Gross Michael S 的 Form 4 申報
SLR Investment Corp.（SLRC），2026/3/17 申報
- 申報編號
- 0001193125-26-111679
- 申報時間
- 2026/3/17 21:55 ET
- 交易日
- 2026/3/13-3/16
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 4 筆非衍生性交易、3 筆衍生性交易。公開市場買進合計 $49.3 萬。交易後 4 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Gross Michael SCIK 0001186884 | 董事、高階主管（見申報備註） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2026/3/13 | Restricted Stock Units | E少見代碼處分 | −10,986.5968 | –F10 | – | 785,936.8193 | 間接 | 重複申報 |
| 2026/3/13 | Common Stock | M行使選擇權處分 | −354,511.3826 | $0.00 | $0 | 198,870.1697 | 間接 | 重複申報 |
| 2026/3/13 | Common Stock | A公司授予處分 | −466,378.4286 | $0.00 | $0 | 466,378.4286 | 間接 | 重複申報 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 2 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 II 有 1 筆交易的價格引用這則附註。
備註
Co-Chief Executive Officer, President, Chairman of the Board