charter of the Corporation (the “Charter”) is hereby amended to decrease the par value of the shares of Common Stock of the Corporation (the “Common Stock”) issued |
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| April 1, 2024 |
Gladstone Capital Announces 1-for-2 Reverse Stock Split Exhibit 99.1 Gladstone Capital Announces 1-for-2 Reverse Stock Split MCLEAN, VA, April 1, 2024– Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors has approved a reverse stock split of its outstanding shares of common stock at a ratio of 1-for-2 that will be effective for purposes of trading as of the opening of business on the Nasdaq Global Se |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 1, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 29, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commis |
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| February 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 5, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commiss |
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| February 5, 2024 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its First Quarter Ended December 31, 2023 McLean, VA, February 5, 2024: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its first fiscal quarter ended December 31, 2023. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange Commissio |
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| February 5, 2024 |
EXECUTION VERSION AMENDMENT NO. 5 THIS AMENDMENT NO. 5, (this “Amendment”) dated as of December 13, 2023, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), as Swingline Lender (in such capacity, the “Swingline Lender”), KeyBank, as Administrative Agent (in such |
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| February 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBE |
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| February 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| February 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 24, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) January 24, 2024 Gladstone Capital Corporation (Exact name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| January 12, 2024 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 January 12, 2024 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Aaron Brodsky Re: Gladstone |
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| January 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 9, 2024 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissi |
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| January 9, 2024 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for January, February and March 2024 and Conference Call Date MCLEAN, VA, January 9, 2024 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for January, February and March 2024 and also announced its plan to report earnings f |
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| January 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| December 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| December 13, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| December 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| December 11, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 December 11, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Glads |
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| November 13, 2023 |
1 Code of Ethics and Business Conduct For Gladstone Capital Corporation Gladstone Commercial Corporation Gladstone Investment Corporation Gladstone Land Corporation Gladstone Management Corporation Gladstone Administration LLC Gladstone Securities, LLC and their subsidiaries (UPDATED NOVEMBER 2, 2023) I. |
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| November 13, 2023 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended September 30, 2023 McLean, VA, November 13, 2023: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its fourth quarter and fiscal year ended September 30, 2023. Please read the Company’s Annual Report on Form 10-K filed today with the U.S. Securi |
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| November 13, 2023 |
Subsidiaries of the Registrant. Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Loan, LLC (organized in Delaware) |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 13, 2023 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commis |
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| November 13, 2023 |
Gladstone Capital Corporation Compensation Recoupment Policy 1. Purpose. The purpose of this Compensation Recoupment Policy of the Company (as amended from time to time, the “Policy”), dated as of October 10, 2023 (the “Adoption Date”) is to describe the circumstances in which current and former Executive Officers will be required to repay or return Erroneously Awarded Compensation to members of t |
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| November 13, 2023 |
Exhibit 4.7 DESCRIPTION OF SECURITIES Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to which this Description of Securities is an exhibit. (a) Capital Stock Common Stock, $0.001 par value per share As of September 30, 2023, we had 43,508,897 shares of common stock outstanding. All shares of our common stock have equal rights |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00237 GLADSTONE CAPITAL CORPORATION (Exact name of registrant as specified in its charter) Maryland 54-2040781 (State or other jurisdiction of incorporation or organization) (I. |
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| November 9, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| October 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Prox |
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| October 25, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 October 25, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Gladst |
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| October 18, 2023 |
1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 William J. Tuttle United States To Call Writer Directly: Facsimile: +1 202 389 3350 +1 202 389 5000 +1 202 389 5200 [email protected] www.kirkland.com October 18, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Glad |
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| October 16, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 October 16, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Gladst |
