Rule 430B definition

Rule 430B and “Rule 433” refer to such rules under the Act.

Rule 430B and “Rule 433” shall mean, in each case, such rule promulgated by the Commission under the Securities Act (or any successor provision), as the same may be amended or succeeded from time to time.

Rule 430B and “Rule 433” refer to such rules under the Securities Act.

Examples of Rule 430B in a sentence

• A Prospectus containing the Rule 430B Information shall have been filed with the Commission in the manner and within the time frame required by Rule 424(b) under the Securities Act Regulations (without reliance on Rule 424(b)(8)) or a post-effective amendment providing such information shall have been filed with, and declared effective by, the Commission in accordance with the requirements of Rule 430B under the Securities Act regulations.

• If the Company has omitted any information from the Registration Statement pursuant to Rule 430B under the Securities Act, it will use its best efforts to comply with the provisions thereof and make all requisite filings with the Commission pursuant to said Rule 430B and to notify the Agent promptly of all such filings if not available on EDGAR.

• If any sales are made pursuant to this Agreement which are not made in “at the market” offerings as defined in Rule 415, including, without limitation, any Placement pursuant to a Terms Agreement, the Company shall file a Prospectus Supplement describing the terms of such transaction, the amount of Shares sold, the price thereof, the Manager’s compensation, and such other information as may be required pursuant to Rule 424 and Rule 430B, as applicable, within the time required by Rule 424.

More Definitions of Rule 430B

Rule 430B. “Rule 433”, “Rule 456”, “Rule 457” and “Rule 462” refer to such rules under the Act.

Rule 430B means Rule 430B under the Securities Act, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the SEC.

Rule 430B and “Rule 462” refer to such rules under the Act.

Rule 430B and “Rule 462” mean, in each case, such rule promulgated under the Securities Act (or any successor provision) by the SEC, as the same will be amended from time to time, or any successor rule then in force.

Rule 430B. “Rule 430C” and “Rule 497” refer to such rules under the 1933 Act. If the foregoing is in accordance with your understanding of our agreement, please sign and return to us the enclosed duplicate hereof, whereupon this letter and your acceptance shall represent a binding agreement among the Company, the Adviser, the Administrator and the Agent. Very truly yours, By: /s/ Xxxxx Xxxxxxxxx Name: Xxxxx Xxxxxxxxx Title: Chairman and Chief Executive Officer By: /s/ Xxxxx Xxxxxxxxx Name: Xxxxx Xxxxxxxxx Title: Chief Executive Officer By: /s/ Xxxxxxx X. XxXxxxx Name: Xxxxxxx X. XxXxxxx Title: President The foregoing Agreement is hereby confirmed and accepted as of the date first-written above. By: /s/ Xxxxx Xxxxxxx Name: Xxxxx Xxxxxxx Title: EVP From: [ ] Cc: [ ] To: [ ] Subject: Sales Agreement—Placement Notice Gentlemen: Pursuant to the terms and subject to the conditions contained in the Sales Agreement among Gladstone Investment Corporation (the “Company”), Gladstone Administration, LLC, Gladstone Management Corporation and Wedbush Securities Inc. (the “Agent”) dated December 19, 2019 (the “Agreement”), I hereby request on behalf of the Company that the Agent sell up to [ ] shares of the Company’s common stock, par value $0.001 per share, at a minimum market price of $ per share. The time period during which sales are requested to be made shall be . [No more than shares may be sold in any one trading day.] ADDITIONAL SALES PARAMETERS MAY BE ADDED, SUCH AS SPECIFIC DATES THE SHARES MAY NOT BE SOLD ON, AND/OR THE MANNER IN WHICH SALES ARE TO BE MADE BY THE AGENT. THE COMPANY MAY CANCEL THIS PLACEMENT NOTICE AT ANY TIME IN ITS SOLE DISCRETION SUBJECT TO THE PROVISIONS OF SECTION 4(b) OF THE AGREEMENT. Xxxxx Dempsey xxxxx.xxxxxxx@xxxxxxx.xxx (000) 000-0000 Francis Paulino xxxxxxx.xxxxxxx@xxxxxxx.xxx (000) 000-0000 Xxxxx Xxxxxxxxx xxxxx.xxxxxxxxx@Xxxxxxxxxxxxxxxxxx.xxx 000-000-0000 Xxxxx Xxxxxx xxxxx.xxxxxx@xxxxxxxxxxxxxxxxxx.xxx 000-000-0000 Xxxxx Xxxx xxxxx.xxxx@xxxxxxxxxxxxxxxxxx.xxx 000-000-0000 Xxxxxxx XxXxxxx xxxxxxx.xxxxxxx@xxxxxxxxxxxxxxxxxx.xxx 000-000-0000

Rule 430B and “Rule 433” refer to such rules under the 1933 Act.

Rule 430B means Rule 430B promulgated by the Commission pursuant to the Securities Act, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.