|
Jason B. Beauvais
執行副總裁兼總法律顧問 首席合規官兼祕書 Main Street Capital Corporation 1300 Post Oak Boulevard, 8th Floor Houston, TX 77056 |
| |
Harry S. Pangas, Esq.
Dechert LLP 1900 K Street, NW Washington, DC 20006-1110 |
|
| | ☐ | | | | 如果此表單上僅註冊的證券是根據股息或利息再投資計劃提供的,則選中此複選框。 | | |
| | | | |
如果根據1933年證券法(“證券法”)規則415,在此表格中註冊的任何證券將延遲或連續發售,則會選中此複選框,但與股息再投資計劃相關的證券除外。
|
| | |
| | | | | 如果此表格是根據一般説明A.2或其生效後修正案的註冊聲明,則選中此複選框。 | | | |
| | | | |
如果此表格是根據一般指示B或其生效後修訂的註冊聲明,將在根據證券法下的規則462(E)向委員會提交時生效。
|
| | |
| | ☐ | | | |
如果本表格是根據《證券法》第413(B)條規則413(B)註冊附加證券或附加類別證券的一般指示B提交的註冊聲明的事後修訂,則選中此複選框。
|
| |
| | 此申請是否建議生效(勾選相應的框): | | | ||||
| | ☐ | | | | 根據證券法第8(C)條宣佈生效 | | |
| | 如果合適,請選中以下框: | | | ||||
| | ☐ | | | | 此生效後的修訂為以前提交的註冊聲明指定了新的生效日期。 | | |
| | ☐ | | | |
根據證券法下的規則462(B)和證券法註冊聲明,提交此表格是為了註冊發行的額外證券。同一發行的較早生效註冊聲明的編號為 。
|
| |
| | ☐ | | | |
本表格是根據證券法第462(C)條提交的生效後修訂,同一發行的較早生效註冊聲明的證券法註冊聲明編號為 。
|
| |
| | ☐ | | | | 本表格是根據證券法第462(D)條提交的生效後修訂,同一發行的較早生效註冊聲明的證券法註冊聲明編號為 。 | | |
| | 選中每個適當描述註冊人特徵的複選框: | | | ||||
| | ☐ | | | | 註冊封閉式基金(根據1940年“投資公司法”(“投資公司法”)註冊的封閉式公司)。 | | |
| | | | | 業務發展公司(根據《投資公司法》打算或已經選擇作為業務發展公司進行監管的封閉式公司)。 | | | |
| | ☐ | | | |
間隔基金(根據《投資公司法》規則23c-3定期回購的註冊封閉式基金或商業發展公司)。
|
| |
| | | | | A.2合格(根據本表格A.2一般説明有資格註冊證券)。 | | | |
| | | | | 知名經驗豐富的發行商(根據證券法第405條的定義)。 | | | |
| | ☐ | | | | 新興成長型公司(根據1934年《證券交易法》(以下簡稱《交易法》)第12b-2條的定義)。 | | |
| | ☐ | | | | 如果是新興成長型公司,用複選標記表示註冊人是否已根據證券法第7(A)(2)(B)節選擇不使用延長的過渡期來遵守任何新的或修訂的財務會計準則。 | | |
| | ☐ | | | | 新註冊人(在本申請之前根據《投資公司法》註冊或監管的時間不到12個日曆月)。 | | |
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PROSPECTUS SUMMARY
|
| | | | 1 | | |
|
FEES AND EXPENSES
|
| | | | 8 | | |
|
FINANCIAL HIGHLIGHTS
|
| | | | 10 | | |
|
RISK FACTORS
|
| | | | 10 | | |
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有關前瞻性陳述的警示聲明
|
| | | | 10 | | |
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USE OF PROCEEDS
|
| | | | 11 | | |
|
普通股價格區間
|
| | | | 12 | | |
|
管理層對財務狀況的討論和分析
AND RESULTS OF OPERATIONS |
| | | | 12 | | |
|
PORTFOLIO COMPANIES
|
| | | | 13 | | |
|
SENIOR SECURITIES
|
| | | | 38 | | |
|
BUSINESS
|
| | | | 38 | | |
|
MANAGEMENT
|
| | | | 38 | | |
|
某些關係和關聯方交易
|
| | | | 38 | | |
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控制人和主要股東
|
| | | | 38 | | |
|
出售資產淨值以下的普通股
|
| | | | 39 | | |
|
股息再投資和直接購股計劃
|
| | | | 44 | | |
|
普通股説明
|
| | | | 45 | | |
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我們的優先股説明
|
| | | | 52 | | |
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我們的認購權説明
|
| | | | 53 | | |
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我們的債務證券説明
|
| | | | 54 | | |
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某些美國聯邦所得税考慮因素
|
| | | | 67 | | |
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REGULATION
|
| | | | 73 | | |
|
PLAN OF DISTRIBUTION
|
| | | | 74 | | |
|
託管人、轉賬和分銷支付代理和登記員
|
| | | | 76 | | |
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經紀業務分配和其他做法
|
| | | | 76 | | |
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LEGAL MATTERS
|
| | | | 76 | | |
|
獨立註冊會計師事務所
|
| | | | 76 | | |
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可用信息
|
| | | | 76 | | |
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引用合併
|
| | | | 77 | | |
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PRIVACY NOTICE
|
| | | | 77 | | |
| 股東交易費用: | | | | | | | |
|
銷售負荷(佔發行價的百分比)
|
| | | | —%(1) | | |
|
發售費用(佔發行價的百分比)
|
| | | | —%(2) | | |
|
股息再投資和直接購股計劃費用
|
| | | | —%(3) | | |
|
股東交易總費用(佔發行價的百分比)
|