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| October 11, 2023 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated October 11, 2023 Relating to Prospectus Supplement dated May 31, 2023 and Prospectus dated December 22, 2021 Registration No. |
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| October 10, 2023 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for October, November and December 2023 and Conference Call Date MCLEAN, VA, October 10, 2023 – Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for October, November and December 2023 and also announced its plan to report ear |
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| October 10, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 October 10, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Gladst |
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| October 10, 2023 |
Exhibit 3.1 FIFTH AMENDMENT TO BYLAWS OF GLADSTONE CAPITAL CORPORATION The following Amendment is hereby made to the Bylaws (the “Bylaws”) of Gladstone Capital Corporation, a Maryland corporation (the “Corporation”), as of October 10, 2023: Article IV, Section 26 is hereby deleted in its entirety and replaced with the following: Section 26. Executive Committee. The Board of Directors may, but need |
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| October 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 10, 2023 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commiss |
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| September 20, 2023 |
William J. Tuttle To Call Writer Directly: +1 202 389 3350 [email protected] 1301 Pennsylvania Avenue, N.W. Washington, D.C. 20004 United States +1 202 389 5000 www.kirkland.com Facsimile: +1 202 389 5200 September 20, 2023 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Kimberly Browning Re: Glad |
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| September 11, 2023 |
Financing For Lower Middle Market Companies Financing For Lower Middle Market Companies A business development company (BDC) with a diversified portfolio of directly originated debt investments focusing on senior loans to established growth-oriented lower middle market US-based businesses with near term revenue visibility and proven cashflows to mitigate credit risk. |
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| August 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 31, 2023 |
GLADSTONE CAPITAL CORPORATION 1521 WESTBRANCH DRIVE, SUITE 100 MCLEAN, VA 22102 GLADSTONE CAPITAL CORPORATION 1521 WESTBRANCH DRIVE, SUITE 100 MCLEAN, VA 22102 SCAN TO VIEW MATERIALS & VOTE Proxy Card For Common Stockholders VOTE BY INTERNET Before The Meeting - Go to www. |
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| August 31, 2023 |
Exhibit A INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN GLADSTONE CAPITAL CORPORATION AND GLADSTONE MANAGEMENT CORPORATION AGREEMENT is made this [●] day of [●] 20[●], by and between Gladstone Capital Corporation, a Maryland corporation (the “Fund”), and Gladstone Management Corporation, a Delaware corporation (the “Adviser”). |
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| August 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 17, 2023 (August 17, 2023) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 17, 2023 |
Fifth Supplemental Indenture between Gladstone Capital Corporation and U.S. Bank FIFTH SUPPLEMENTAL INDENTURE between GLADSTONE CAPITAL CORPORATION and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (as successor in interest to U.S. BANK NATIONAL ASSOCIATION), as Trustee Dated as of August 17, 2023 THIS FIFTH SUPPLEMENTAL INDENTURE (this “Fifth Supplemental Indenture”), dated as of August 17, 2023, |
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| August 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 54-2040781 (State of incorporation or organization) (I. |
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| August 14, 2023 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-261398 PROSPECTUS SUPPLEMENT (To Prospectus dated December 22, 2021) $50,000,000 7.75% Notes due 2028 We operate as an externally managed, closed‑end, non‑diversified management investment company and have elected to be treated as a business development company under the Investment Company Act of 1940, as amended. For federal income tax purpose |
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| August 11, 2023 |
GLADSTONE CAPITAL CORPORATION $50,000,000 7.75% Notes due 2028 UNDERWRITING AGREEMENT August 10, 2023 Piper Sandler & Co., As representative of the several Underwriters c/o Piper Sandler & Co. 800 Nicollet Mall Minneapolis, MN 55402 Ladies and Gentlemen: Gladstone Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Gladstone Management Corporation, a Delaware c |
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| August 11, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2023 (August 10, 2023) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 10, 2023 |
SUBJECT TO COMPLETION, DATED AUGUST 10, 2023 GLADSTONE CAPITAL CORP. Filed Pursuant to Rule 424(b)(2) Registration No. 333-261398 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an |
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| August 10, 2023 |
Pricing Terms GLADSTONE CAPITAL CORPORATION 7.75% Notes Due 2028 Pricing Term Sheet August 10, 2023 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated August 10, 2023 Relating to Preliminary Prospectus Supplement dated August 10, 2023 and Prospectus dated December 22, 2021 Registration No. |
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| July 28, 2023 |
Up to $100,000,000 Common Stock Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-261398 Supplement dated July 28, 2023 To Prospectus Supplement dated August 5, 2022 (To Prospectus Dated December 22, 2021) Up to $100,000,000 Common Stock This supplement is being filed to update, amend and supplement information in that certain prospectus supplement, dated August 5, 2022, relating to the offer and sale of shares of |
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| July 28, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2023 (July 28, 2023) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| July 28, 2023 |
GLADSTONE CAPITAL CORPORATION Up to $100,000,000 of Common Stock AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT July 28, 2023 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 HUNTINGTON SECURITIES, INC. |
