HOCHBERG STEVEN

SEC source: 0000899243-22-036419 · doc4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,742

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on November 16, 2022 is based on prices ranging from a low of $13.9700 per share to a high of $14.0700 per share. The reporting person undertakes to provide to SLR Investment Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above.

SEC source: 0000899243-23-013794 · doc4a.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,742

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on November 16, 2022 is based on prices ranging from a low of $13.9700 per share to a high of $14.0700 per share. The reporting person undertakes to provide to SLR Investment Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above.

F2 · balance_after: This amendment to the Form 4 filed on November 18, 2022 is being filed to remove the disclosure of 19,258 shares of common stock of the Issuer that are held by an entity for which the reporting person is a managing trustee. Such shares were previously included in the Form 4 filed on November 18, 2022 by the reporting person but were not required to be included in the Form 4 filed on November 18, 2022 because the reporting person has no pecuniary interest in the 19,258 shares held by the entity for which the reporting person is a managing trustee. The reporting person is not deemed the beneficial owner of the securities held by this entity and does not need to report the securities held by this entity on his beneficial ownership reports. No other changes are being made hereby.

SEC source: 0000899243-22-035938 · doc4.xml · nonDerivative · entry 2

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 19,258

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions. The reported price for the share purchases made on November 11, 2022 is based on prices ranging from a low of $13.3600 per share to a high of $14.4000 per share. The reporting person undertakes to provide to SLR Investment Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price set forth above.

F2 · ownership.nature: 19,258 shares of common stock of the Issuer are held by an entity for which the reporting person is a managing trustee. The reporting person has no pecuniary interest in the 19,258 shares held by the entity for which the reporting person is a managing trustee.

SEC source: 0000899243-22-035582 · doc4.xml · nonDerivative · entry 2

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,858

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions. The reported price for the share purchases made on November 10, 2022 is based on prices ranging from a low of $13.9340 per share to a high of $14.0000 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price set forth above.

F3 · ownership.nature: 11,858 shares of common stock of the Issuer are held by an entity for which the reporting person is a managing trustee. The reporting person has no pecuniary interest in the 11,858 shares held by the entity for which the reporting person is a managing trustee.

SEC source: 0000899243-22-035582 · doc4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,742

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions. The reported price for the share purchases made on November 8, 2022 is based on prices ranging from a low of $13.6300 per share to a high of $13.8000 per share. The reporting person undertakes to provide to SLR Investment Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price set forth above.

SEC source: 0000899243-22-013898 · doc4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of December 1, 2021 (the "Merger Agreement"), by and among SLR Investment Corp. ("SLRC"), SLR Senior Investment Corp. ("SUNS"), Solstice Merger Sub, Inc. and SLR Capital Partners, LLC (for the limited purposes set forth therein), in exchange for 15,592 shares of common stock, par value $0.01 per share, of SLRC. Pursuant to the Merger Agreement, each share of SUNS's common stock, par value $0.01 per share, was converted into the right to receive 0.7796 shares of SLRC's common stock. The disposition reported in this Form 4 is an exempt transaction.

SEC source: 0000899243-22-013896 · doc4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,592

F1 · price: Acquired upon the completion of and pursuant to the transactions contemplated by the Agreement and Plan of Merger, dated as of December 1, 2021 (the "Merger Agreement"), by and among SLR Investment Corp. ("SLRC"), SLR Senior Investment Corp. ("SUNS"), Solstice Merger Sub, Inc. and SLR Capital Partners, LLC (for the limited purposes set forth therein), in exchange for 20,000 shares of common stock, par value $0.01 per share, of SUNS. Pursuant to the Merger Agreement, each share of SUNS's common stock was converted into the right to receive 0.7796 shares of SLRC's common stock, par value $0.01 per share. The acquisition reported in this Form 4 is an exempt transaction.

SEC source: 0000899243-22-029150 · doc4a.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,592

F1 · price: Acquired upon the completion of and pursuant to the transactions contemplated by the Agreement and Plan of Merger, dated as of December 1, 2021 (the "Merger Agreement"), by and among SLR Investment Corp. ("SLRC"), SLR Senior Investment Corp. ("SUNS"), Solstice Merger Sub, Inc. and SLR Capital Partners, LLC (for the limited purposes set forth therein), in exchange for 20,000 shares of common stock, par value $0.01 per share, of SUNS. Pursuant to the Merger Agreement, each share of SUNS's common stock, was converted into the right to receive 15,592 shares of SLRC's common stock, par value $0.01 per share. The acquisition reported in this Form 4 is an exempt transaction.

