0001193125-12-304887 Sample Contracts

GLADSTONE INVESTMENT CORPORATION AND , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF

Warrant Agreement • July 17th, 2012 • Gladstone Investment Corporation\de • New York

• Contract Type
  Warrant Agreement
• Filed
  July 17th, 2012
• Company
  Gladstone Investment Corporation\de
• Jurisdiction
  New York

THIS PREFERRED STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [—], between GLADSTONE INVESTMENT CORPORATION, a Delaware corporation (the “Company”) and [—], a [corporation] [national banking association] organized and existing under the laws of [—] and having a corporate trust office in [—], as warrant agent (the “Warrant Agent”).

GLADSTONE INVESTMENT CORPORATION AND , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF

Common Stock Warrant Agreement • July 17th, 2012 • Gladstone Investment Corporation\de • New York

• Contract Type
  Common Stock Warrant Agreement
• Filed
  July 17th, 2012
• Company
  Gladstone Investment Corporation\de
• Jurisdiction
  New York

THIS COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [—], between GLADSTONE INVESTMENT CORPORATION, a Delaware corporation (the “Company”) and [—], a [corporation] [national banking association] organized and existing under the laws of [—] and having a corporate trust office in [—], as warrant agent (the “Warrant Agent”).