Quarterly report pursuant to Section 13 or 15(d)

Schedule 12-14 (Tables)

v3.22.2.2
Schedule 12-14 (Tables)
 9 Months Ended
Sep. 30, 2022
Condensed Financial Information Disclosure [Abstract]  
Schedule of fair value of control and affiliate investments
Portfolio Company/Type of Investment (1)   Principal
Amount/Shares/
Ownership % at
September 30,
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
September 30,
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     $             -     $ -     $    -     $ (397,721 )   $ 4,044,044  
Unsecured loan Consolidated BL Note 6.33% due 12/31/2022   $ 1,381,586       65,411       -       -       -       -       -       -  
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       -       -       -       48,654       206,813  
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       -       -       -       (19,066 )     1,726,047  
Rockfish Seafood Grill, Inc.                                                                
First Lien Loan, 8% Cash, 6.0% PIK, due 3/31/2018   $ 6,352,944       413,463       12,294,480       -       -       -       (2,557,237 )     9,737,243  
Revolving Loan, 8% PIK, due 12/31/2022   $ 2,251,000       91,541       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           $ 570,415     $ 22,615,962     $ -     $ -     $ -     $ (4,650,815 )   $ 17,965,147  


Portfolio Company/Type of Investment (1) 		 

Principal
Amount/Shares/
Ownership %
at September 30, 
2021

     Amount of
Interest and
Dividends
Credited
in Income		     Fair Value at
December 31,
2020		     Purchases (2)     Sales     Change in
Unrealized
Gains/(Losses)		     Fair Value at
September 30,
2021		  
Control Investments                                          
Advantis Certified Staffing Solutions, Inc.                                          
Second Lien Loan, 12.0% Cash, due 11/30/2021(3)   $ 4,500,000     $
-
     $ 3,008,208     $
-
     $
-
     $ 1,507,113     $ 4,515,321  
Unsecured loan Consolidated BL Note 6.33% due 12/31/2021   $ 1,381,586       65,411      
-
      
-
      
-
      
-
      
-
  
Common Stock – Series A (3)     225,000      
-
      
-
      
-
      
-
      
-
      
-
  
Common Stock – Series B (3)     9,500,000      
-
      
-
      
-
      
-
      
-
      
-
  
Warrant for 250,000 Shares ofSeries 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      
-
      
-
      
-
      
-
      
-
      
-
  
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      
-
       1,658,680      
-
      
-
       102,441       1,761,121  
Rockfish Seafood Grill, Inc.                                                        
First Lien Loan, 8% Cash, 6.0% PIK, due 3/31/2018 (3)   $ 6,352,944      
-
       6,910,188      
-
      
-
       5,072,136       11,982,324  
Revolving Loan, 8% Cash, due 12/31/2021   $ 2,251,000       429,381       2,703,315       97,401       (230,570 )     (319,146 )     2,251,000  
Rockfish Holdings, LLC                                                        

Warrant for Membership Interest, exercise price $0.001 per 1% membership interest, expires 7/28/2028 (3)

     10.000 %    
-
      
-
      
-
      
-
       311,946       311,946  
Membership Interest – Class A (3)     99.997 %    
-
      
-
      
-
      
-
       2,807,427       2,807,427  
Total Control Investments           $ 494,792     $ 14,280,391     $ 97,401     $ (230,570 )   $ 9,481,917     $ 23,629,139