Gross Michael S's Form 4 filing
SLR Investment Corp. (SLRC) · filed Dec 5, 2022
- Accession no.
- 0000899243-22-037714
- Filed
- Dec 5, 2022, 8:12 PM ET
- Trade date
- Dec 1-2, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market purchases total $1.10M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gross Michael SCIK 0001186884 | Director, Officer (See Remarks) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2022 | Common Stock | MOption exerciseDisposed | −116,068.821 | – | – | 2,827,422.179 | Indirect | |
| Dec 1, 2022 | Common Stock | AGrant or awardAcquired | +116,068.821 | – | – | 2,943,491 | Indirect | |
| Dec 1, 2022 | Common Stock | PPurchaseAcquired | +17,932 | $14.99 | +$268,800.68 | 2,961,423 | Indirect | |
| Dec 2, 2022 | Common Stock | PPurchaseAcquired | +55,800 | $14.97 | +$835,398.54 | 3,017,223 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2022 | Restricted Stock Units | MOption exerciseDisposed | −116,068.821 | – | – | 73,927.3245 | Indirect | Duplicate filing |
| Dec 1, 2022 | Restricted Stock Units | ELess common codeDisposed | −23,454.619 | – | – | 128,212.2965 | Indirect | Duplicate filing |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.