| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/31/2019 |
3. Issuer Name and Ticker or Trading Symbol
TPG Specialty Lending, Inc. [ TSLX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock(1) | 2,123.2845 | D | |
| Common Stock(1) | 1,947.5365 | I | See Explanation of Responses(2) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. Mr. Burke is Chief Compliance Officer, Secretary and Vice President of the Issuer and an employee of an affiliate of TSL Advisers, LLC and Tarrant Advisors, Inc. TSL Advisers, LLC and Tarrant Advisors, Inc. directly hold an aggregate of 2,730,980 shares of Common Stock of the Issuer. Mr. Burke disclaims beneficial ownership of the shares of Common Stock that are or may be directly held by TSL Advisers, LLC, Tarrant Advisors, Inc. or any of their respective affiliates. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that Mr. Burke is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities of the Issuer directly held by TSL Advisers, LLC, Tarrant Advisors, Inc. or any of their affiliates. |
| 2. Shares held in an account over which Mr. Burke has investment discretion, for the benefit of a family member. |
| Remarks: |
| (3) Jennifer Gordon is signing on behalf of Kenneth Burke pursuant to the authorization and designation letter dated February 6, 2019, which is attached hereto as an exhibit. |
| /s/ Jennifer Gordon, on behalf of Kenneth Burke (3) | 02/08/2019 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
February 6, 2019
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Securities and Exchange Commission 100 F Street, NE Washington, DC 20549
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This letter confirms that David Stiepleman and Jennifer Gordon are authorized and designated to sign all securities related filings under Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, with the Securities and Exchange Commission, including Form ID Acknowledgements, on my behalf. This authorization and designation shall be valid until I am no longer required to make such filings, unless earlier revoked in writing.
Very truly yours,
/s/ Kenneth Burke
Kenneth Burke