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SLRC on Nasdaq

SLR Investment Corp.

American company, incorporated in Maryland, listed on Nasdaq (SLRC)1

In its 2026 annual report the company says: “SLR Investment Corp., a Maryland corporation formed in November 2007, is a closed-end, externally managed, non-diversified management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. In addition, for U.S. federal income tax purposes, the Company has elected to be treated, and intends to qualify annually, as a regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended.”4 It is headquartered in New York, New York.1

$11.56 up 0.26 (2.30%)Price as of Oct 15, 2026 at 17:33 UTC

Last updated Oct 21, 2026.

Overview

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  • TickerSLRC on Nasdaq1
  • HeadquartersNew York, New York1
  • Incorporated inMD3
  • Business address500 Park Avenue, 3Rd Floor, New York, Ny 100223
  • Filer categoryLarge accelerated filer3

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SLR Investment Corp. (the “Company”, “SLRC”, “we” or “our”), a Maryland corporation formed in November 2007, is a closed-end, externally managed, non-diversified management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940, as amended (the “1940 Act”). Furthermore, as the Company is an investment company, it continues to apply the guidance in Financial Accounting Standards Board (“FASB”) Accounting Standards Codification (“ASC”) Topic 946. In addition, for U.S. federal income tax purposes, the Company has elected to be treated, and intends to qualify annually, as a regulated investment company (“RIC”) under Subchapter M of the Internal Revenue Code of 1986, as amended (the “Code”).4 From its latest annual report

Financials

From the company’s reports to the SEC. Every number links to the filing it came from.

Financial statements

Net income567$92.5M in 2025+55% since 2021
0$25.0M$50.0M$75.0M$100.0M2021: $59.6M$59.6M20212022: $18.3M$18.3M2022−69%2023: $76.4M$76.4M2023+316%2024: $95.8M$95.8M2024+25%2025: $92.5M$92.5M2025−3%

Every line of the income statement as filed: the last 3 fiscal years, latest first.7

Period ending2025-12-312024-12-312023-12-31
Total investment income$218.5M$232.4M$229.3M
Management fees$31.2M$31.4M$31.7M
Performance-based incentive fees$21.7M$24.0M$22.9M
Interest and other credit facility expenses$67.9M$71.5M$72.5M
Administrative services expense$5.8M$5.5M$5.9M
Other general and administrative expenses$5.0M$3.9M$4.8M
Total expenses$131.7M$136.3M$137.7M
Performance-based incentive fees waived-$48.0K-$153.0K-$500.0K
Net expenses$131.6M$136.1M$137.2M
Net investment income$86.9M$96.3M$92.1M
Net realized gain (loss) on investments and cash equivalents:$1.6M-$2.3M-$28.0M
Net change in unrealized gain (loss) on investments$4.0M$1.7M$12.3M
Net realized and unrealized gain (loss) on investments and cash equivalents$5.6M-$553.0K-$15.7M
Net increase in net assets resulting from operations$92.5M$95.8M$76.4M
EARNINGS PER SHARE, Basic$1.70$1.76$1.40
EARNINGS PER SHARE, Diluted$1.70$1.76$1.40

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Corporate structure

SLR Investment Corp. sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of SLR Investment Corp.

  • THORNBURG INVESTMENT MANAGEMENT INC Filed SCHEDULE 13G on SLR Investment Corp., latest Feb 19, 2026 (6 filings since Feb 7, 2022)
  • Michael S. Gross Filed SC 13D/A on SLR Investment Corp., latest Mar 8, 2024 (4 filings since Feb 14, 2022)
  • Wellington Management Company Filed SC 13G/A on SLR Investment Corp., latest Feb 4, 2022
  • SLR Investment Corp. New York, New York

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What SLR Investment Corp. reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Properties, in its own words

Our offices are located at 500 Park Avenue, New York, New York 10022, and are provided by SLR Capital Management in accordance with the terms of the Administration Agreement. We believe that our office facilities are suitable and adequate for our business as it is presently conducted.