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| July 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| July 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2023 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation) 814-00237 (Commission File Number) 54-2040781 (IRS Employer Identification No. |
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| July 26, 2023 |
Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2023 Press Release of Gladstone Capital Corporation, dated July 26, 2023. Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2023 McLean, VA, July 26, 2023: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its third fiscal quarter ended June 30, 2023. Please read the Company’s Quarterly Report on Form 10-Q, filed today w |
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| July 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 11, 2023 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 11, 2023 |
Press Release, dated July 11, 2023. Exhibit 99.1 Gladstone Capital Announces Increase in Monthly Cash Distributions for July, August and September 2023, a Supplemental Distribution to Common Stockholders and Earnings Release and Conference Call Dates for its Third Fiscal Quarter MCLEAN, VA, July 11, 2023– Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board o |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 (June 16, 2023) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| June 22, 2023 |
Amendment No. 4 EXECUTION VERSION AMENDMENT NO. 4 THIS AMENDMENT NO. 4, (this “Amendment”) dated as of June 16, 2023, is entered into between GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), the Managing Agents party hereto, the Lenders party hereto and KEYBANK NATIONAL ASSOCIATION (“KeyBank”), as Administrative Agent (in s |
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| June 2, 2023 |
GLADSTONE CAPITAL CORP UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 54-2040781 (State of incorporation or organization) (I. |
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| June 1, 2023 |
EX-99.(5)(1) 750 E. PRATT STREET SUITE 900 BALTIMORE, MD 21202 T 410.244.7400 F 410.244.7742 www.Venable.com May 31, 2023 Gladstone Capital Corporation Suite 100 1521 Westbranch Drive McLean, Virginia 22102 Re: Registration Statement on Form N-2 (Registration No. 333-261398) Ladies and Gentlemen: We have served as Maryland counsel to Gladstone Capital Corporation, a Maryland corporation (the “Comp |
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| June 1, 2023 |
DEALER MANAGER 6,000,000 Shares of 6.25% Series A Cumulative Redeemable Preferred Stock — $25.00 EX-99.(1)(1) DEALER MANAGER AGREEMENT 6,000,000 Shares of 6.25% Series A Cumulative Redeemable Preferred Stock — $25.00 May 31, 2023 Gladstone Securities, LLC 1521 Westbranch Drive, Suite 100 McLean, Virginia 22102 Attn: John Kent Ladies and Gentlemen: Gladstone Capital Corporation, a Maryland corporation (the “Company”), is offering up to an aggregate of 6,000,000 shares of its 6.25% Series A Cum |
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| June 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 31, 2023 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 1, 2023 |
EX-99.(4)(1) IMPORTANT NOTICE The Corporation will furnish without charge to each stockholder who so requests a full statement of the designations and any preferences, conversion and other rights, voting powers, restrictions, limitations as to dividends and other distributions, qualifications, and terms and conditions of redemption of the stock of each class which the Corporation has authority to |
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| June 1, 2023 |
Press Release, dated May 31, 2023. Gladstone Capital Corporation Announces Offering of 6.25% Series A Cumulative Redeemable Preferred Stock McLean, VA, May 31, 2023: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced that it has filed a prospectus supplement with the U.S. Securities and Exchange Commission (“SEC”) for a continuous public offering of up to 6,000,000 shares |
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| June 1, 2023 |
EX-99.(3)(1) GLADSTONE CAPITAL CORPORATION ARTICLES SUPPLEMENTARY 6.25% SERIES A CUMULATIVE REDEEMABLE PREFERRED STOCK Gladstone Capital Corporation, a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Under a power contained in Article FOURTH of the charter of the Corporation (the “Charter”), the Board of Direct |
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| May 31, 2023 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-261398 PROSPECTUS SUPPLEMENT (To Prospectus dated December 22, 2021) Maximum of 6,000,000 Shares 6.25% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) We operate as an externally managed, closed‑end, non‑diversified management investment company and have elected to be treated as a business development co |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2023 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| May 2, 2023 |
Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2023 EX-99.1 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2023 McLean, VA, May 2, 2023: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its second fiscal quarter ended March 31, 2023. Please read the Company’s Quarterly Report on Form 10-Q, filed today with the U.S. Securities and Exchange Commissio |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: |
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| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 14, 2023 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissio |
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| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 11, 2023 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissio |
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| April 11, 2023 |
EX-99.1 Exhibit 99.1 Gladstone Capital Announces Increase in Monthly Cash Distributions for April, May and June 2023 and Conference Call Date MCLEAN, VA, April 11, 2023– Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly common stock cash distributions for April, May and June 2023 and also announced its plan to re |
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| February 6, 2023 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its First Quarter Ended December 31, 2022 McLean, VA, February 6, 2023: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its first fiscal quarter ended December 31, 2022. Please read the Company’s Quarterly Report on Form 10-Q, filed today with the U.S. Securities and Exchange Commissi |