| | | | —%(4) | | |
|
公司年度費用(佔普通股淨資產的百分比):
|
| | | | | | |
|
Operating expenses
|
| | | | 3.23%(5) | | |
|
借款付息
|
| | | | 3.57%(6) | | |
|
Income tax expense
|
| | | | 1.84%(7) | | |
|
收購基金手續費及費用
|
| | | | 0.30%(8) | | |
|
Total annual expenses
|
| | | | 8.94% | | |
| | |
1 Year
|
| |
3 Years
|
| |
5 Years
|
| |
10 Years
|
| ||||||||||||
假設1,000美元的投資,您將支付以下費用
a 5.0% annual return |
| | | $ | 88 | | | | | $ | 253 | | | | | $ | 405 | | | | | $ | 736 | | |
| | | | | | | | |
Price Range
|
| |
Premium of
High Closing Price to NAV(2) |
| |
Premium of
Low Closing Price to NAV(2) |
| |||||||||||||||
| | |
NAV(1)
|
| |
High
|
| |
Low
|
| |||||||||||||||||||||
Year ending December 31, 2022 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
First Quarter (through March 1, 2022)
|
| | | | * | | | | | $ | 44.88 | | | | | $ | 41.08 | | | | | | * | | | | | | * | | |
Year ended December 31, 2021 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Fourth Quarter
|
| | | $ | 25.29 | | | | | $ | 46.61 | | | | | $ | 41.35 | | | | | | 84% | | | | | | 64% | | |
Third Quarter
|
| | | | 24.27 | | | | | | 42.81 | | | | | | 40.20 | | | | | | 76% | | | | | | 66% | | |
Second Quarter
|
| | | | 23.42 | | | | | | 43.41 | | | | | | 38.14 | | | | | | 85% | | | | | | 63% | | |
First Quarter
|
| | | | 22.65 | | | | | | 39.56 | | | | | | 31.35 | | | | | | 75% | | | | | | 38% | | |
Year ended December 31, 2020 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Fourth Quarter
|
| | | $ | 22.53 | | | | | $ | 32.59 | | | | | $ | 27.39 | | | | | | 46% | | | | | | 23% | | |
Third Quarter
|
| | | | 21.52 | | | | | | 33.01 | | | | | | 28.66 | | | | | | 53% | | | | | | 33% | | |
Second Quarter
|
| | | | 20.85 | | | | | | 35.82 | | | | | | 17.34 | | | | | | 72% | | | | | | -17% | | |
First Quarter
|
| | | | 20.73 | | | | | | 45.00 | | | | | | 15.74 | | | | | | 117% | | | | | | -24% | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Control Investments(5) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Analytical Systems
Keco Holdings, LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
9515 Windfern Road
Houston, TX 77064 |
| |
液體制造商
and Gas Analyzers |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/16/2019 | | | | | — | | | |
12.00% (L+10.00%,
Floor 2.00%) |
| | | | 8/16/2024 | | | | | $ | 4,945 | | | | | $ | 4,736 | | | | | $ | 4,736 | | |
| | | | | |
Preferred Member
Units(38) |
| | 8/16/2019 | | | | | 61.7% | | | | | | | | | | | | | | | | | | | | | 3,200 | | | | | | — | | |
| | | | | |
Preferred Member
Units(38) |
| | 5/20/2021 | | | | | 64.7% | | | | | | | | | | | | | | | | | | | | | 2,427 | | | | | | 4,894 | | |
| | | | | | Warrants(27) | | | 8/16/2019 | | | | | 3.8% | | | | | | | | | 8/16/2029 | | | | | | | | | | | | 316 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 10,679 | | | | | | 9,630 | | |
ASC Interests, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
16500 Westheimer Parkway
Houston, TX 77082 |
| |
Recreational and
教育拍攝 Facility |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 12/31/2019 | | | | | — | | | | 13.00% | | | | | 7/31/2022 | | | | | | 200 | | | | | | 200 | | | | | | 200 | | |
| | | | | | Secured Debt | | | 8/1/2013 | | | | | — | | | | 13.00% | | | | | 7/31/2022 | | | | | | 1,650 | | | | | | 1,636 | | | | | | 1,636 | | |
| | | | | | Member Units | | | 8/1/2013 | | | | | 48.4% | | | | | | | | | | | | | | | | | | | | | 1,500 | | | | | | 720 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3,336 | | | | | | 2,556 | | |
