Gross Michael S's Form 4 filing
SLR Investment Corp. (SLRC) · filed Mar 7, 2023
- Accession no.
- 0000899243-23-007432
- Filed
- Mar 7, 2023
- Trade date
- Mar 3-7, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market purchases total $2.38M. 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 3, 2023 | Common Stock | MOption exerciseDisposed | −138,033.47 | – | – | 2,942,876.53 | Indirect | |
| Mar 3, 2023 | Common Stock | AGrant or awardAcquired | +138,033.47 | – | – | 3,080,910 | Indirect | |
| Mar 3, 2023 | Common Stock | PPurchaseAcquired | +50,443 | $15.57 | +$785,397.51 | 3,131,353 | Indirect | |
| Mar 6, 2023 | Common Stock | PPurchaseAcquired | +53,294 | $15.69 | +$836,182.86 | 3,184,647 | Indirect | |
| Mar 7, 2023 | Common Stock | PPurchaseAcquired | +48,421 | $15.66 | +$758,272.86 | 3,233,068 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 3, 2023 | Common Stock | MOption exerciseDisposed | −138,033.47 | $0.00 | $0 | 64,106.15 | 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.