GAIN Fail-to-Deliver
Gladstone Investment Corporation (GAIN) operates in the Financial Services sector, specifically the Asset Management industry, with a market capitalization near $626.8M, listed on NASDAQ, employing roughly 70 people, carrying a beta of 0.79 to the broader market. Gladstone Investment Corporation is business development company, specializes in lower middle market, mature stage, buyouts; refinancing existing debt; senior debt securities such as senior loans, senior term loans, lines of credit, and senior notes; senior subordinated debt securities such as senior subordinated loans and senior subordinated notes; junior subordinated debt securities such as subordinated notes and mezzanine loans; limited liability company interests, and warrants or options. Led by David A. R. Dullum, public since 2005-06-23.
Fail-to-deliver (FTD) data from the SEC tracks settlement failures where shares were not delivered within the standard settlement period. Persistent FTDs may indicate naked short selling or settlement issues and are monitored by regulators.
- Latest Date
- 2026-04-29
- Latest FTD Quantity
- 500
- Latest Price
- $16.22
- 30-Day Avg FTD
- 6.9K
- 30-Day Total FTD
- 206.7K
Showing 30 days of SEC fail-to-deliver data for Gladstone Investment Corporation.
Learn how fails-to-deliver is reported and how to read the data →
Frequently asked GAIN fail to deliver questions
- What is the latest GAIN fail-to-deliver count?
- As of Apr 29, 2026, Gladstone Investment Corporation (GAIN) fail-to-deliver quantity is 500 shares, with a 30-day average of 6.9K shares. The SEC publishes FTD data twice monthly: first-half data at month-end, second-half around the 15th of the following month.
- What is the FTD aggregate net balance?
- FTD figures represent the aggregate net balance in NSCC's Continuous Net Settlement (CNS) system, not the gross failed-share count. The published numbers run 2-6 weeks stale relative to the underlying settlement date.
- How do GAIN FTDs affect options pricing?
- Persistent FTDs flag hard-to-borrow conditions that distort put-call parity: in HTB names, synthetic long stock (long call + short put at the same strike) trades below the frictionless-parity price by approximately the borrow rebate. The discount equals the lending revenue forgone by holding the synthetic instead of actual shares. Reg SHO threshold-list inclusion follows from sustained FTD persistence.