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SLR Investment Corp

For the period ended Mar 31, 2024. Filed May 8, 2024.

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About this filing

A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Mar 31, 2024 · Filed May 8, 2024

SLRC$11.81-1.4%Stored close · as of Nov 6, 2026

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM

10-Q

☒Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

For the Quarter Ended March 31,

☐Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Commission File Number:

814-00754

(Exact name of registrant as specified in its charter)

Maryland26-1381340
(State of Incorporation)(I.R.S. EmployerIdentification No.)
500 Park AvenueNew York, N.Y.10022
(Address of principal executive offices)(Zip Code)

(212)993-1670

(Registrant’s telephone number, including area code)

Securities registered pursuant to Section 12(b) of the Act:

Title of Each ClassTradingSymbol(s)Name of Each Exchangeon Which Registered
Common Stock, par value $0.01 per shareSLRCThe NASDAQ Global Select Market

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.

Yes

☒ No ☐

Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of

Regulation S-T

(§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).

Yes

☒ No ☐

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a

non-accelerated

filer, a smaller reporting company or an emerging growth company. See definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule

12b-2

of the Exchange Act.

Large accelerated filer☒Accelerated filer☐
Non-accelerated filer☐Smaller Reporting company☐
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. ☐

Indicate by check mark whether the registrant is a shell company (as defined in Rule

12b-2

of the Exchange Act). Yes ☐ No☒

The number of shares of the registrant’s Common Stock, $0.01 par value, outstanding as of May 6, 2024 was 54,554,634.

FORM

10-Q

FOR THE QUARTER ENDED MARCH 31, 2024

TABLE OF CONTENTS

PAGE
PART I. FINANCIAL INFORMATION
Item 1. · Financial Statements
Consolidated Statements of Assets and Liabilities as of March 31, 2024 (unaudited) and December 31, 20233
Consolidated Statements of Operations for the three months ended March 31, 2024 (unaudited) and the three months ended March 31, 2023 (unaudited)4
Consolidated Statements of Changes in Net Assets for the three months ended March 31, 2024 (unaudited) and the three months ended March 31, 2023 (unaudited)5
Consolidated Statements of Cash Flows for the three months ended March 31, 2024 (unaudited) and the three months ended March 31, 2023 (unaudited)6
Consolidated Schedule of Investments as of March 31, 2024 (unaudited)7
Consolidated Schedule of Investments as of December 31, 202318
Notes to Consolidated Financial Statements (unaudited)29
Report of Independent Registered Public Accounting Firm51
Item 2.Management’s Discussion and Analysis of Financial Condition and Results of Operations52
Item 3.Quantitative and Qualitative Disclosures About Market Risk70
Item 4.Controls and Procedures71
PART II. OTHER INFORMATION
Item 1.Legal Proceedings71
Item 1A.Risk Factors71
Item 2.Unregistered Sales of Equity Securities, Use of Proceeds and Issuer Purchases of Equity Securities71
Item 3.Defaults Upon Senior Securities71
Item 4.Mine Safety Disclosures72
Item 5.Other Information72
Item 6.Exhibits72
Signatures73
ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.