Quarterly report pursuant to Section 13 or 15(d)

Schedule 12-14

Schedule 12-14

3 Months Ended

Mar. 31, 2023

Schedule 12-14

The table below represents the fair value of control and affiliate investments at December 31, 2022 and any amortization, purchases, sales, and realized and change in unrealized gain (loss) made to such investments, as well as the ending fair value as of March 31, 2023.

Portfolio Company/Type of Investment ⁽¹⁾	Principal Amount/Shares/ Ownership % at March 31, 2023			Amount of Interest and Dividends Credited in Income		Fair Value at December 31, 2022		Purchases ⁽²⁾		Sales		Transfers from Restructuring/ Transfers into Control Investments		Change in Unrealized Gains/(Losses)			Fair Value at March 31, 2023
Control Investments
Advantis Certified Staffing Solutions, Inc.
Second Lien Loan, 12.0% Cash, due 11/30/2021⁽³⁾	$	4,500,000		$	-	$	3,656,647	$	-	$	-	$	-	$	(271,833	)	$	3,384,814
Unsecured loan Consolidated BL Note 6.33% due 12/31/2023	$	1,381,586			21,564		-		-		-		-		-			-
Common Stock – Series A ⁽³⁾		225,000			-		-		-		-		-		-			-
Common Stock – Series B ⁽³⁾		9,500,000			-		-		-		-		-		-			-
Warrant for 250,000 Shares of Series A Common Stock, exercise price $0.01 per share, expires 1/1/2027⁽³⁾		1			-		-		-		-		-		-			-
Warrant for 700,000 Shares of Series A Common Stock, exercise price $0.01 per share, expires 1/1/2027⁽³⁾		1			-		-		-		-		-		-			-
Dominion Medical Management, Inc.
First Lien Loan, 12.0% Cash, 6% PIK due, 3/31/2020 ^{(2) (3)}	$	1,516,144			-		184,999		-		-		-		(9,044	)		175,955
Integrated Medical Partners, LLC
Preferred Membership – Class A units ⁽³⁾		800			-		-		-		-		-		-			-
Preferred Membership – Class B units ⁽³⁾		760			-		-		-		-		-		-			-
Common Units ⁽³⁾		14,082			-		-		-		-		-		-			-
PCC SBH Sub, Inc.
Common Stock ⁽³⁾		100			-		1,698,329		-		-		-		(39,076	)		1,659,253
Rockfish Seafood Grill, Inc.
First Lien Loan, 8% Cash, 6.0% PIK, due 3/31/2018	$	6,352,944			188,199		10,708,968		-		-		-		(769,111	)		9,939,857
Revolving Loan, 8% PIK, due 12/31/2023	$	2,251,000			45,020		2,251,000		-		-		-		-			2,251,000
Rockfish Holdings, LLC
Warrant for Membership Interest, exercise price $0.001 per 1% membership interest, expires 7/28/2028 ⁽³⁾		10.0	%		-		-		-		-		-		-			-
Membership Interest – Class A ⁽³⁾		99.997	%		-		-		-		-		-		-			-
Total Control Investments				$	254,783	$	18,499,943	$	-	$	-	$	-	$	(1,089,064	)	$	17,410,879

⁽¹⁾	Represents an illiquid investment.
⁽²⁾	Includes PIK interest.
⁽³⁾	Non-income producing security.

The table below represents the fair value of control and affiliate investments at December 31, 2021 and any amortization, purchases, sales, and realized and change in unrealized gain (loss) made to such investments, as well as the ending fair value as of March 31, 2022.

Portfolio Company/Type of Investment ⁽¹⁾	Principal Amount/Shares/ Ownership % at March 31, 2022			Amount of Interest and Dividends Credited in Income		Fair Value at December 31, 2021		Purchases ⁽²⁾		Sales		Transfers from Restructuring/ Transfers into Control Investments		Change in Unrealized Gains/(Losses)			Fair Value at March 31, 2022
Control Investments
Advantis Certified Staffing Solutions, Inc.
Second Lien Loan, 12.0% Cash, due 11/30/2021⁽³⁾	$	4,500,000		$	-	$	4,441,765	$	-	$	-	$	-	$	22,855		$	4,464,620
Unsecured loan Consolidated BL Note 6.33% due 12/31/2022	$	1,381,586			21,564		-		-		-		-		-			-
Common Stock – Series A ⁽³⁾		225,000			-		-		-		-		-		-			-
Common Stock – Series B ⁽³⁾		9,500,000			-		-		-		-		-		-			-
Warrant for 250,000 Shares of Series A Common Stock, exercise price $0.01 per share, expires 1/1/2027⁽³⁾		1			-		-		-		-		-		-			-
Warrant for 700,000 Shares of Series A Common Stock, exercise price $0.01 per share, expires 1/1/2027⁽³⁾		1			-		-		-		-		-		-			-
Dominion Medical Management, Inc.
Second Lien Loan, 12.0% Cash, 6% PIK due, 3/31/2020 ^{(2) (3)}	$	1,516,144			-		158,159		-		-		-		(78,159	)		80,000
Integrated Medical Partners, LLC
Preferred Membership – Class A units ⁽³⁾		800			-		-		-		-		-		-			-
Preferred Membership – Class B units ⁽³⁾		760			-		-		-		-		-		-			-
Common Units ⁽³⁾		14,082			-		-		-		-		-		-			-
PCC SBH Sub, Inc.
Common Stock ⁽³⁾		100			-		1,745,113		-		-		-		(39,925	)		1,705,188
Rockfish Seafood Grill, Inc.
First Lien Loan, 8% Cash, 6.0% PIK, due 3/31/2018 ⁽³⁾	$	6,352,944			45,020		12,294,480		-		-		-		(158,367	)		12,136,113
Revolving Loan, 8% PIK, due 12/31/2022	$	2,251,000			-		2,251,000		-		-		-		-			2,251,000
Rockfish Holdings, LLC
Warrant for Membership Interest, exercise price $0.001 per 1% membership interest, expires 7/28/2028 ⁽³⁾		10.0	%		-		172,549		-		-		-		(149,011	)		23,538
Membership Interest – Class A ⁽³⁾		99.997	%		-		1,552,896		-		-		-		(1,341,061	)		211,835
Total Control Investments				$	66,584	$	22,615,962	$	-	$	-	$	-	$	(1,743,668	)	$	20,872,294

⁽¹⁾	Represents an illiquid investment.
⁽²⁾	Includes PIK interest.
⁽³⁾	Non-income producing security.