0001193125-22-262161.txt : 20221013 0001193125-22-262161.hdr.sgml : 20221013 20221013161259 ACCESSION NUMBER: 0001193125-22-262161 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221012 ITEM INFORMATION: Unregistered Sales of Equity Securities FILED AS OF DATE: 20221013 DATE AS OF CHANGE: 20221013 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SLR HC BDC LLC CENTRAL INDEX KEY: 0001832148 IRS NUMBER: 851801692 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-56247 FILM NUMBER: 221309202 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 8-K 1 d336018d8k.htm 8-K 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): October 12, 2022

 

 

SLR HC BDC LLC

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   000-56247   85-1801692

(State or Other Jurisdiction

of Incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

500 Park Avenue, New York, NY   10022
(Address of Principal Executive Offices)   (Zip Code)

Registrant’s telephone number, including area code: (212) 993-1670

Not Applicable

(Former name or former address, if changed since last report.)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act: None

 

Title of each class

  

Trading

Symbol(s)

  

Name of each exchange

on which registered

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company  ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 

Item 3.02.

Unregistered Sale of Equity Securities.

On October 12, 2022, SLR HC BDC LLC (the “Company”) delivered a capital drawdown notice to its members relating to the sale of approximately two hundred and six thousand of the Company’s units (the “Units”), for an aggregate offering price of $4.5 million. The sale is expected to close on or about October 26, 2022.

The sale of Units is being made pursuant to a subscription agreement (the “Subscription Agreement”) and the amended and restated limited liability company agreement (the “LLC Agreement”) entered into by the Company and the members. Under the terms of the Subscription Agreement and the LLC Agreement, the members are required to fund drawdowns to purchase Units up to the amount of their capital commitments on an as-needed basis with a minimum of 10 business days’ prior notice to the members.

The issuance and sale of the Units are exempt from the registration requirements of the Securities Act of 1933, as amended, pursuant to Section 4(a)(2) thereof and Regulation D thereunder.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

    SLR HC BDC LLC
Date: October 13, 2022     By:  

/s/ Richard L. Peteka

     

Richard L. Peteka

Secretary