Current Report Filing (8-k)
January 12 2022 - 9:01AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT
REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): January 6, 2022
SLR Investment Corp.
(Exact name of registrant as specified in its charter)
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MARYLAND
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814-00754
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26-1381340
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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500 Park Avenue,
New York, NY
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10022
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrants telephone number, including area code:
(212) 993-1670
Not Applicable
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing
obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under
the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange
on which registered
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Common stock, par value $0.01 per share
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SLRC
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The NASDAQ Global Select Market
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR
§230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ☐
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 1.01. Entry into a Material Definitive Agreement.
On January 6, 2022, SLR Investment Corp. (the Company) entered into a Fifth Supplement to Note Purchase Agreement, dated as of January 6,
2022 (the Supplement), to that certain Note Purchase Agreement dated as of November 8, 2016 (the NPA). Pursuant to the Supplement, on January 6, 2022, the Company issued to certain institutional investors, in a
private placement, $135 million in aggregate principal amount of five-year, 3.33% unsecured notes due January 6, 2027 (the Series 2016F Notes), as an additional series of notes under the NPA. Except as set forth in the
Supplement, the Series 2016F Notes have the same terms as the Series 2016A, Series 2016B, Series 2016C, Series 2016D and Series 2016E notes that were previously issued pursuant to the NPA, and the first supplement, second supplement, third
supplement and fourth supplement thereto, respectively. Interest on the Series 2016F Notes will be payable semi-annually on January 6 and July 6 of each year, commencing July 6, 2022. The NPA also contains customary terms and
conditions for unsecured notes issued in a private placement.
The description above is only a brief summary of the material provisions of the Supplement
and is qualified in its entirety by reference to the Supplement, which is attached hereto as Exhibit 10.1 and incorporated by reference herein.
Item 2.03. Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
of a Registrant.
The disclosure set forth above under Item 1.01 is incorporated by reference herein.
Item 7.01. Regulation FD Disclosure.
On
January 6, 2022 the Company issued a press release describing the issuance of the Series 2016F Notes, which is attached hereto as Exhibit 99.1 and incorporated by reference herein.
The information disclosed under this Item 7.01, including Exhibit 99.1 hereto, is being furnished and shall not be deemed filed for purposes of
Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, except as expressly set forth by specific reference in such filing.
Item 9.01. Financial Statements and Exhibits.
(a)
Not applicable.
(b) Not applicable.
(c) Not applicable.
(d) Exhibits.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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SLR Investment Corp.
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Date: January 12, 2022
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By:
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/s/ Richard L. Peteka
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Richard L. Peteka
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Secretary
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