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Federal Register / Vol. 86, No. 87 / Friday, May 7, 2021 / Notices
All submissions should refer to File Number SREMERALD202117. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commissions internet website http www.sec.gov/
rules/sro.shtml. Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and printing in the Commissions Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change.
Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SREMERALD202117 and should be submitted on or before May 28, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.16
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202109644 Filed 5621; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Investment Company Act Release No.
34263; File No. 81215111

Trinity Capital, Inc.
May 3, 2021.

Securities and Exchange Commission Commission.
ACTION: Notice.
AGENCY:

Notice of an application for an order under section 6c of the Investment Company Act of 1940 the Act for an exemption from sections 23a, 23b and 63 of the Act; under sections 16 17

CFR 200.303a12.

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57a4 and 57i of the Act and rule 17d1 under the Act permitting certain joint transactions otherwise prohibited by section 57a4 of the Act; and under section 23c3 of the Act for an exemption from section 23c of the Act.
SUMMARY OF THE APPLICATION: Trinity Capital, Inc. Company or Applicant requests an order that would permit Applicant to i issue restricted shares of its common stock Restricted Stock as part of the compensation package for its nonemployee directors the Non-Employee Directors 1 through its 2019 Company Non-Employee Director Restricted Stock Plan the Non-Employee Director Plan, ii issue Restricted Stock as part of the compensation package for Employee Participants, excluding the Non-Employee Directors, through its 2019 Company Long Term Incentive Plan the Long Term Incentive Plan, iii withhold shares of the Applicants common stock or purchase shares of Applicants common stock from Employee Participants to satisfy tax withholding obligations relating to the vesting of Restricted Stock or the exercise of options to purchase shares of Applicants common stock Options that will be granted pursuant to the Long Term Incentive Plan 2 and iv permit Employee Participants to pay the exercise price of Options that will be granted to them pursuant to the Long Term Incentive Plan with shares of Applicants common stock.
APPLICANT: Trinity Capital, Inc.
FILING DATES: The application was filed on March 19, 2020, and amended on July 29, 2020, January 6, 2021, and April 29, 2021.
HEARING OR NOTIFICATION OF HEARING:
An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing by emailing the Commissions Secretary at SecretarysOffice@sec.gov and serving applicant with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30
p.m. on May 24, 2021, and should be accompanied by proof of service on applicant, in the form of an affidavit or, for lawyers, a certificate of service.
Pursuant to rule 05 under the Act, hearing requests should state the nature 1 Employees, officers and employee directors, together the Employee Participants and each an Employee Participant. The Employee Participants and the Non-Employee Directors, together the Participants and each, a Participant.
2 No relief is sought in the application for the grant of Options to Non-Employee Directors because Options will not be granted pursuant to the Non-Employee Director Plan.

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of the writers interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by emailing the Commissions Secretary at SecretarysOffice@sec.gov.
ADDRESSES: The Commission:
Secretarys-Office@sec.gov. Applicant:
Steven L. Brown, Chief Executive Officer, Trinity Capital, Inc., 3075 West Ray Road, Suite 525, Chandler, Arizona 85226, sstanton@
trincapinvestment.com.
FOR FURTHER INFORMATION CONTACT:
Stephan N. Packs, Senior Counsel, at 202 5516853, or David J. Marcinkus, Branch Chief, at 202 5516825, Division of Investment Management, Chief Counsels Office.
SUPPLEMENTARY INFORMATION: The following is a summary of the application. The complete application may be obtained via the Commissions website by searching for the file number, or for the applicant using the Company name box, at http
www.sec.gov/search/search.htm or by calling 202 5518090.
Applicants Representations 1. The Company is an internally managed, non-diversified, closed-end investment company that has elected to be regulated as a business development company BDC under the Act.
Applicant provides debt, and to a lesser extent equipment lease financing, to growth stage companies. Applicants investment objective is to generate current income and, to a lesser extent, capital appreciation. Applicant is a Maryland corporation that was formed in August 2019. Applicant had 26,415,275 shares of Common Stock outstanding as of April 26, 2021.
Applicants common stock is listed on the Nasdaq Global Select Market under the symbol TRIN. As of December 31, 2020, Applicant had 34 employees and Applicants total assets were $559,708,000.
2. Applicant currently has a fivemember board of directors the Board of whom three are Non-Employee Directors and non-interested persons of Applicant within the meaning of section 2a19.
3. Applicant believes that, because the market for superior investment professionals is highly competitive, Applicants successful performance depends on its ability to offer fair compensation packages to its professionals that are competitive with those offered by other investment management businesses. Applicant
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