SLR Investment Corp. 10-Q

Item 5. Other Information Rule 10b5-1 Trading Plans During the fiscal quarter ended September 30, 2023, none of our directors or officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted or terminated any contract, instruction or written plan for the purchase or sale of our securities to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act or any “non-Rule 10b5-1 trading arrangement” as defined in Item 408(c) of Regulation S-K. Item 6. Exhibits The following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the SEC: Exhibit Number Description 2.1 Agreement and Plan of Merger among SLR Investment Corp., SLR Senior Investment Corp., Solstice Merger Sub, Inc. and SLR Capital Partners, LLC (for the limited purposes set forth therein), dated as of December 1, 2021(4) 3.1 Articles of Amendment and Restatement(1) 3.2 Second Amended and Restated Bylaws(4) 4.1 Form of Common Stock Certificate(2) 4.2 Indenture, dated as of November 16, 2012, between the Registrant and U.S. Bank National Association as trustee(3) 23.1 Awareness Letter of Independent Registered Public Accounting Firm* 31.1 Certification of Co-Chief Executive Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended.* 31.2 Certification of Co-Chief Executive Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended.* 31.3 Certification of Chief Financial Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended.* 32.1 Certification of Co-Chief Executive Officer pursuant to Section 906 of The Sarbanes-Oxley Act of 2002.* 32.2 Certification of Co-Chief Executive Officer pursuant to Section 906 of The Sarbanes-Oxley Act of 2002.* 32.3 Certification of Chief Financial Officer pursuant to Section 906 of The Sarbanes-Oxley Act of 2002.* 101.INS Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.* 101.SCH Inline XBRL Taxonomy Extension Schema Document* 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document* 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document* 61 Table of Contents Exhibit Number Description 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document* 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document* 104 Cover Page Interactive Data File – The cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. (1) Previously filed in connection with SLR Investment Corp.’s registration statement on Form N-2 Pre-Effective Amendment No. 7 (File No. 333-148734) filed on January 7, 2010. (2) Previously filed in connection with SLR Investment Corp.’s registration statement on Form N-2 (File No 333-148734) filed on February 9, 2010. (3) Previously filed in connection with SLR Investment Corp.’s registration statement on Form N-2 Post-Effective Amendment No. 6 (File No. 333-172968) filed on November 16, 2012. (4) Previously filed in connection with SLR Investment Corp.’s report on Form 8-K filed on December 1, 2021. * Filed herewith. 62 Table of Contents SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized on November 7, 2023. SLR INVESTMENT CORP. By: /s/ M ICHAEL S. G ROSS Michael S. Gross Co-Chief Executive Officer (Principal Executive Officer) By: /s/ B RUCE J. S POHLER Bruce J. Spohler Co-Chief Executive Officer (Principal Executive Officer) By: /s/ S HIRAZ Y. K AJEE Shiraz Y. Kajee Chief Financial Officer (Principal Financial and Accounting Officer) 63