Rule 430C definition

Rule 430C. “Rule 436” and “Rule 492” refer to such rules under the 1933 Act.

Rule 430C. “Rule 433” and “Regulation S-K” refer to such rules or regulations under the Act. “Rule 430 Information” means information with respect to the Securities and the offering thereof permitted to be omitted from the Registration Statement when it becomes effective pursuant to Rule 430A, Rule 430B or Rule 430C. Any reference herein to the Registration Statement, the Basic Prospectus, any Preliminary Final Prospectus, the Pricing Disclosure Package or the Final Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which were filed under the Exchange Act on or before the Effective Date of the Registration Statement or the issue date of the Basic Prospectus, any Preliminary Final Prospectus, the Pricing Disclosure Package or the Final Prospectus, as the case may be, and any reference herein to the terms “amend,” “amendment” or “supplement” with respect to the Registration Statement, the Basic Prospectus, any Preliminary Final Prospectus or the Final Prospectus shall be deemed to refer to and include the filing of any document under the Exchange Act after the Effective Date of the Registration Statement or the issue date of the Basic Prospectus, any Preliminary Final Prospectus or the Final Prospectus, as the case may be, deemed to be incorporated therein by reference. A “Delayed Offering” shall mean an offering of securities pursuant to Rule 415 which does not commence promptly after the effective date of a registration statement, with the result that only information required pursuant to Rule 415 needs to be included in such registration statement at the effective date thereof with respect to the securities so offered.

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

Examples of Rule 430C in a sentence

• A final prospectus containing the Rule 430C Information shall have been filed with the Commission in accordance with Rule 497.

• Such registration statement, including any amendments thereto, the financial statements and exhibits and any information contained or incorporated by reference in a prospectus filed with the Commission pursuant to Rule 424(b) under the Securities Act, to the extent such information is deemed pursuant to Rule 430B or Rule 430C under the Securities Act to be included in the registration statement at the time it became effective, is hereinafter called the “Registration Statement”.

• The term “Registration Statement” means the registration statement as amended at the time it becomes or became effective, including financial statements and all exhibits and any information deemed to be included therein by Rule 430A, Rule 430B or Rule 430C of the Rules and Regulations, as applicable.

• For purposes of this definition, 430A Information, 430B Information and 430C Information, if any, shall be considered to be included in the Registration Statement as of the time specified in Rule 430A, Rule 430B or Rule 430C, respectively.

• A prospectus containing the Rule 430C Information shall have been filed with the Commission in the manner and within the time frame required by Rule 497(h) 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 430C.

More Definitions of Rule 430C

Rule 430C means Rule 430C, as amended from time to time, promulgated by the Commission pursuant to the Securities Act.

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 X. Xxxx Name: Xxxxx X. Xxxx Title: Co-CEO 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 Ladenburg Xxxxxxxx & Co. 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 Xxxxxx xxxxxxx@xxxxxxxxx.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 430C refers to Rule 430C under the 1933 Act.

Rule 430C is defined in Section 2(a).

Rule 430C. “Rule 433”, “Rule 436”, “Rule 456” and “Rule 457” refer to such rules under the Act.

Rule 430C. Rule 430C (as amended or replaced) under the Securities Act. SEC: The U.S. Securities and Exchange Commission. Securities: See the introductory paragraphs hereto.

Rule 430C refers to Rule 430C under the Securities Act.