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| February 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBE |
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| February 6, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2023 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| February 2, 2023 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 2, 2023 Gladstone Capital Corporation (Exact name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| January 10, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 10, 2023 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commiss |
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| January 10, 2023 |
Exhibit 99.1 Gladstone Capital Announces Increase in Monthly Cash Distributions for January, February and March 2023 and Conference Call Date MCLEAN, VA, January 10, 2023– Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly common stock cash distributions for January, February and March 2023 and also announced its |
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| December 16, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
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| November 14, 2022 |
EXECUTION VERSION AMENDMENT NO. 1 THIS AMENDMENT NO. 1, (this ?Amendment?) dated as of September 12, 2022, is entered into between GLADSTONE BUSINESS LOAN, LLC, as Borrower (the ?Borrower?), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the ?Servicer?), and KEYBANK NATIONAL ASSOCIATION (?KeyBank?), as Administrative Agent (in such capacity, the ?Administrative Agent?). Capitalized terms used but |
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| November 14, 2022 |
EXECUTION VERSION AMENDMENT NO. 3 THIS AMENDMENT NO. 3, (this ?Amendment?) dated as of October 27, 2022, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the ?Borrower?), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the ?Servicer?), KEYBANK NATIONAL ASSOCIATION (?KeyBank?), as Swingline Lender (in such capacity, the ?Swingline Lender?), KeyBank, as Administrative Agent (in such c |
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| November 14, 2022 |
EXECUTION VERSION AMENDMENT NO. 2 THIS AMENDMENT NO. 2, (this ?Amendment?) dated as of September 20, 2022, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the ?Borrower?), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the ?Servicer?), KEYBANK NATIONAL ASSOCIATION (?KeyBank?), as Swingline Lender (in such capacity, the ?Swingline Lender?), KeyBank, as Administrative Agent (in such |
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| November 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 14, 2022 |
Exhibit 4.5 DESCRIPTION OF SECURITIES Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to which this Description of Securities is an exhibit. (a) Common Stock, $0.001 par value per share As of September 30, 2022, we had 34,734,796 shares of common stock outstanding. All shares of our common stock have equal rights as to earning |
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| November 14, 2022 |
Subsidiaries of the Registrant. Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Loan, LLC (organized in Delaware) |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00237 GLADSTONE CAPITAL CORPORATION (Exact name of registrant as specified in its charter) Maryland 54-2040781 (State or other jurisdiction of incorporation or organization) (I. |
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| November 14, 2022 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended September 30, 2022 McLean, VA, November 14, 2022: Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) today announced earnings for its fourth quarter and fiscal year ended September 30, 2022. Please read the Company?s Annual Report on Form 10-K filed today with the U.S. Securi |
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| October 12, 2022 |
Gladstone Capital Announces Election of Paula Novara as Director Gladstone Capital Announces Election of Paula Novara as Director MCLEAN, VA, October 12, 2022? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced that Paula Novara had been elected to the 2024 class of Directors for the Company, effective October 11, 2022. |
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| October 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) October 12, 2022 (October 11, 2022) Gladstone Capital Corporation (Exact name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| October 11, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) October 11, 2022 Gladstone Capital Corporation (Exact name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| October 11, 2022 |
Gladstone Capital Announces Increased Monthly Cash Distributions for October, November and December 2022 and Conference Call Date MCLEAN, VA, October 11, 2022 ? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced today that its board of directors increased and declared the following monthly cash distributions for October, November and December 2022 and also announced its plan to report earnings for its fourth fiscal quarter ended September 30, 2022. |
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| September 21, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 20, 2022 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commi |
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| August 5, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 5, 2022 (Date of earliest event reported) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commi |
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| August 5, 2022 |
Up to $60,000,000 Common Stock Table of Contents Filed pursuant to Rule 424(b)(2) Registration Statement No. 333-261398 PROSPECTUS SUPPLEMENT (To Prospectus Dated December 22, 2021) Up to $60,000,000 Common Stock We operate as an externally managed, closed-end, non-diversified management investment company and have elected to be treated as a business development company (?BDC?) under the Investment Company Act of 1940, as amend |
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| August 5, 2022 |
Exhibit 1.1 AMENDMENT NO. 1 TO THE EQUITY DISTRIBUTION AGREEMENT August 5, 2022 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: This Amendment No. 1 to the Equity Distribution Agreement (this ?Amendment?) is entered into as of the date first written above by and among Gladstone Capital Corporation, a corporation organized under the laws of Maryland (the ?Company?), |