ATS Workholding, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
30222 Esperanza Rancho
Santa Margarita, CA 92688 |
| |
Manufacturer of
Machine Cutting Tools and Accessories |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(14) | | | 11/16/2017 | | | | | — | | | | 5.00% | | | | | 8/16/2023 | | | | | | 4,794 | | | | | | 4,635 | | | | | | 3,005 | | |
| | | | | |
Preferred Member
Units(38) |
| |
11/16/2017
|
| | | | 41.9% | | | | | | | | | | | | | | | | | | | | | 3,726 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 8,361 | | | | | | 3,005 | | |
Barfly Ventures, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3400 Carlisle Street, Suite 340
Dallas, TX 75204 |
| |
Casual Restaurant
Group |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 10/15/2020 | | | | | — | | | | 7.00% | | | | | 10/31/2024 | | | | | | 711 | | | | | | 711 | | | | | | 711 | | |
| | | | | | Member Units | | | 10/26/2020 | | | | | 36.8% | | | | | | | | | | | | | | | | | | | | | 1,584 | | | | | | 1,930 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 2,295 | | | | | | 2,641 | | |
黑豹集團有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
6790 Winchester Circle
Boulder, CO 80301 |
| |
Consumer Goods and
Fuel Retailer |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 12/31/2020 | | | | | — | | | |
10.50% (L+9.00%,
Floor 1.50%) |
| | | | 12/31/2025 | | | | | | 39,000 | | | | | | 38,687 | | | | | | 39,000 | | |
| | | | | |
Class A Preferred
Member Units(8)(39) |
| | 12/31/2020 | | | | | — | | | | 14.00% | | | | | | | | | | | | | | | | | 10,194 | | | | | | 10,194 | | |
| | | | | |
Class B Preferred
Member Units(8)(38) |
| |
12/31/2020
|
| | | | 100.0% | | | |
8.00%
|
| | | | | | | | | | | | | | | | 14,000 | | | | | | 23,170 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 62,881 | | | | | | 72,364 | | |
Brewer Crane Holdings,LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
12570 Highway 67 Lakeside,
CA 92040 |
| |
Provider of Crane
Rental and Operating Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/9/2018 | | | | | — | | | |
11.00% (L+10.00%,
Floor 1.00%) |
| | | | 1/9/2023 | | | | | | 8,060 | | | | | | 8,037 | | | | | | 8,037 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
1/9/2018
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 4,280 | | | | | | 7,710 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 12,317 | | | | | | 15,747 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Bridge Capital Solutions
Corporation |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
300 Motor Parkway, Suite
215 Hauppauge, NY 11788 |
| |
金融服務和
Cash Flow Solutions Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 7/25/2016 | | | | | — | | | | 13.00% | | | | | 12/11/2024 | | | | | | 8,813 | | | | | | 8,813 | | | | | | 8,813 | | |
| | | | | | Warrants(27) | | | 7/25/2016 | | | | | 29.0% | | | | | | | | | 7/25/2026 | | | | | | | | | | | | 2,132 | | | | | | 4,060 | | |
| | | | | | Secured Debt(30) | | | 7/25/2016 | | | | | — | | | | 13.00% | | | | | 12/11/2024 | | | | | | 1,000 | | | | | | 1,000 | | | | | | 1,000 | | |
| | | | | |
Preferred Member
Units(8)(30)(38) |
| |
7/25/2016
|
| | | | 62.0% | | | | | | | | | | | | | | | | | | | | | 1,000 | | | | | | 1,000 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 12,945 | | | | | | 14,873 | | |
