Annual report pursuant to Section 13 and 15(d)

Schedule 12-14

Schedule 12-14

12 Months Ended

Dec. 31, 2022

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.

The table below represents the fair value of control and affiliate investments at December 31, 2020 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, 2021.

Portfolio Company/Type of Investment ⁽¹⁾	Principal Amount/Shares/ Ownership % at December 31 2021			Amount of Interest and Dividends Credited in Income		Fair Value at December 31, 2020		Purchases ⁽²⁾		Sales			Transfers from Restructuring/ Transfers into Control Investments		Change in Unrealized Gains/(Losses)			Fair Value at December 31, 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	$	-	$	-			-	$	1,433,557		$	4,441,765
Unsecured loan Consolidated BL Note 6.33% due 12/31/2022	$	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.
Second Lien Loan, 12.0% Cash, 6% PIK due, 3/31/2020 ^{(2) (3)}	$	1,516,144			-		-		-		-			-		158,159			158,159
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		-		-			-		86,433			1,745,113
Rockfish Seafood Grill, Inc.
First Lien Loan, 8% Cash, 6.0% PIK, due 3/31/2018 ⁽³⁾	$	6,352,944			-		6,910,188		-		-			-		5,384,292			12,294,480
Revolving Loan, 8% PIK, due 12/31/2022	$	2,251,000			475,402		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⁾		10.0	%		-		-		-		-			-		172,549			172,549
Membership Interest – Class A ⁽³⁾		99.997	%		-		-		-		-			-		1,552,896			1,552,896
Total Control Investments				$	562,856	$	14,280,391	$	97,401	$	(230,570	)	$	-	$	8,468,740		$	22,615,962

⁽¹⁾	Represents an illiquid investment.

⁽²⁾	Includes PIK interest.

⁽³⁾	Non-income producing security.