| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SLRC | Common Stock | Purchase | $150K | +10K | +7.5% | $15.02 | 143K | Aug 17, 2023 | Direct | F1 |
| transaction | SLRC | Common Stock | Purchase | $300K | +20K | +13.95% | $15.02 | 163K | Aug 21, 2023 | Direct | F2 |
| holding | SLRC | Common Stock | 3.6M | Aug 17, 2023 | See Footnotes | F3, F4, F5, F6 |
| Id | Content |
|---|---|
| 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 August 17, 2023 is based on prices ranging from a low of $14.98 per share to a high of $15.05 per share. The reporting person undertakes to provide to SLR Investment Corp. (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 2. |
| F2 | 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 August 21, 2023 is based on prices ranging from a low of $14.96 per share to a high of $15.05 per share. |
| F3 | The total includes 642,716 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. 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. |
| F4 | (Continued from Footnote (3)) 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. |
| F5 | (Continued from Footnote (4)) 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. Since the previous Form 4, Mr. Gross contributed shares of common stock of the Issuer and a portion of his interest in Solar Capital I and Solar Capital II to the GRAT, but such contribution did not result in a change in pecuniary interest in securities of the Issuer for Mr. Gross or other holders of such entities. |
| F6 | (Continued from Footnote (5)) 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. |
Co-Chief Executive Officer, President, Chairman of the Board