Café Brazil, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
202 West Main Street, Ste.
100 Allen, TX 75013 |
| |
Casual Restaurant
Group |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8) | | | 6/9/2006 | | | | | 69.0% | | | | | | | | | | | | | | | | | | | | | 1,742 | | | | | | 2,570 | | |
California Splendor Holdings
LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
7684 Saint Andrews Ave
Suite A San Diego, CA 92154 |
| |
Processor of Frozen
Fruits |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 3/30/2018 | | | | | — | | | |
11.00% (L+10.00%,
Floor 1.00%) |
| | | | 3/30/2023 | | | | | | 28,000 | | | | | | 27,915 | | | | | | 27,915 | | |
| | | | | |
Preferred Member
Units(8)(19)(38) |
| | 7/31/2019 | | | | | 96.2% | | | | 15.00% PIK | | | | | | | | | | | | | | | | | 9,510 | | | | | | 9,510 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
3/30/2018
|
| | | | 63.4% | | | | | | | | | | | | | | | | | | | | | 10,775 | | | | | | 13,275 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 48,200 | | | | | | 50,700 | | |
CBT Nuggets, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1550 Valley River Drive
Eugene, OR 97401 |
| |
Produces and Sells IT
培訓認證 Videos |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8) | | | 6/1/2006 | | | | | 40.8% | | | | | | | | | | | | | | | | | | | | | 1,300 | | | | | | 50,620 | | |
中心技術控股公司,
LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
16801 Greenspoint Park Dr.
#200 Houston, TX 77060 |
| |
Provider of IT
Hardware Services and Software Solutions |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/4/2019 | | | | | — | | | |
12.00% (L+10.00%,
Floor 2.00%) |
| | | | 1/4/2024 | | | | | | 9,416 | | | | | | 9,370 | | | | | | 8,864 | | |
| | | | | |
Preferred Member
Units(38) |
| |
1/4/2019
|
| | | | 70.4% | | | | | | | | | | | | | | | | | | | | | 5,840 | | | | | | 5,840 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 15,210 | | | | | | 14,704 | | |
Chamberlin Holding LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
7510 Langtry St Houston,
TX 77040 |
| |
Roofing and
防水專業 Contractor |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 2/26/2018 | | | | | — | | | |
9.00% (L+8.00%,
Floor 1.00%) |
| | | | 2/26/2023 | | | | | | 17,817 | | | | | | 17,738 | | | | | | 17,817 | | |
| | | | | | Member Units(8) | | | 2/26/2018 | | | | | 44.1% | | | | | | | | | | | | | | | | | | | | | 11,440 | | | | | | 24,140 | | |
| | | | | | Member Units(8)(30) | | | 11/2/2018 | | | | | 45.8% | | | | | | | | | | | | | | | | | | | | | 1,322 | | | | | | 1,540 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 30,500 | | | | | | 43,497 | | |
Charps, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
453 Tower St NW
Clearbrook, MN 56634 |
| |
管道維護
and Construction |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Unsecured Debt | | | 8/26/2020 | | | | | — | | | | 10.00% | | | | | 1/31/2024 | | | | | | 5,694 | | | | | | 4,599 | | | | | | 5,694 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
2/3/2017
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 1,963 | | | | | | 13,990 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6,562 | | | | | | 19,684 | | |
Clad-Rex Steel, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
11500 W. King Street
Franklin Park, IL 60131 |
| |
Specialty Manufacturer
of Vinyl-Clad Metal |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/20/2016
|
| | | | — | | | |
10.50% (L+9.50%,
Floor 1.00%) |
| | | | 1/15/2024 | | | | | | 10,480 | | | | | | 10,401 | | | | | | 10,401 | | |
| | | | | | Member Units(8) | | |
12/20/2016
|
| | | | 66.0% | | | | | | | | | | | | | | | | | | | | | 7,280 | | | | | | 10,250 | | |
| | | | | | Secured Debt | | |
12/20/2016
|