Item 2 of the 10-K filed Feb 24, 2026.4

Leadership

Who has led SLR Investment Corp., and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. Bruce J. Spohler2022

Chief financial officer

  1. Nicholas Radesca2010
  2. Richard Peteka2012–2022
  3. Shiraz Kajee2023

Chief operating officer

  1. Bruce J. Spohler2010–2014
201520202025
Board members and other officers (9)

Former names

  • Solar Capital Ltd.Dec 7, 2007 to Feb 24, 20213

Timeline

  1. Aug 4, 20268-K Results of operations25
  2. May 5, 20268-K Results of operations26
  3. Feb 24, 20268-K Results of operations27
  4. Nov 20, 20258-K Shareholder vote28
  5. Nov 4, 20258-K Results of operations29
  6. Aug 5, 20258-K Results of operations30
  7. May 7, 20258-K Results of operations31
  8. Feb 28, 20258-K Entered a material agreement32
  9. Feb 25, 20258-K Results of operations33
  10. Nov 21, 20248-K Shareholder vote34
  11. Nov 6, 20248-K Results of operations35
  12. Aug 19, 20248-K Entered a material agreement; New debt or obligation36
  13. Feb 14, 2022New chief executive Bruce J. Spohler becomes CEO12

Calendar

Coming up

  1. Nov 3, 2026 · After the closeReports results for the quarter ending Sep/2026 A year earlier it reported $0.40 a share, on Nov 4, 2025.37

When it reported results

  1. Aug 4, 2026Reported quarterly or annual results25
  2. May 5, 2026Reported quarterly or annual results26
  3. Feb 24, 2026Reported quarterly or annual results27
  4. Nov 4, 2025Reported quarterly or annual results29
  5. Aug 5, 2025Reported quarterly or annual results30
  6. May 7, 2025Reported quarterly or annual results31
  7. Feb 25, 2025Reported quarterly or annual results33
  8. Nov 6, 2024Reported quarterly or annual results35

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

179 filings to the SEC since October 2021: 5 annual reports, 15 quarterly reports, 50 major events, 52 insider forms, 11 large holders, 46 other. The latest 20:

  1. Oct 7, 2026DEFA14A EDGAR
  2. Oct 7, 2026DEFA14A EDGAR
  3. Oct 7, 2026DEF 14A EDGAR
  4. Sep 11, 20264 EDGAR
  5. Aug 4, 202610-Q EDGAR
  6. Aug 4, 20268-K EDGAR
  7. May 14, 20264 EDGAR
  8. May 5, 202610-Q EDGAR
  9. May 5, 20268-K EDGAR
  10. Mar 17, 20264 EDGAR
  11. Mar 17, 20264 EDGAR
  12. Mar 17, 20264 EDGAR
  13. Mar 6, 202640-17G EDGAR
  14. Mar 5, 20264 EDGAR
  15. Mar 5, 20264 EDGAR
  16. Feb 24, 202610-K EDGAR
  17. Feb 24, 20268-K EDGAR
  18. Feb 19, 2026SCHEDULE 13G EDGAR
  19. Nov 20, 20258-K EDGAR
  20. Nov 4, 202510-Q EDGAR

