| Schedule 12-14 |
Schedule
12-14
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 December 31, 2022.
|
Portfolio
Company/Type of Investment (1)
|
|
Principal
Amount/Shares/ Ownership
%
at December 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
December 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 |
|
|
$ |
- |
|
|
$ |
- |
|
|
|
- |
|
|
$ |
(785,118 |
) |
|
$ |
3,656,647 |
|
| Unsecured loan Consolidated BL Note 6.33% due 12/31/2023 |
|
$ |
1,381,586 |
|
|
|
87,454 |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
| 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 |
|
|
|
- |
|
|
|
158,159 |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
26,840 |
|
|
|
184,999 |
|
| 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 |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
(46,784 |
) |
|
|
1,698,329 |
|
| Rockfish
Seafood Grill, Inc. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| First Lien Loan, 8% Cash, 6.0% PIK, due 3/31/2018 |
|
$ |
6,352,944 |
|
|
|
602,939 |
|
|
|
12,294,480 |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
(1,585,512 |
) |
|
|
10,708,968 |
|
| Revolving Loan, 8% PIK, due 12/31/2023 |
|
$ |
2,251,000 |
|
|
|
137,561 |
|
|
|
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 |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
(172,549 |
) |
|
|
- |
|
| Membership
Interest – Class A (3) |
|
|
99.997 |
% |
|
|
- |
|
|
|
1,552,896 |
|
|
|
- |
|
|
|
- |
|
|
|
- |
|
|
|
(1,552,896 |
) |
|
|
- |
|
| Total
Control Investments |
|
|
|
|
|
$ |
827,954 |
|
|
$ |
22,615,962 |
|
|
$ |
- |
|
|
$ |
- |
|
|
$ |
- |
|
|
$ |
(4,116,019 |
) |
|
$ |
18,499,943 |
|
|
(1) |
Represents an illiquid investment. |
|
(2) |
Includes PIK interest. |
|
(3) |
Non-income producing security. |
|