| | | | — | | | | 10.00% | | | | | 12/20/2036 | | | | | | 1,081 | | | | | | 1,071 | | | | | | 1,071 | | |
| | | | | | Member Units(30) | | |
12/20/2016
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 210 | | | | | | 530 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 18,962 | | | | | | 22,252 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
CMS礦業投資 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3040 Stout Street Denver,
CO 80205 |
| |
Oil & Gas Exploration
& Production |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8)(30) | | | 4/1/2016 | | | | | 100.0% | | | | | | | | | | | | | | | | | | | | | 1,838 | | | | | | 1,974 | | |
Cody Pools, Inc. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
5117 S IH – 35 Georgetown,
TX 78626 |
| |
Designer of Residential
and Commercial Pools |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 3/6/2020 | | | | | — | | | |
12.25% (L+10.50%,
Floor 1.75%) |
| | | | 12/17/2026 | | | | | | 42,497 | | | | | | 42,117 | | | | | | 42,484 | | |
| | | | | |
Preferred Member
Units(8)(30)(38) |
| |
3/6/2020
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 8,317 | | | | | | 47,640 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 50,434 | | | | | | 90,124 | | |
殖民地電力公司
LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4444 Solomons Island Road
Harwood, MD 20776 |
| |
電氣供應商
承包服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 3/31/2021 | | | | | — | | | | 12.00% | | | | | 3/31/2026 | | | | | | 24,570 | | | | | | 24,351 | | | | | | 24,351 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
3/31/2021
|
| | | | 68.0% | | | | | | | | | | | | | | | | | | | | | 7,680 | | | | | | 9,130 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 32,031 | | | | | | 33,481 | | |
CompareNetworks Topco,LLC
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
395 Oyster Point Blvd., Suite
321 San Francisco, CA 94080 |
| |
互聯網出版和
Web Search Portals |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/29/2019 | | | | | — | | | |
10.00% (L+9.00%,
Floor 1.00%) |
| | | | 1/29/2024 | | | | | | 6,477 | | | | | | 6,452 | | | | | | 6,477 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
1/29/2019
|
| | | | 71.8% | | | | | | | | | | | | | | | | | | | | | 1,975 | | | | | | 12,000 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 8,427 | | | | | | 18,477 | | |
Copper Trail
Fund Investments(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
621 17th Street Denver,
CO 80293 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests (CTMH,
LP)(31) |
| | 7/17/2017 | | | | | 38.8% | | | | | | | | | | | | | | | | | | | | | 710 | | | | | | 710 | | |
Datacom, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
100 Enterprise Boulevard
Lafayette, LA 70506 |
| |
Technology and
電信 Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 3/31/2021 | | | | | — | | | | 5.00% | | | | | 12/31/2025 | | | | | | 8,892 | | | | | | 8,296 | | | | | | 7,668 | | |
| | | | | |
Preferred Member
Units(38) |
| |
3/31/2021
|
| | | | 72.0% | | | | | | | | | | | | | | | | | | | | | 2,610 | | | | | | 2,610 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 10,906 | | | | | | 10,278 | | |
數碼產品控股有限責任公司
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
900 N. 23rd Street St. Louis,
MO 63106 |
| |
Designer and
Distributor of 消費電子 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 4/1/2018 | | | | | — | | | |
11.00% (L+10.00%,
Floor 1.00%) |
| | | | 4/1/2023 | | | | | | 16,853 | | | | | | 16,801 | | | | | | 16,801 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
4/1/2018
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 9,501 | | | | | | 9,835 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 26,302 | | | | | | 26,636 | | |