The 179 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

55 open-market trades by officers, directors and large owners since October 2021: 52 buys and 3 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Sep 10, 2026GROSS MICHAEL SSee RemarksBuy20,000$12.35$247.0KForm 4
May 13, 2026GROSS MICHAEL SSee RemarksBuy10,000$13.10$131.0KForm 4
May 12, 2026GROSS MICHAEL SSee RemarksBuy10,000$13.09$130.9KForm 4
Mar 16, 2026GROSS MICHAEL SSee RemarksBuy10,452$13.90$145.3KForm 4
Mar 13, 2026GROSS MICHAEL SSee RemarksBuy25,000$13.91$347.8KForm 4
Mar 4, 2026GROSS MICHAEL SSee RemarksBuy15,019$14.83$222.7KForm 4
Mar 4, 2026SPOHLER BRUCE JSee RemarksBuy15,019$14.83$222.7KForm 4
Mar 3, 2026GROSS MICHAEL SSee RemarksBuy89,800$14.73$1.3MForm 4
Mar 3, 2026SPOHLER BRUCE JSee RemarksBuy89,800$14.73$1.3MForm 4
Sep 9, 2025Roberts Andrea ColvinDirectorBuy7,190$16.73$120.3KForm 4
Mar 5, 2025GROSS MICHAEL SSee RemarksBuy36,822$17.51$644.8KForm 4
Mar 5, 2025SPOHLER BRUCE JSee RemarksBuy36,822$17.51$644.8KForm 4
Mar 4, 2025GROSS MICHAEL SSee RemarksBuy43,200$17.64$762.0KForm 4
Mar 4, 2025SPOHLER BRUCE JSee RemarksBuy43,200$17.64$762.0KForm 4
Jun 14, 2024Roberts Andrea ColvinDirectorBuy25,000$15.98$399.5KForm 4
Mar 8, 2024GROSS MICHAEL SSee RemarksBuy22,636$15.74$356.3KForm 4
Mar 8, 2024SPOHLER BRUCE JSee RemarksBuy22,636$15.74$356.3KForm 4
Mar 7, 2024GROSS MICHAEL SSee RemarksBuy46,700$15.72$734.1KForm 4
Mar 7, 2024SPOHLER BRUCE JSee RemarksBuy46,700$15.72$734.1KForm 4
Mar 6, 2024GROSS MICHAEL SSee RemarksBuy46,700$15.44$721.0KForm 4

All 55 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 100. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Thornburg Investment Management Inc4,708,772$58.2M0.6%+75,341
Jpmorgan Chase & Co1,247,941$15.6M0.0%−14,035
Van Eck Associates Corp1,104,114$13.7M0.0%+219,110
UBS Group AG614,510$7.6M0.0%+45,270
Aristotle Capital Boston, LLC613,753$7.6M0.5%−141,419
Franklin Resources Inc549,089$6.8M0.0%−19,313
Muzinich & Co., Inc.544,210$6.7M2.3%+5,367
Condor Capital Management462,362$5.7M0.4%+107,498
Legal & General Group Plc446,125$5.5M0.0%+25,444
Sumitomo Mitsui Trust Group, Inc.381,476$4.7M0.0%+2,588
Morgan Stanley366,907$4.5M0.0%+102,727
Commonwealth Equity Services, LLC360,603$4.5M0.0%+256,281
Ensign Peak Advisors, Inc354,452$4.4M0.0%−95,548
Epiq Partners, LLC349,772$4.3M1.8%−74,921
Clear Harbor Asset Management, LLC339,975$4.2M0.3%+117,502
Raymond James Financial Inc331,948$4.1M0.0%−12,363
Trexquant Investment LP264,976$3.3M0.0%+127,222
Intrepid Family Office LLC240,000$3.0M2.7%No change
Advisors Asset Management, Inc.232,891$2.9M0.0%+4,932
Royal Bank Of Canada231,903$2.9M0.0%+5,935
Two Sigma Investments, LP225,258$2.8M0.0%−227,107
BlackRock, Inc.203,141$2.5M0.0%−8,557
Sei Investments Co190,034$2.4M0.0%−60,136
Hennion & Walsh Asset Management, Inc.183,960$2.3M0.1%−17,063
North Ground Capital168,000$2.1M2.5%New

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How SLR Investment Corp. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARSLR Investment Corp.1
  • CIK0001418076
  • Employer ID (EIN)26-13813404
  • Filer statusLarge accelerated filer not an emerging growth company; not a smaller reporting company; not a shell company4
  • Incorporated inMaryland4
  • Fiscal year endsDecember 311
  • Business address500 Park Avenue, 3Rd Floor, New York, NY 100221
  • Phone(212) 993-16701
  • Shares outstanding54,554,634 as of Jul 31, 202610
  • Public float$803.6M as of Jun 30, 20254
  • AuditorKPMG LLP, New York PCAOB ID 185; it also attests to the company’s internal control over financial reporting4
  • On EDGAR sinceDec 7, 20071
  • Filings635 in all: 8-K (152), 4 (105), 10-Q (50), SC 13G/A (36), DEFA14A (32), CORRESP (25), N-2/A (20), 10-K (17)1
    All 50 form types