F2 · balance_after: This amendment to the Form 4 filed on April 5, 2022 is being filed to correct a typographical error in Column 5 of Table 1, which previously inadvertently included an incorrect total amount of securities beneficially owned directly by the reporting person. No other changes are being made hereby.

SEC source: 0001193805-22-000345 · e621360_4-hochberg.xml · derivative · entry 3

HOCHBERG STEVEN · CIK 0001034123 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through DFHTA Sponsor LLC

Disclosed balance after: 0

Underlying: Class A common stock · 2,916,667 shares

Expires 2026-06-08

F1 · kind: On February 11, 2022, DFHTA Sponsor LLC (the "Sponsor") distributed 3,768,750 shares of the Issuer's Class A common stock and 2,916,667 Private Placement Warrants to its members, on a pro rata basis for no consideration, in connection with the dissolution of the Sponsor.

F2 · ownership.direct: The Sponsor was the record holder of the securities reported herein as being held through the Sponsor. Mr. Hochberg is a manager of the Sponsor and shared voting and investment discretion with respect to the common stock held of record by the Sponsor. Mr. Hochberg disclaims beneficial ownership of the securities held by the Sponsor except to the extent of his pecuniary interest therein, if any.

SEC source: 0001193805-22-000345 · e621360_4-hochberg.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through DFHTA Sponsor LLC

Disclosed balance after: 0

F1 · kind: On February 11, 2022, DFHTA Sponsor LLC (the "Sponsor") distributed 3,768,750 shares of the Issuer's Class A common stock and 2,916,667 Private Placement Warrants to its members, on a pro rata basis for no consideration, in connection with the dissolution of the Sponsor.

F2 · ownership.direct: The Sponsor was the record holder of the securities reported herein as being held through the Sponsor. Mr. Hochberg is a manager of the Sponsor and shared voting and investment discretion with respect to the common stock held of record by the Sponsor. Mr. Hochberg disclaims beneficial ownership of the securities held by the Sponsor except to the extent of his pecuniary interest therein, if any.

SEC source: 0001193805-21-001591 · e621087_4-dfp.xml · derivative · entry 4

DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group

HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group

Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,177,543

Underlying: Class A Common Stock · 3,177,543 shares

Expires 2026-11-12

F6 · kind: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%.

F6 · price: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%.

F6 · derivative.underlying_shares: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%.

F6 · balance_after: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%.

F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor.

F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-21-001591 · e621087_4-dfp.xml · derivative · entry 3

DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group

HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group

Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 40 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.

F1 · kind: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration.

F4 · derivative.exercise_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.

F4 · derivative.expiration_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.

F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor.

F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-21-001591 · e621087_4-dfp.xml · derivative · entry 2

DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group

HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group

Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40

Underlying: Class A Common Stock · 707,960 shares

Expires not disclosed

F4 · derivative.exercise_price: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.

F5 · kind: In connection with, and immediately prior to, the closing of the Issuer's initial business combination, pursuant to the Stockholder Support Agreement, dated as of June 28, 2021, the Sponsor forfeited 707,960 shares of Class B Common Stock for no consideration.

F4 · derivative.exercise_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.

F4 · derivative.expiration_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.

F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor.

F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-21-001591 · e621087_4-dfp.xml · nonDerivative · entry 1

DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group

HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group

Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration.

F1 · price: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration.

F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor.

F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-21-000840 · e620697_4-hochberg.xml · derivative · entry 6

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Through DFHTA Sponsor LLC

Disclosed balance after: 2,916,667

Underlying: Class A common stock · 2,916,667 shares

Expires 2026-06-08

F5 · kind: DFHTA Sponsor LLC acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on July 21, 2020. As a result of the closing of the Business Combination, the Private Placement Warrants will become exercisable as of the date that is 12 months after the closing of the Issuer's initial public offering (i.e., July 21, 2021). The Private Placement Warrants will expire on June 8, 2026 or earlier upon redemption or liquidation.

F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the shares held indirectly by the Reporting Person. Mr. Hochberg is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Hochberg disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Mr. Hochberg previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors.

