Sec Form 13G Filing - GROSS MICHAEL S @ SLR Investment Corp.

Sec Form 13G Filing - GROSS MICHAEL S filing for SLR Investment Corp. (SLRC) - 2022-03-02

Insider filing report for Changes in Beneficial Ownership

Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.

"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

SCHEDULE 13G/A

Amendment No. 8

(Rule 13d-102)

UNDER THE SECURITIES EXCHANGE ACT OF 1934

SLR Investment Corp.

(Name of Issuer)

Common Stock, par value $0.01 per share

(Title of Class of Securities)

83413U100

(CUSIP Number)

December 31, 2021

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)


CUSIP No. 83413U100		13G/A

*	SEE INSTRUCTIONS BEFORE FILLING OUT.

**	SEE ITEM 4(B).


CUSIP No. 83413U100		13G/A

*	SEE INSTRUCTIONS BEFORE FILLING OUT.

**	SEE ITEM 4(B).


CUSIP No. 83413U100		13G/A

*	SEE INSTRUCTIONS BEFORE FILLING OUT.

**	SEE ITEM 4(B).


CUSIP No. 83413U100		13G/A

*	SEE INSTRUCTIONS BEFORE FILLING OUT.

**	SEE ITEM 4(B).


CUSIP No. 83413U100		13G/A

*	SEE INSTRUCTIONS BEFORE FILLING OUT.

**	SEE ITEM 4(B).

Introductory Note for Schedule 13G

This Amendment No. 8 to the Schedule 13G (this “Amendment No. 8”) is being filed to update the information set forth in the initial Schedule 13G filed with the Securities and Exchange Commission on February 17, 2015 (the “Original Schedule 13G”), the information set forth in Amendment No. 1 to the Original Schedule 13G filed with the Securities and Exchange Commission on November 16, 2015 (“Amendment No. 1”), the information set forth in Amendment No. 2 to the Original Schedule 13G filed with the Securities and Exchange Commission on February 5, 2016 (“Amendment No. 2”), the information set forth in Amendment No. 3 to the Original Schedule 13G filed with the Securities and Exchange Commission on February 9, 2017 (“Amendment No. 3”), the information set forth in Amendment No. 4 to the Original Schedule 13G filed with the Securities and Exchange Commission on February 13, 2018 (“Amendment No. 4”), the information set forth in Amendment No. 5 to the Original Schedule 13G filed with the Securities and Exchange Commission on February 10, 2020 (“Amendment No. 5”), the information set forth in Amendment No. 6 to the Original Schedule 13G filed with the Securities and Exchange Commission on February 16, 2021 (“Amendment No. 6”), and the information set forth in Amendment No. 7 to the Original Schedule 13G filed with the Securities and Exchange Commission on February 14, 2022 (“Amendment No. 7” and collectively with the Original Schedule 13G and Amendment No. 1, Amendment No. 2, Amendment No. 3, Amendment No. 4, Amendment No. 5, Amendment No. 6, the “Schedule 13G”). This Amendment No. 8 is filed on behalf of Mr. Michael S. Gross; Mr. Bruce J. Spohler; Solar Capital Investors, LLC, a Delaware limited liability company (“Solar I”); Solar Capital Investors II, LLC, a Delaware limited liability company (“Solar II”); and the 2013 Grantor Retained Annuity Trust setup by and for Mr. Gross and for which he acts as sole trustee (the “GRAT”) to report their beneficial ownership of common stock, par value $0.01 per share (the “Common Stock”) of Solar Capital, Ltd., a Maryland corporation (the “Issuer”).

The Schedule 13G is hereby amended and restated to read as follows:

Item 1(a)

Name of Issuer.

SLR Investment Corp.

Item 1(b)

Address of Issuer’s Principal Executive Offices.

500 Park Avenue

New York, NY 10022

Item 2(a)

Name of Person Filing.

Mr. Michael S. Gross, Mr. Bruce J. Spohler, Solar Capital Investors, LLC (“Solar I”), Solar Capital Investors II, LLC (“Solar II”) and the 2013 Grantor Retained Annuity Trust (“GRAT”).