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| July 27, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2022 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| July 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| July 27, 2022 |
Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2022 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2022 McLean, VA, July 27, 2022: Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) today announced earnings for its third fiscal quarter ended June 30, 2022. Please read the Company?s Quarterly Report on Form 10-Q, filed today with the U.S. Securities and Exchange Commission (the ?SE |
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| July 12, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 12, 2022 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 12, 2022 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for July, August and September 2022 and Conference Call Date MCLEAN, VA, July 12, 2022 ? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced today that its board of directors declared the following monthly cash distributions for July, August and September 2022 and also announced its plan to report earnings for i |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: |
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| May 3, 2022 | ||
| May 3, 2022 |
Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2022 EX-99.1 2 d340973dex991.htm EX-99.1 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2022 McLean, VA, May 3, 2022: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its second fiscal quarter ended March 31, 2022. Please read the Company’s Quarterly Report on Form 10-Q, filed today with the U.S. Secur |
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| May 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2022 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| April 12, 2022 |
Exhibit 99.1 Gladstone Capital Announces Increased Monthly Cash Distributions for April, May and June 2022 and Conference Call Date MCLEAN, VA, April 12, 2022? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced today that its board of directors increased and declared the following monthly cash distributions for April, May and June 2022 and also announced its plan to report earn |
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| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 12, 2022 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissio |
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| March 25, 2022 |
CORRESP 1 filename1.htm Proskauer Rose LLP 1001 Pennsylvania Avenue, NW Suite 600 South Washington, DC 20004-2533 March 25, 2022 By EDGAR United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Ashley Vroman-Lee William J. Tuttle Partner d+1.202.416.6860 f+1.202.416.6899 [email protected] www.proskauer.com Re: Gladstone |
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| March 25, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-262928 PROSPECTUS Offer to Exchange $50,000,000 aggregate principal amount of 3.75% Notes due 2027 For $50,000,000 aggregate principal amount of 3.75% Notes due 2027, registered under the Securities Act of 1933, as amended Gladstone Capital Corporation (the ?Company,? ?we,? ?us,? or ?our?) is offering to exchange all of its ou |
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| March 23, 2022 |
CORRESP 1 filename1.htm Proskauer Rose LLP 1001 Pennsylvania Avenue, NW Suite 600 South Washington, DC 20004-2533 March 23, 2022 By EDGAR William J. Tuttle Partner d +1.202.416.6860 f +1.202.416.6899 [email protected] www.proskauer.com United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Ashley Vroman-Lee Re: Gladsto |
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| March 23, 2022 |
GLADSTONE CAPITAL CORPORATION 1521 WESTBRANCH DRIVE, SUITE 100 MCLEAN, VIRGINIA 22102 March 23, 2022 GLADSTONE CAPITAL CORPORATION 1521 WESTBRANCH DRIVE, SUITE 100 MCLEAN, VIRGINIA 22102 March 23, 2022 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| February 23, 2022 |
Form of Letter of Transmittal* EX-99.17.B 6 d273952dex9917b.htm EX-99.(17)(B) Exhibit 17(b) LETTER OF TRANSMITTAL Gladstone Capital Corporation OFFER TO EXCHANGE $50,000,000 AGGREGATE PRINCIPAL AMOUNT OF 3.75% NOTES DUE 2027 FOR $50,000,000 AGGREGATE PRINCIPAL AMOUNT OF 3.75% NOTES DUE 2027 THAT HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED THE EXCHANGE OFFER WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON |
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| February 23, 2022 |
EX-FILING FEES 7 d273952dexfilingfees.htm EX-FILING FEES Exhibit 18 Calculation of Filing Fees Tables Form N-14 (Form Type) Gladstone Capital Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1) Fe |
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| February 23, 2022 |
Opinion and Consent of Proskauer Rose LLP* Exhibit 11(b) Proskauer Rose LLP 1001 Pennsylvania Avenue, NW, Suite 600 South Washington, DC 20004-2533 February 23, 2022 Gladstone Capital Corporation 1521 Westbranch Drive, Suite 100 McLean, VA 22101 d 202. |
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| February 23, 2022 |
Statement of Eligibility on Form T-1 of U.S. Bank Trust Company, National Association, as trustee* Exhibit 17(a) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ? Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036 I.R.S. |
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| February 23, 2022 |
Opinion and Consent of Venable LLP* Exhibit 11(a) February 23, 2022 Gladstone Capital Corporation 1521 Westbranch Drive Suite 100 McLean, Virginia 22102 Re: Registration Statement on Form N-14 Ladies and Gentlemen: We have served as Maryland counsel to Gladstone Capital Corporation, a Maryland corporation (the ?Company?), and a business development company under the Investment Company Act of 1940, as amended (the ?1940 Act?), in connection with certain matters of Maryland law arising out of the registration by the Company of up to $50,000,000 aggregate principal amount of the Company?s 3. |
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| February 23, 2022 |
As filed with the Securities and Exchange Commission on February 23, 2022 Table of Contents As filed with the Securities and Exchange Commission on February 23, 2022 Registration No. |
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| February 23, 2022 |