    DEF 14A (17), 40-17G (16), SC 13G (15), 425 (14), 497AD (13), 497 (12), EFFECT (12), POS 8C (12), PRE 14A (12), 3 (11), POS EX (8), N-2 (7), 40-APP/A (6), 4/A (4), UPLOAD (3), 305B2 (2), 40-APP (2), 5/A (2), 8-A12B (2), APP NTC (2), N-23C-2 (2), SC 13D (2), SC 13D/A (2), SCHEDULE 13G (2), 10-K/A (1), 144 (1), 25-NSE (1), 424B2 (1), 424B3 (1), 5 (1), 8-K/A (1), APP ORDR (1), CERTNAS (1), CERTNYS (1), D (1), N-14 8C (1), N-14 8C/A (1), N-2 POSASR (1), N-2ASR (1), N-54A (1), N-6F (1), PRER14A (1)

  • Latest filingsAnnual report (10-K) Feb 24, 2026
    Quarterly report (10-Q) Aug 4, 2026
    Proxy statement (DEF 14A) Oct 7, 2026
    Latest 8-K (8-K) Aug 4, 2026

Securities registered for trading

ClassSymbolExchange
Common Stock, par value $0.01 per shareSLRCThe NASDAQ Global Select Market

From the cover page of the 10-K filed Feb 24, 2026 (Section 12(b) of the Exchange Act).4

Risk factors and legal proceedings

The risks SLR Investment Corp. names in Item 1A of its 10-K filed Feb 24, 2026: 76 risks under these headings, as written.4