Item 2(b)

Address of Principal Business Office for All Reporting Persons.

500 Park Avenue

New York, NY 10022

Item 2(c)

Citizenship or Place of Organization.

Each of Mr. Gross and Mr. Spohler is a United States citizen. Each of Solar I and Solar II is a limited liability company organized under the laws of the State of Delaware. The GRAT is a trust organized under the laws of the State of New York.

Item 2(d)

Title of Class of Securities.

Common Stock, par value $0.01 per share (the “Common Stock”).

Item 2(e)

CUSIP Number.

83413U100.

Item 3

Reporting Person.

Not Applicable.

Item 4

Ownership.

(a)

Mr. Gross is the beneficial owner of 2,705,638 shares of Common Stock. Mr. Spohler is the beneficial owner of 2,582,680 shares of Common Stock. Solar I is the beneficial owner of 1,285,013 shares of Common Stock. Solar II is the beneficial owner of 715,000 shares of Common Stock. The GRAT is the beneficial owner of 20,000 shares of Common Stock.

(b)

Mr. Gross is the beneficial owner of 6.4% of the outstanding Common Stock, and Mr. Spohler is the beneficial owner of 6.1% of the outstanding Common Stock. Solar I is the beneficial owner of 3.0% of the outstanding Common Stock, and Solar II is the beneficial owner of 1.7% of the outstanding Common Stock. The GRAT is the beneficial owner of less than 0.1% of the outstanding Common Stock.

(c)

(i) Mr. Gross has sole voting and dispositive power with respect to 455,620 shares of Common Stock through his personal accounts, as the sole trustee of the GRAT and other family trusts and a profit sharing plan in which Mr. Gross is the sole participant. Mr. Gross, as a controlling member of Solar I, Solar II and Solar Capital Partners, LLC (“Solar Partners”), which controls Solar Capital Partners Employee Stock Plan, LLC (the “SCP Plan”), has shared voting and dispositive power with respect 2,250,018 shares of Common Stock, which are held by Solar I, Solar II and the SCP Plan.

(ii) Mr. Spohler has sole voting and dispositive power with respect to 211,156 shares of Common Stock through his personal accounts and a family LLC of which he is the manager. As a controlling member of Solar I, Solar II and a family trust of which he a co-trustee (the “Spohler Trust”), Mr. Spohler has shared voting and dispositive power with respect to 2,317,524 shares of Common Stock, which are held by Solar I, Solar II, the SCP Plan and the Spohler Trust.

(iii) As holder of the shares, Solar I has sole voting and dispositive power with respect to 1,285,013 shares of Common Stock.

(iv) As holder of the shares, Solar II has sole voting and dispositive power with respect to 715,000 shares of Common Stock.

(v) As holder of the shares, the GRAT has sole voting and dispositive power with respect to 20,000 shares of Common Stock.

Item 5

Ownership of Five Percent or Less of a Class.

Not Applicable.

Item 6

Ownership of More Than Five Percent on Behalf of Another Person.

Not Applicable.

Item 7

Identification and Classification of the Subsidiary which Acquired the Security Being Reported On by the Parent Holding Company.

Not Applicable.

Item 8

Identification and Classification of Members of the Group.

Not Applicable.

Item 9

Notice of Dissolution of Group.

Not Applicable.

Item 10

Certification.

Not Applicable.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: March 2, 2022

/s/ Michael S. Gross

Michael S. Gross

/s/ Bruce J. Spohler

Bruce J. Spohler


SOLAR CAPITAL INVESTORS, LLC

By:		/s/ Michael S. Gross
		Michael S. Gross
		Managing Member

SOLAR CAPITAL INVESTORS II, LLC

By:		/s/ Michael S. Gross
		Michael S. Gross
		Managing Member

2013 GRANTOR RETAINED ANNUITY TRUST

By:		/s/ Michael S. Gross
		Michael S. Gross
		Trustee

NAME OF REPORTING PERSONS

  I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

  Michael S. Gross

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐ (b) ☐

SEC USE ONLY

CITIZENSHIP OR PLACE OF ORGANIZATION

United States of America