0000950170-24-027486.txt : 20240306 0000950170-24-027486.hdr.sgml : 20240306 20240306194103 ACCESSION NUMBER: 0000950170-24-027486 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240304 FILED AS OF DATE: 20240306 DATE AS OF CHANGE: 20240306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GROSS MICHAEL S CENTRAL INDEX KEY: 0001186884 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00754 FILM NUMBER: 24727763 MAIL ADDRESS: STREET 1: C/O SOLAR CAPITAL LTD. STREET 2: 500 PARK AVENUE, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SLR Investment Corp. CENTRAL INDEX KEY: 0001418076 ORGANIZATION NAME: IRS NUMBER: 261381340 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 PARK AVENUE STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 993-1670 MAIL ADDRESS: STREET 1: 500 PARK AVENUE STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Solar Capital Ltd. DATE OF NAME CHANGE: 20071109 4 1 ownership.xml 4 X0508 4 2024-03-04 0001418076 SLR Investment Corp. SLRC 0001186884 GROSS MICHAEL S C/O SLR INVESTMENT CORP. 500 PARK AVENUE NEW YORK NY 10022 true true false false See Remarks false Common Stock 2024-03-04 4 P false 40000 15.08 A 3642124 I See Footnotes Common Stock 2024-03-05 4 P false 46700 15.23 A 3688824 I See Footnotes Common Stock 227789 D 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 4, 2024 is based on prices ranging from a low of $14.95 per share to a high of $15.13 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 this footnote and footnote 6. The total includes 729,416 shares of SLR Investment Corp. (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. Michael S. Gross and Bruce J. Spohler 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. (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") and 715,000 shares of the Issuer held by Solar Capital Investors II, LLC ("Solar Capital II"), a portion of each of which may be deemed to be indirectly beneficially owned by Mr. Gross, a grantor retained annuity trust (the "GRAT") setup by and for Mr. Gross and for which he serves as trustee, and Mr. Spohler. Also, 355,107 shares of the Issuer are held by Solar Senior Capital Investors, LLC ("Solar Senior Investors") and 77 shares of the Issuer are held by SLR Capital Management, LLC ("SLR Management"), a portion held by each entity may be deemed to be indirectly beneficially owned by Mr. Gross and Mr. Spohler. (Continued from Footnote (3)) The total indirect ownership also includes 117,617 shares of the Issuer held by certain trusts for the benefit of family members for which Mr. Gross serves as trustee (the "Family Trusts"). Mr. Gross may be deemed to directly beneficially own these shares by virtue of his control with respect to the Family Trusts. The total includes 334,428 shares of the Issuer held by the GRAT. (Continued from Footnote (4)) In addition, the total includes 152,166 shares of the Issuer directly held by Mr. Gross' profit sharing plan (the "Profit Sharing Plan"). Mr. Gross may be deemed to directly beneficially own these shares as the sole participant in the Profit Sharing Plan and as trustee and immediate family member of the Family Trusts. Mr. Gross 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 or the Family Trusts except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Gross is the beneficial owner of such securities for purposes of Section 16 or any other purpose. 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 5, 2024 is based on prices ranging from a low of $15.07 per share to a high of $15.29 per share. Co-Chief Executive Officer, President, Chairman of the Board /s/ Michael S. Gross 2024-03-06