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): October 27, 2021
SLR Senior Investment Corp.
(Exact name of registrant as specified in its charter)
| Maryland | 814-00849 | 27-4288022 | ||
(State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||
500 Park Avenue, New York, NY | 10022 | |||
| (Address of Principal Executive Offices) | (Zip Code) | |||
Registrant’s 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:
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
| Common stock, par value $0.01 per share | SUNS | The NASDAQ Global Select Market |
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 5.07. Submission of Matters to a Vote of Security Holders
SLR Senior Investment Corp. (the “Company”) held its Annual Meeting of Stockholders on October 27, 2021 and submitted two matters to the vote of the stockholders. A summary of the matters voted upon by stockholders is set forth below.
1. Stockholders elected one director, who will serve for a three-year term to expire at the 2024 Annual Meeting of Stockholders based on the following votes:
NAME | VOTES FOR | VOTES WITHHELD | BROKER NON-VOTES | |||||||||
David S. Wachter | 5,261,514 | 1,242,172 | — | |||||||||
2. Stockholders ratified the appointment of KPMG LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021 based on the following votes:
FOR | AGAINST | ABSTAINED | BROKER NON-VOTES | |||||||||
11,654,733 | 190,512 | 39,411 | — | |||||||||
SIGNATURES
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.
| SLR Senior Investment Corp. | ||||||
| Date: October 29, 2021 | By: | /s/ Richard L. Peteka | ||||
| Richard L. Peteka | ||||||
| Secretary | ||||||