  • Risks Relating to Our Investments
  • We operate in a highly competitive market for investment opportunities.
  • Our investments are very risky and highly speculative.
  • Unsecured Loans and Preferred Securities.
  • The lack of liquidity in our investments may make it difficult for us to dispose of our investments at a favorable price, which may adversely affect our ability to meet our investment objectives.
  • Our portfolio may be concentrated in a limited number of portfolio companies and industries, which will subject us to a risk of significant loss if any of these companies performs poorly or defaults on its obligations under any of its debt instruments or if there is a downturn in a particular industry.
  • Our investments in securities rated below investment grade are speculative in nature and are subject to additional risk factors such as the increased possibility of default, illiquidity of the security, and changes in value based on changes in interest rates.
  • Price declines and illiquidity in the corporate debt markets have adversely affected, and may continue to adversely affect, the fair value of our portfolio investments, reducing our net asset value through increased net unrealized depreciation. Any unrealized depreciation that we experience on our loan portfolio may be an indication of future realized losses, which could reduce our income available for distribution and could adversely affect our ability to service our outstanding borrowings.
  • Economic sanction laws in the United States and other jurisdictions may prohibit us and our affiliates from transacting with certain countries, individuals and companies.
  • If we cannot obtain additional capital because of either regulatory or market price constraints, we could be forced to curtail or cease our new lending and investment activities, our net asset value could decrease and our level of distributions and liquidity could be affected adversely.
  • We may suffer a loss if a portfolio company defaults on a loan and the underlying collateral is not sufficient.
  • The business, financial condition and results of operations of our portfolio companies could be adversely affected by worldwide economic conditions, as well as political and economic conditions in the countries in which they conduct business.
The other 65 risks
  • Our failure to make follow-on investments in our portfolio companies could impair the value of our portfolio.
  • Where we do not hold controlling equity interests in our portfolio companies, we may not be in a position to exercise control over our portfolio companies or to prevent decisions by management of our portfolio companies that could decrease the value of our investments.
  • Prepayments of our debt investments by our portfolio companies could adversely impact our results of operations and reduce our return on equity.
  • We may choose to waive or defer enforcement of covenants in the debt securities held in our portfolio, which may cause us to lose all or part of our investment in these companies.
  • Our loans could be subject to equitable subordination by a court which would increase our risk of loss with respect to such loans.
  • An investment strategy focused primarily on privately held companies presents certain challenges, including the lack of available information about these companies, a dependence on the talents and efforts of only a few key portfolio company personnel and a greater vulnerability to economic downturns.
  • Our portfolio companies may incur debt that ranks equally with, or senior to, our investments in such companies.
  • Our investments in foreign securities may involve significant risks in addition to the risks inherent in U.S. investments.
  • We may expose ourselves to risks if we engage in hedging transactions.
  • Our Investment Adviser may not be able to achieve the same or similar returns as those achieved for other funds it currently manages or by our senior investment professionals while they were employed at prior positions.
  • We may be exposed to higher risks with respect to our investments that include original issue discount or PIK interest.
  • Risks Relating to an Investment in Our Securities
  • Our shares may trade at a substantial discount from net asset value and may continue to do so over the long term.
  • Our common stock price may be volatile and may decrease substantially.
  • Our businesses may be adversely affected by litigation and regulatory proceedings.
  • There is a risk that investors in our equity securities may not receive distributions consistent with historical levels or at all or that our distributions may not grow over time and a portion of our distributions may be a return of capital.
  • We may reduce or defer our dividends and choose to incur U.S. federal excise tax in order to preserve cash and maintain flexibility.
  • We may choose to pay distributions in our own common stock, in which case our stockholders may be required to pay U.S. federal income taxes in excess of the cash distributions they receive.
  • Sales of substantial amounts of our common stock in the public market may have an adverse effect on the market price of our common stock.
  • We may be unable to invest the net proceeds raised from any offerings on acceptable terms or allocate net proceeds from any offering of our securities in ways with which you may not agree.
  • The net asset value per share of our common stock may be diluted if we issue or sell shares of our common stock at prices below the then current net asset value per share of our common stock or securities to subscribe for or that are convertible into shares of our common stock.
  • If we issue preferred stock, the net asset value and market value of our common stock may become more volatile.
  • Our board of directors is authorized to reclassify any unissued shares of common stock into one or more classes of preferred stock, which could convey special rights and privileges to its owners.
  • To the extent we use debt or preferred stock to finance our investments, changes in interest rates will affect our cost of capital and net investment income.
  • We may in the future determine to fund a portion of our investments with preferred stock, which would magnify the potential for loss and the risks of investing in us in a similar way as our borrowings.
  • Our stock repurchase program could affect the price of our common stock and increase volatility and may be suspended or terminated at any time, which may result in a decrease in the trading price of our common stock.
  • Risks Relating to Our Business and Structure
  • We are dependent upon SLR Capital Partners’ key personnel for our future success.
  • Our business model depends to a significant extent upon strong referral relationships with financial sponsors, and the inability of the senior investment professionals of our Investment Adviser to maintain or develop these relationships, or the failure of these relationships to generate investment opportunities, could adversely affect our business.
  • A disruption in the capital markets and the credit markets could negatively affect our business.
  • Our financial condition and results of operations will depend on SLR Capital Partners’ ability to manage our future growth effectively by identifying, investing in and monitoring companies that meet our investment criteria.
