Gross Michael S's Form 4 filing
SLR Investment Corp. (SLRC) · filed Mar 17, 2026
- Accession no.
- 0001193125-26-111679
- Filed
- Mar 17, 2026, 9:55 PM ET
- Trade date
- Mar 13-16, 2026
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market purchases total $493.1K. 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 13, 2026 | Common Stock | MOption exerciseDisposed | −354,511.3826 | –F2 | – | 3,635,189.6174 | Indirect | |
| Mar 13, 2026 | Common Stock | AGrant or awardAcquired | +354,511.3826 | –F2 | – | 3,989,701 | Indirect | |
| Mar 13, 2026 | Common Stock | PPurchaseAcquired | +25,000 | $13.91F8 | +$347,857.5 | 4,014,701 | Indirect | |
| Mar 16, 2026 | Common Stock | PPurchaseAcquired | +10,452 | $13.90F9 | +$145,246.22 | 4,025,153 | 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 13, 2026 | Restricted Stock Units | ELess common codeDisposed | −10,986.5968 | –F10 | – | 785,936.8193 | Indirect | Duplicate filing |
| Mar 13, 2026 | Common Stock | MOption exerciseDisposed | −354,511.3826 | $0.00 | $0 | 198,870.1697 | Indirect | Duplicate filing |
| Mar 13, 2026 | Common Stock | AGrant or awardDisposed | −466,378.4286 | $0.00 | $0 | 466,378.4286 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Michael S. Gross and Bruce J. Spohler, as administrators of the Solar Capital Partners Employee Stock Plan, LLC (the "SCP Plan"), elected to settle 354,511.3826 restricted stock units ("RSUs") previously granted to employees by paying their cash value as contemplated by the RSUs, which cash settlement may be deemed to be a purchase of the shares underlying the previously granted RSUs. The shares that may be deemed to have been acquired were previously reported as beneficially owned due to Mr. Gross's partial pecuniary interest as described in footnotes 3, 4, 5 and 6. The settlement was approved in advance in accordance with Rule 16b-3.
Referenced by the price of 2 transactions in Table I.
- F8
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 March 13, 2026 is based on prices ranging from a low of $13.86 per share to a high of $13.97 per share. The reporting person undertakes to provide to 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 above.
Referenced by the price of 1 transaction in Table I.
- F9
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 March 16, 2026 is based on prices ranging from a low of $13.85 per share to a high of $13.90 per share. The reporting person undertakes to provide to 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 above.
Referenced by the price of 1 transaction in Table I.
- F10
The RSUs with respect to 10,986.5698 shares held by the SCP Plan granted to certain of SLR Capital Partners's employees terminated without value. The RSUs could have been settled in shares of the Issuer's common stock or the cash value thereof on a one-for-one basis at the election of the SCP Plan administrators, Messrs. Gross and Spohler. Messrs. Gross and Spohler may be deemed to beneficially own the shares held by the SCP Plan by virtue of their collective ownership interest in SLR Capital Partners. Each of the expiring classes of RSUs were outstanding for more than six months at the time of expiration. Expirations relate to the 2024 and 2025 grants of RSUs.
Referenced by the price of 1 transaction in Table II.
Remarks
Co-Chief Executive Officer, President, Chairman of the Board