Current Report Filing (8-k)
January 10 2022 - 7:32AM
Edgar (US Regulatory)
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)
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Maryland
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814-00237
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54-2040781
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification Number)
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1521 Westbranch Drive, Suite 100
McLean, Virginia
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22102
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(Address of Principal Executive Offices)
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(Zip Code)
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(703) 287-5800
(Registrant’s telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading
symbol
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Name of each exchange
on which registered
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Common Stock, $0.001 par value per share
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GLAD
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The Nasdaq Stock Market LLC
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of
1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new
or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
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Item 5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers.
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On January 8, 2022, Caren Merrick notified Gladstone Capital Corporation (the
“Company”) that she is resigning from the board of directors of the Company effective immediately. Prior to her resignation Ms. Merrick served on the Audit Committee and as the Valuation Committee Chairperson. Ms. Merrick’s
resignation is in connection with her recent appointment as Secretary of Commerce and Trade for the Commonwealth of Virginia.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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Gladstone Capital Corporation
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Date: January 10, 2022
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By:
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/s/ Nicole Schaltenbrand
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Nicole Schaltenbrand
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Chief Financial Officer & Treasurer
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