  • We may need to raise additional capital to grow because we must distribute most of our income.
  • Any failure on our part to maintain our status as a BDC would reduce our operating flexibility and we may be limited in our investment choices as a BDC.
  • Regulations governing our operation as a BDC affect our ability to, and the way in which we will, raise additional capital. As a BDC, the necessity of raising additional capital may expose us to risks, including the typical risks associated with leverage.
  • Our credit ratings may not reflect all risks of an investment in our debt securities.
  • Our stockholders may experience dilution in their ownership percentage if they opt out of our dividend reinvestment plan.
  • We have and will continue to borrow money, which would magnify the potential for loss on amounts invested and may increase the risk of investing in us.
  • It is likely that the terms of any current or future long-term or revolving credit or warehouse facility we may enter into in the future could constrain our ability to grow our business.
  • Our quarterly and annual operating results are subject to fluctuation as a result of the nature of our business, and if we fail to achieve our investment objective, the net asset value of our common stock may decline.
  • Our investments may be in portfolio companies that may have limited operating histories and financial resources.
  • There will be uncertainty as to the value of our portfolio investments, which may impact our net asset value.
  • Our equity ownership in a portfolio company may represent a control investment. Our ability to exit an investment in a timely manner because we are in a control position or have access to inside information in the portfolio company could result in a realized loss on the investment.
  • There are significant potential conflicts of interest, including SLR Capital Partners’ management of other investment funds such as SCP Private Credit Income BDC LLC, SLR HC BDC LLC, and SLR Private Credit BDC II LLC, which could impact our investment returns, and an investment in SLR Investment Corp. is not an investment in SCP Private Credit Income BDC LLC, SLR HC BDC LLC, or SLR Private Credit BDC II LLC.
  • Our ability to enter into transactions involving derivatives and financial commitment transactions may be limited.
  • We may be obligated to pay our Investment Adviser incentive compensation even if we incur a loss.
  • Our incentive fee may induce SLR Capital Partners to pursue speculative investments.
  • We may become subject to corporate-level U.S. federal income tax if we are unable to qualify and maintain our qualification for tax treatment as a regulated investment company under Subchapter M of the Code.
  • We may have difficulty satisfying the Annual Distribution Requirement in order to qualify and maintain RIC tax treatment if we recognize income before or without receiving cash representing such income.
  • Provisions of the Maryland General Corporation Law and of our charter and bylaws could deter takeover attempts and have an adverse impact on the price of our common stock.
  • Our bylaws designate the Circuit Court for Baltimore City, Maryland as the sole and exclusive forum for certain types of actions and proceedings that may be initiated by our stockholders and provide that claims relating to causes of action under the Securities Act may only be brought in federal district courts, which could limit our stockholders’ ability to obtain a favorable judicial forum for disputes with us or our directors, officers or agents, if any, and could discourage lawsuits against us and our directors, officers and agents, if any.
  • The failure in cyber security systems, as well as the occurrence of events unanticipated in our disaster recovery systems and management continuity planning could impair our ability to conduct business effectively.
  • We, our Investment Adviser and our portfolio companies are subject to risks associated with cyber-attacks.
  • We can be highly dependent on information systems and systems failures could significantly disrupt our business, which may, in turn, negatively affect the market price of our common stock and our ability to pay distributions.
  • Any inability or perceived inability to adequately address privacy concerns, or comply with applicable laws and regulations, even if unfounded, may result in adverse consequences to the Company.
  • Our board of directors may change our investment objective, operating policies and strategies without prior notice or stockholder approval.
  • Changes in laws or regulations governing our operations may adversely affect our business.
  • Changes to United States tariff and import/export regulations may have a negative effect on our portfolio companies and, in turn, harm us.
  • Our Investment Adviser can resign on 60 days’ notice, and we may not be able to find a suitable replacement within that time, resulting in a disruption in our operations that could adversely affect our financial condition, business and results of operations.
  • General Risk Factors
  • Volatility or a prolonged disruption in the credit markets could materially damage our business.
  • Global economic, regulatory and market conditions may adversely affect our business, results of operations and financial condition, including our revenue growth and profitability.
  • Events outside of our control, including public health crises, could negatively affect our portfolio companies and our results of our operations.
  • The continued uncertainty related to the sustainability and pace of economic recovery in the U.S. and globally could have a negative impact on our business.
  • There is uncertainty surrounding potential legal, regulatory and policy changes by the current presidential administration in the United States that may directly affect financial institutions and the global economy.
  • The alternative reference rates that have replaced LIBOR in our credit arrangements and other financial instruments may not yield the same or similar economic results as LIBOR over the life of such transactions.
  • Inflation and a rising interest rate environment may adversely affect the business, results of operations and financial condition of us and our portfolio companies.
  • Inflation may cause the real value of our investments to decline.
  • Adverse developments affecting the financial services industry, such as actual events or concerns involving liquidity, defaults or non-performance by financial institutions or transactional counterparties, could have a material adverse effect on us, the Investment Adviser and our portfolio companies.

Legal proceedings

We and our consolidated subsidiaries are not currently subject to any material legal proceedings, nor, to our knowledge, is any material legal proceeding threatened against us or our consolidated subsidiaries. From time to time, we and our consolidated subsidiaries may be a party to certain legal proceedings in the ordinary course of business, including proceedings relating to the enforcement of our rights under contracts with our portfolio companies. While the outcome of these legal proceedings cannot be predicted with certainty, we do not expect that any such proceedings will have a material effect upon our financial condition or results of operations.

The opening of Item 3, Legal Proceedings.4

Sources

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