SEC source: 0001193805-21-000840 · e620697_4-hochberg.xml · derivative · entry 5

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Through DFHTA Sponsor LLC

Disclosed balance after: 0

Underlying: Class A common stock · 3,368,750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · kind: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · price: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · derivative.exercise_date: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · derivative.expiration_date: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the shares held indirectly by the Reporting Person. Mr. Hochberg is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Hochberg disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Mr. Hochberg previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors.

SEC source: 0001193805-21-000840 · e620697_4-hochberg.xml · derivative · entry 4

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 50,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · kind: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · price: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · derivative.exercise_date: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F3 · derivative.expiration_date: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F4 · ownership.direct: The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. The Reporting Person holds the securities for the benefit, and at the direction, of Deerfield Management Company, L.P.

SEC source: 0001193805-21-000840 · e620697_4-hochberg.xml · nonDerivative · entry 3

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Through DFHTA Sponsor LLC

Disclosed balance after: 3,768,750

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the shares held indirectly by the Reporting Person. Mr. Hochberg is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Hochberg disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Mr. Hochberg previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors.

SEC source: 0001193805-21-000840 · e620697_4-hochberg.xml · nonDerivative · entry 2

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock.

F4 · ownership.direct: The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. The Reporting Person holds the securities for the benefit, and at the direction, of Deerfield Management Company, L.P.

SEC source: 0001193805-21-000840 · e620697_4-hochberg.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner · Director by Deputization

10b5-1 filing: Not disclosed

Ownership: Indirect · Through DFHTA Sponsor LLC

Disclosed balance after: 400,000

F1 · kind: On June 8, 2021, immediately prior to, and conditioned upon the consummation of, CareMax, Inc.'s (formerly known as Deerfield Healthcare Technology Acquisitions Corp.) (the "Issuer") business combination with CareMax Medical Group, LLC and IMC Medical Group Holdings, LLC (the "Business Combination"), DFHTA Sponsor LLC acquired from the Issuer 400,000 shares of Class A common stock of the Issuer.

F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the shares held indirectly by the Reporting Person. Mr. Hochberg is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Hochberg disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Mr. Hochberg previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors.

SEC source: 0000899243-19-027340 · doc4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.53 to $20.61, inclusive. The Reporting Person undertakes to provide to Solar Capital Ltd. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Following the transaction reported herein, 5,000 shares of common stock of the Issuer were held by an entity for which the reporting person is a co-trustee. In addition, 5,000 shares of common stock of the Issuer were held by an entity for which the reporting person is a managing trustee. The reporting person has no pecuniary interest in the 5,000 shares held by the entity for which the reporting person is a managing trustee.

SEC source: 0001104659-19-063525 · a4.xml · derivative · entry 3

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,643,333

Underlying: Common Stock · 1,690,000 shares

Expires 2024-11-08

F3 · kind: Pursuant to the Amended and Restated Assignment Letter Agreement dated October 15, 2019, by and among Deerfield/RAB Ventures, LLC (the "Sponsor"), DFB Healthcare Acquisitions Corp. ("DFB") and AdaptHealth Holdings, LLC ("AdaptHealth"), the Sponsor transferred and assigned 2,373,152 of its founder shares of DFB and 1,690,000 warrants to purchase shares of DFB's Class A Common Stock held by the Sponsor to certain members and employees of AdaptHealth, for no consideration.

F3 · price: Pursuant to the Amended and Restated Assignment Letter Agreement dated October 15, 2019, by and among Deerfield/RAB Ventures, LLC (the "Sponsor"), DFB Healthcare Acquisitions Corp. ("DFB") and AdaptHealth Holdings, LLC ("AdaptHealth"), the Sponsor transferred and assigned 2,373,152 of its founder shares of DFB and 1,690,000 warrants to purchase shares of DFB's Class A Common Stock held by the Sponsor to certain members and employees of AdaptHealth, for no consideration.

