| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SUNS | Common Stock | Gift | $0 | +231K | +42.45% | $0.00 | 774K | Dec 4, 2021 | See Footnotes | F1, F2, F3, F4 |
| transaction | SUNS | Common Stock | Gift | $0 | +3.5K | +87.5% | $0.00 | 7.5K | Dec 4, 2021 | Direct | F5 |
| Id | Content |
|---|---|
| F1 | Pursuant to an inheritance, Bruce J. Spohler became co-trustee of a trust in which he and certain members of his immediate family are beneficiaries (the "Spohler Trust"), which owns 100,000 shares, and became the manager of a limited liability company in which he owns a pro rata interest (the "Spohler LLC"), which owns 130,697 shares. Mr. Spohler disclaims beneficial ownership of the shares held by the Spohler Trust and the Spohler LLC, except to the extent of his pecuniary interest. |
| F2 | The total includes 100,000 shares held by the Spohler Trust (which are reported as having been received on this Form 5), 130,697 shares held by the Spohler LLC (which are reported as having been received on this Form 5), 87,874 shares of the Issuer held by Solar Capital Partners Employee Stock Plan, LLC (the "SCP Plan"). The SCP Plan is controlled by SLR Capital Partners LLC (f/k/a Solar Capital Partners, LLC) ("SLR Capital Partners"). 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. |
| F3 | (Continued from Footnote (2)) In addition, the total includes 455,500 shares of the Issuer held by Solar Senior Capital Investors, LLC ("Solar Senior Investors") and 100 shares of the Issuer held by SLR Capital Management, LLC (f/k/a Solar Capital Management, LLC) ("SLR Management"), a portion of both of which may be deemed to be indirectly beneficially owned by Messrs. Spohler and Gross by virtue of their collective ownership interest therein. |
| F4 | Mr. Spohler disclaims beneficial ownership of any of the Issuer's securities directly held by the SCP Plan, Solar Senior Investor, 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. |
| F5 | Mr. Spohler inherited 3,500 in an individual retirement account |
This Form 5/A is being filed to report additional shares that were received pursuant to the inheritance on December 4, 2021.