Consent of PricewaterhouseCoopers LLP* EX-99.14 4 d273952dex9914.htm EX-99.(14) Exhibit 14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of Gladstone Capital Corporation of our report dated November 15, 2021 relating to the financial statements, financial statement schedule, and senior securities table, which appears in Gladstone |
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| February 3, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 3, 2022 Gladstone Capital Corporation (Exact name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| February 2, 2022 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its First Quarter Ended December 31, 2021 McLean, VA, February 2, 2022: Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) today announced earnings for its first fiscal quarter ended December 31, 2021. Please read the Company?s Quarterly Report on Form 10-Q, filed today with the U.S. Securities and Exchange Commissi |
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| February 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2022 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| February 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 2021 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBE |
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| January 11, 2022 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for January, February and March 2022 and Conference Call Date MCLEAN, VA, January 11, 2022? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced today that its board of directors declared the following monthly cash distributions for January, February and March 2022 and also announced its plan to report earnings f |
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| January 11, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 11, 2022 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commiss |
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| January 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 10, 2022 (January 8, 2022) Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incor |
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| December 22, 2021 |
COMMON STOCK PREFERRED STOCK DEBT SECURITIES SUBSCRIPTION RIGHTS Filed Pursuant to Rule 424(b)(3) Registration No. 333-261398 PROSPECTUS $300,000,000 COMMON STOCK PREFERRED STOCK DEBT SECURITIES SUBSCRIPTION RIGHTS WARRANTS We may offer, from time to time, up to $300,000,000 aggregate initial offering price of our common stock, $0.001 par value per share, preferred stock, $0.001 par value per share, debt securities, subscription rights, warrants representing ri |
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| December 17, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
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| November 15, 2021 |
Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Fourth Quarter and Fiscal Year Ended September 30, 2021 McLean, VA, November 15, 2021: Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) today announced earnings for its fourth quarter and fiscal year ended September 30, 2021. Please read the Company?s Annual Report on Form 10-K filed today with the U.S. Securi |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00237 GLADSTONE CAPITAL CORPORATION (Exact name of registrant as specified in its charter) Maryland 54-2040781 (State or other jurisdiction of incorporation or organization) (I. |
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| November 15, 2021 |
Exhibit 4.5 DESCRIPTION OF SECURITIES Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to which this Description of Securities is an exhibit. (a) Common Stock, $0.001 par value per share As of September 30, 2021, we had 34,304,371 shares of common stock outstanding. All shares of our common stock have equal rights as to earning |
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| November 15, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2021 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 15, 2021 |
Subsidiaries of the Registrant. Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Loan, LLC (organized in Delaware) |
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| November 4, 2021 |
Exhibit 4.1 FOURTH SUPPLEMENTAL INDENTURE between GLADSTONE CAPITAL CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of November 4, 2021 THIS FOURTH SUPPLEMENTAL INDENTURE (this ?Fourth Supplemental Indenture?), dated as of November 4, 2021, is between Gladstone Capital Corporation, a Maryland corporation (the ?Company?), and U.S. Bank National Association, as trustee (the ?Trus |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: November 4, 2021 (Date of earliest event reported) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Com |
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| November 4, 2021 |
Exhibit 4.4 REGISTRATION RIGHTS AGREEMENT by and between Gladstone Capital Corporation and Raymond James & Associates, Inc. Dated as of November 4, 2021 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made and entered into as of November 4, 2021, by and between Gladstone Capital Corporation, a Maryland corporation (the ?Company?), and Raymond James & Associat |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 28, 2021 (Date of earliest event reported) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction (Commission (IRS Emplo |
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| October 28, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 28, 2021 (Date of earliest event reported) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction (Commission (IRS Emplo |
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| October 12, 2021 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for October, November and December 2021 and Fiscal Year End Earnings Release and Conference Call Dates MCLEAN, VA, October 12, 2021 ? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced today that its board of directors declared the following monthly cash distributions for October, November and December 2021. Th |
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| October 12, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2021 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| September 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 28, 2021 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commi |
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| August 3, 2021 |
Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2021 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Third Quarter Ended June 30, 2021 McLean, VA, August 3, 2021: Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) today announced earnings for its third fiscal quarter ended June 30, 2021. Please read the Company?s Quarterly Report on Form 10-Q, filed today with the U.S. Securities and Exchange Commission (the ?S |
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| August 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2021 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| July 13, 2021 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for July, August and September 2021 and Conference Call Date MCLEAN, VA, July 13, 2021 ? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced today that its board of directors declared the following monthly cash distributions for July, August and September 2021 and also announced its plan to report earnings for i |
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| July 13, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 13, 2021 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 13, 2021 |
Exhibit 10.1 EXECUTION VERSION SIXTH AMENDED AND RESTATED CREDIT AGREEMENT Dated as of May 13, 2021 Among GLADSTONE BUSINESS LOAN, 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 KEYBANK NATIONAL ASSOCIATION as the Administrative |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 13, 2021 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 10, 2021 |
Up to $60,000,000 Common Stock Table of Contents Filed pursuant to Rule 424(b)(2) Registration Statement No. 333-228720 PROSPECTUS SUPPLEMENT (To Prospectus Dated February 5, 2019) Up to $60,000,000 Common Stock We operate as an externally managed, closed-end, non-diversified management investment company and have elected to be treated as a business development company (?BDC?) under the Investment Company Act of 1940, as amende |
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| May 10, 2021 |
Exhibit 1.1 Execution Version GLADSTONE CAPITAL CORPORATION Up to $60,000,000 of Common Stock EQUITY DISTRIBUTION AGREEMENT May 10, 2021 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Gladstone Capital Corporation, a corporation organized under the laws of Maryland (the ?Company?), Gladstone Management Corporation, a Delaware corporation registered as an investment |
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| May 10, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 10, 2021 (Date of earliest event reported) Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commiss |
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| May 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2021 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| May 4, 2021 |
Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2021 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its Second Quarter Ended March 31, 2021 McLean, VA, May 4, 2021: Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) today announced earnings for its second fiscal quarter ended March 31, 2021. Please read the Company?s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange Commission (the ?S |
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| May 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark one): ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00237 GLADSTON |
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| May 4, 2021 |
Exhibit 10.1 THIRD AMENDED AND RESTATED INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN GLADSTONE CAPITAL CORPORATION AND GLADSTONE MANAGEMENT CORPORATION Agreement made this 13th day of April 2021, by and between Gladstone Capital Corporation, a Maryland corporation (the ?Fund?), and Gladstone Management Corporation, a Delaware corporation (the ?Adviser?). Whereas, the Fund is a closed-end m |
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| April 13, 2021 |
Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for April, May and June 2021 and Conference Call Date MCLEAN, VA, April 13, 2021? Gladstone Capital Corporation (Nasdaq: GLAD) (the ?Company?) announced today that its board of directors declared the following monthly cash distributions for April, May and June 2021 and also announced its plan to report earnings for its second fisc |
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| April 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 13, 2021 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Commissio |
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| March 10, 2021 |
Exhibit 1.1 Execution Version GLADSTONE CAPITAL CORPORATION $50,000,000 5.125% Notes due 2026 UNDERWRITING AGREEMENT March 5, 2021 Raymond James & Associates, Inc. As representative of the several underwriters named in Exhibit A c/o Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Gladstone Capital Corporation, a Maryland corporation (the ?C |
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| March 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): March 10, 2021 (March 5, 2021) Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorpora |
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| March 8, 2021 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-228720 PROSPECTUS SUPPLEMENT (To Prospectus Dated February 5, 2019) $50,000,000 5.125% Notes due 2026 We are an externally managed specialty finance company that provides capital to lower middle market U.S. businesses (which we generally define as companies with annual earnings before interest, taxes, depreciation and amortization (?EBITDA?) of |
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| March 5, 2021 |
GLADSTONE CAPITAL CORPORATION 5.125% Notes due 2026 PRICING TERM SHEET March 5, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated March 5, 2021 Relating to Preliminary Prospectus Supplement dated March 5, 2021 and Prospectus dated February 5, 2019 Registration No. |
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| March 5, 2021 |
SUBJECT TO COMPLETION, DATED MARCH 5, 2021 Filed Pursuant to Rule 424(b)(2) Registration No. 333-228720 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are n |
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| February 5, 2021 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 5, 2021 (February 4, 2021 ) Gladstone Capital Corporation (Exact name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| February 3, 2021 |
EX-10.1 Exhibit 10.1 EXECUTION COPY AMENDMENT NO. 7, CONSENT AND WAIVER THIS AMENDMENT NO. 7, CONSENT AND WAIVER (this “Amendment and Consent”) dated as of November 2, 2020, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), ING CAPITAL LLC, FIRST NATIONAL BANK O |
