0000950170-24-028837.txt : 20240308 0000950170-24-028837.hdr.sgml : 20240308 20240308185141 ACCESSION NUMBER: 0000950170-24-028837 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240306 FILED AS OF DATE: 20240308 DATE AS OF CHANGE: 20240308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPOHLER BRUCE J CENTRAL INDEX KEY: 0001240586 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00754 FILM NUMBER: 24736130 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 2024-03-06 0001418076 SLR Investment Corp. SLRC 0001240586 SPOHLER BRUCE J C/O SLR INVESTMENT CORP. 500 PARK AVENUE NEW YORK NY 10022 true true false false See Remarks false Common Stock 2024-03-06 4 P false 46700 15.44 A 3573800 I See Footnotes Common Stock 2024-03-07 4 P false 46700 15.72 A 3620500 I See Footnotes Common Stock 2024-03-08 4 P false 22636 15.74 A 3643136 I See Footnotes Common Stock 75873 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 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. 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. (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. (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"). (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. 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. 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. Co-Chief Executive Officer, Chief Operating Officer and Director /s/ Bruce J. Spohler 2024-03-08