F4 · ownership.nature: The securities are held directly by Deerfield/RAB Ventures, LLC and indirectly by Deerfield Private Design Fund IV, L.P., as member of Deerfield/RAB Ventures, LLC, Richard Barasch, as member and manager of Deerfield/RAB Ventures, LLC, and Steven Hochberg, as manager of Deerfield/RAB Ventures, LLC. Each of Deerfield Private Design Fund IV, L.P. and Messrs. Barasch and Hochberg disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001104659-19-063525 · a4.xml · nonDerivative · entry 2

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,672,500

F3 · kind: Pursuant to the Amended and Restated Assignment Letter Agreement dated October 15, 2019, by and among Deerfield/RAB Ventures, LLC (the "Sponsor"), DFB Healthcare Acquisitions Corp. ("DFB") and AdaptHealth Holdings, LLC ("AdaptHealth"), the Sponsor transferred and assigned 2,373,152 of its founder shares of DFB and 1,690,000 warrants to purchase shares of DFB's Class A Common Stock held by the Sponsor to certain members and employees of AdaptHealth, for no consideration.

F3 · price: Pursuant to the Amended and Restated Assignment Letter Agreement dated October 15, 2019, by and among Deerfield/RAB Ventures, LLC (the "Sponsor"), DFB Healthcare Acquisitions Corp. ("DFB") and AdaptHealth Holdings, LLC ("AdaptHealth"), the Sponsor transferred and assigned 2,373,152 of its founder shares of DFB and 1,690,000 warrants to purchase shares of DFB's Class A Common Stock held by the Sponsor to certain members and employees of AdaptHealth, for no consideration.

F4 · ownership.nature: The securities are held directly by Deerfield/RAB Ventures, LLC and indirectly by Deerfield Private Design Fund IV, L.P., as member of Deerfield/RAB Ventures, LLC, Richard Barasch, as member and manager of Deerfield/RAB Ventures, LLC, and Steven Hochberg, as manager of Deerfield/RAB Ventures, LLC. Each of Deerfield Private Design Fund IV, L.P. and Messrs. Barasch and Hochberg disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.

SEC source: 0001104659-19-063525 · a4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · kind: On November 8, 2019, in connection with (and immediately prior to) the consummation of the Issuer's initial business combination, Steven Hochberg transferred to AdaptHealth Holdings, LLC and certain of its equityholders and employees shares of the Issuer's common stock for no consideration.

F2 · balance_after: The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. The Reporting Person holds the securities for the benefit, and at the direction, of Deerfield Management Company, L.P.

SEC source: 0000899243-18-031253 · doc4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions. The reported price for the share purchases made on December 14, 2018 is based on prices ranging from a low of $20.31 per share to a high of $20.39 per share. The reporting person undertakes to provide to Solar Capital Ltd. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price set forth above.

SEC source: 0001104659-18-022203 · a4.xml · nonDerivative · entry 2

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,045,652

F3 · kind: 921,848 shares were forfeited to the Issuer at no cost in connection with the expiration of the underwriters' over-allotment option, as described in the Issuer's Registration Statement.

F3 · price: 921,848 shares were forfeited to the Issuer at no cost in connection with the expiration of the underwriters' over-allotment option, as described in the Issuer's Registration Statement.

F2 · balance_after: The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. The Reporting Person holds the securities for the benefit, and at the direction, of Deerfield Management Company, L.P.

F4 · ownership.nature: The shares are held directly by Deerfield/RAB Ventures, LLC and indirectly by the Reporting Person, as manager of Deerfield/RAB Ventures, LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-18-022203 · a4.xml · nonDerivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,087

F1 · kind: 3,913 shares were forfeited to the Issuer at no cost in connection with the expiration of the underwriters' over-allotment option, as described in the Issuer's registration statement on Form S-1, as amended (File No. 333-222376) (the "Registration Statement").

F1 · price: 3,913 shares were forfeited to the Issuer at no cost in connection with the expiration of the underwriters' over-allotment option, as described in the Issuer's registration statement on Form S-1, as amended (File No. 333-222376) (the "Registration Statement").

F2 · balance_after: The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. The Reporting Person holds the securities for the benefit, and at the direction, of Deerfield Management Company, L.P.

SEC source: 0001104659-18-011751 · a4.xml · derivative · entry 1

HOCHBERG STEVEN · CIK 0001034123 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,333,333

Underlying: Common Stock · 4,333,333 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants will become exercisable on the later of 30 days after the completion of the Issuer's initial business combination or February 21, 2019.

F2 · derivative.expiration_date: The warrants expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.

F3 · ownership.nature: The securities are held directly by Deerfield/RAB Ventures, LLC and indirectly by the Reporting Person, as manager of Deerfield/RAB Ventures, LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.