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| February 3, 2021 |
EX-10.2 Exhibit 10.2 EXECUTION COPY AMENDMENT NO. 8 THIS AMENDMENT NO. 8, (this “Amendment”) dated as of December 9, 2020, is entered into among GLADSTONE BUSINESS LOAN, LLC, as Borrower (the “Borrower”), GLADSTONE MANAGEMENT CORPORATION, as Servicer (the “Servicer”), KEYBANK NATIONAL ASSOCIATION (“KeyBank”), as Swingline Lender (in such capacity, the “Swingline Lender”), KeyBank, as Administrativ |
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| February 3, 2021 |
EX-99.1 Exhibit 99.1 Gladstone Capital Corporation Reports Financial Results for its First Quarter Ended December 31, 2020 McLean, VA, February 3, 2021: Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) today announced earnings for its first fiscal quarter ended December 31, 2020. Please read the Company’s Quarterly Report on Form 10-Q filed today with the U.S. Securities and Exchange C |
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| February 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2021 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| February 3, 2021 |
10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 12, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): January 12, 2021 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Com |
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| January 12, 2021 |
EX-99.1 Exhibit 99.1 Gladstone Capital Announces Monthly Cash Distributions for January, February and March 2021 and Conference Call Date MCLEAN, VA, January 12, 2021– Gladstone Capital Corporation (Nasdaq: GLAD) (the “Company”) announced today that its board of directors declared the following monthly cash distributions for January, February and March 2021 and also announced its plan to report ea |
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| December 18, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 15, 2020 |
EX-4.1 Exhibit 4.1 THIRD SUPPLEMENTAL INDENTURE between GLADSTONE CAPITAL CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of December 15, 2020 THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of December 15, 2020, is between Gladstone Capital Corporation, a Maryland corporation (the “Company”), and U.S. Bank National Association, as trustee (the |
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| December 15, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): December 15, 2020 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Co |
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| December 9, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): December 9, 2020 (December 8, 2020) Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of |
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| December 9, 2020 |
EX-1.1 Exhibit 1.1 EXECUTION VERSION GLADSTONE CAPITAL CORPORATION $100,000,000 5.125% Notes due 2026 UNDERWRITING AGREEMENT December 8, 2020 Raymond James & Associates, Inc. As representative of the several underwriters named in Exhibit A c/o Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Gladstone Capital Corporation, a Maryland corporat |
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| December 9, 2020 |
424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-228720 PROSPECTUS SUPPLEMENT (To Prospectus Dated February 5, 2019) $100,000,000 5.125% Notes due 2026 We are an externally managed specialty finance company that provides capital to lower middle market U.S. businesses (which we generally define as companies with annual earnings before interest, taxes, depreciation and a |
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| December 8, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): December 8, 2020 Gladstone Capital Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00237 54-2040781 (State or Other Jurisdiction of Incorporation) (Com |
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| December 8, 2020 |
GLADSTONE CAPITAL CORPORATION 5.125% Notes due 2026 PRICING TERM SHEET December 8, 2020 FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated December 8, 2020 Relating to Preliminary Prospectus Supplement dated December 8, 2020 and Prospectus dated February 5, 2019 Registration No. |
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| December 8, 2020 |
SUBJECT TO COMPLETION, DATED DECEMBER 8, 2020 424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-228720 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an |
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| December 3, 2020 |
FWP Investor Presentation December 3, 2020 Financing for Lower Middle-Market Companies Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated December 3, 2020 Relating to Registration Statement No. |
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| November 10, 2020 |
Report of Independent Registered Public Accounting Firm. EX-99.1 Exhibit 99.1 Report of Independent Registered Public Accounting Firm To the Board of Directors and Stockholders of Gladstone Capital Corporation: We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated statements of assets and liabilities, including the consolidated schedules of investments of Gladstone Capital Co |
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| November 10, 2020 |
10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 814-00237 GLADSTONE CAPITAL CORPORATION (Exact name of registrant as specified in its charter) Maryland 54-2040781 (State or other jurisdiction of incorporation or organization) (I. |
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| November 10, 2020 |
Subsidiaries of the Registrant. EX-21 Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Gladstone Business Loan, LLC (organized in Delaware) |
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| November 10, 2020 |
EX-4.5 Exhibit 4.5 DESCRIPTION OF SECURITIES Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to which this Description of Securities is an exhibit. (a) Common Stock, $0.001 par value per share As of September 30, 2020, we had 31,566,850 shares of common stock outstanding. All shares of our common stock have equal rights as to |
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| November 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2020 Gladstone Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-00237 54-2040781 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
