4//SEC Filing
SPOHLER BRUCE J 4
Accession 0000950170-24-028837
CIK 0001418076other
Filed
Mar 7, 7:00 PM ET
Accepted
Mar 8, 6:51 PM ET
Size
12.1 KB
Accession
0000950170-24-028837
Insider Transaction Report
Form 4
SPOHLER BRUCE J
DirectorChief Operating Officer & Dir
Transactions
- Purchase
Common Stock
2024-03-06$15.44/sh+46,700$721,048→ 3,573,800 total(indirect: See Footnotes) - Purchase
Common Stock
2024-03-07$15.72/sh+46,700$734,124→ 3,620,500 total(indirect: See Footnotes) - Purchase
Common Stock
2024-03-08$15.74/sh+22,636$356,291→ 3,643,136 total(indirect: See Footnotes)
Holdings
- 75,873
Common Stock
Footnotes (7)
- [F1]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions. The reported price for the share purchases made on March 6, 2024 is based on prices ranging from a low of $15.27 per share to a high of $15.48 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price set forth in footnotes (1), (6), and (7) to this Form 4.
- [F2]The total includes 845,452 shares of the Issuer held by the Solar Capital Partners Employee Stock Plan, LLC (the "SCP Plan"). The SCP Plan is controlled by SLR Capital Partners, LLC ("SLR Capital Partners"). Messrs. Bruce J. Spohler and Michael S. Gross may be deemed to indirectly beneficially own a portion of the shares held by the SCP Plan by virtue of their collective ownership interest in SLR Capital Partners.
- [F3](Continued from Footnote (2)) In addition, the total includes 1,285,013 shares of the Issuer held by Solar Capital Investors, LLC ("Solar Capital I"), 715,000 shares of the Issuer held by Solar Capital Investors II, LLC ("Solar Capital II"), 355,107 shares of the Issuer held by Solar Senior Capital Investors, LLC ("Solar Senior Investors") and 77 shares of the Issuer held by SLR Capital Management, LLC ("SLR Management"), a portion held by each entity may be deemed to be indirectly beneficially owned by Mr. Spohler, Mr. Gross and a grantor retained annuity trust setup by and for Mr. Gross by virtue of their collective ownership interest therein.
- [F4](Continued from Footnote (3)) The total also includes 199,466 shares of common stock of the Issuer held by a trust for which Bruce J. Spohler acts as co-trustee and of which he and certain members of his immediate family are beneficiaries (the "Spohler Trust"), and 243,021 shares of the Issuer held by a limited liability company for which he serves as the manager and in which he owns a pro rata interest (the "Spohler LLC").
- [F5](Continued from Footnote (4)) Mr. Spohler disclaims beneficial ownership of any of the Issuer's securities directly held by the SCP Plan, Solar Capital I, Solar Capital II, Solar Senior Investors, SLR Management, the Spohler Trust and the Spohler LLC, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Spohler is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
- [F6]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions. The reported price for the share purchases made on March 7, 2024 is based on prices ranging from a low of $15.52 per share to a high of $15.78 per share.
- [F7]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions. The reported price for the share purchases made on March 8, 2024 is based on prices ranging from a low of $15.67 per share to a high of $15.85 per share.
Documents
Issuer
SLR Investment Corp.
CIK 0001418076
Entity typeother
Related Parties
1- filerCIK 0001240586
Filing Metadata
- Form type
- 4
- Filed
- Mar 7, 7:00 PM ET
- Accepted
- Mar 8, 6:51 PM ET
- Size
- 12.1 KB