直銷解決方案,
Inc. |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
8534 NE Alderwood Road.
Portland, OR 97220 |
| |
Provider of Omni-
Channel Direct Marketing Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 2/13/2018 | | | | | — | | | |
12.00% (L+11.00%,
Floor 1.00%) |
| | | | 2/13/2024 | | | | | | 24,070 | | | | | | 23,911 | | | | | | 24,048 | | |
| | | | | | Preferred Stock(8)(38) | | | 2/13/2018 | | | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 8,400 | | | | | | 18,350 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 32,311 | | | | | | 42,398 | | |
Gamber-Johnson Holdings,
LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3001 Borham Ave. Stevens
Point, WI 54481 |
| |
Manufacturer of
Ruggedized Computer Mounting Systems |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/24/2016 | | | | | — | | | |
9.50% (L+7.50%,
Floor 2.00%) |
| | | | 1/1/2025 | | | | | | 21,598 | | | | | | 21,535 | | | | | | 21,598 | | |
| | | | | | Member Units(8) | | | 6/24/2016 | | | | | 72.1% | | | | | | | | | | | | | | | | | | | | | 17,692 | | | | | | 49,700 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 39,227 | | | | | | 71,298 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Garreco, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
430 Hiram Rd. Heber
Springs, AR 72543 |
| |
Manufacturer and
Supplier of Dental Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/15/2013 | | | | | — | | | |
9.00% (L+8.00%,
Floor 1.00%, Ceiling 1.50%) |
| | | | 7/31/2022 | | | | | | 4,196 | | | | | | 4,196 | | | | | | 4,196 | | |
| | | | | | Member Units(8) | | | 7/15/2013 | | | | | 32.0% | | | | | | | | | | | | | | | | | | | | | 1,200 | | | | | | 2,270 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5,396 | | | | | | 6,466 | | |
GRT橡膠技術有限責任公司
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
201 Dana Dr. Paragould,
AR 72450 |
| |
Manufacturer of
Engineered Rubber Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
12/19/2014
|
| | | | — | | | | 8.10% (L+8.00%) | | | | | 10/29/2026 | | | | | | 38,885 | | | | | | 38,672 | | | | | | 38,885 | | |
| | | | | | Member Units(8) | | |
12/19/2014
|
| | | | 59.1% | | | | | | | | | | | | | | | | | | | | | 13,065 | | | | | | 46,190 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 51,737 | | | | | | 85,075 | | |
海灣製造有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1221 Indiana St. Humble,
TX 77396 |
| |
Manufacturer of
Specialty Fabricated Industrial Piping Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8) | | | 8/31/2007 | | | | | 35.1% | | | | | | | | | | | | | | | | | | | | | 2,980 | | | | | | 5,640 | | |
海灣出版控股有限公司
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2 Greenway Plaza, Suite 1020
Houston, TX 77046 |
| |
Energy Industry
Focused Media and Publishing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(17)(19) | | | 9/29/2017 | | | | | — | | | |
10.50% (5.25%
Cash, 5.25% PIK) (L+9.50%, Floor 1.00%) |
| | | | 9/30/2020 | | | | | | 257 | | | | | | 257 | | | | | | 257 | | |
| | | | | | Secured Debt(17)(19) | | | 4/29/2016 | | | | | — | | | |
12.50% (6.25%
Cash, 6.25% PIK) |
| | | | 4/29/2021 | | | | | | 13,565 | | | | | | 13,565 | | | | | | 9,717 | | |
| | | | | | Member Units | | | 4/29/2016 | | | | | 31.7% | | | | | | | | | | | | | | | | | | | | | 3,681 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 17,503 | | | | | | 9,974 | | |
Harris Preston
Fund Investments(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2901 Via Fortuna, Bldg 6,
Suite 500 Austin, TX 78746 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests (2717 MH,
L.P.)(31) |
| | 10/1/2017 | | | | | 49.3% | | | | | | | | | | | | | | | | | | | | | 2,703 | | | | | | 3,971 | | |
Harrison Hydra-Gen, Ltd. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
14233 West Road Houston,
TX 77041 |
| |
Manufacturer of
水輪發電機 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Common Stock | | | 6/4/2010 | | | | | 33.6% | | | | | | | | | | | | | | | | | | | | | 718 | | | | | | 3,530 | | |
愛達荷州Jensen珠寶商有限責任公司
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
130 Second Avenue North
Twin Falls, ID 83301 |
| | 珠寶店零售 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
11/14/2006
|
| | | | — | | | |
10.00%
(Prime+6.75%, Floor 2.00%) |
| | | | 11/14/2023 | | | | | | 2,550 | | | | | | 2,536 | | | | | | 2,550 | | |
| | | | | | Member Units(8) | | |
11/14/2006
|
| | | | 65.8% | | | | | | | | | | | | | | | | | | | | | 811 | | | | | | 12,420 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3,347 | | | | | | 14,970 | | |
Johnson Downie Opco,LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
609 Main Street, Suite 4350
Houston, TX 77002 |
| |
Executive Search
Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/10/2021
|
| | | | — | | | |
13.00% (L+11.50%,
Floor 1.50%) |
| | | | 12/10/2026 | | | | | | 11,475 | | | | | | 11,344 | | | | | | 11,344 | | |
| | | | | | Preferred Equity(38) | | |
12/10/2021
|
| | | | 71.6% | | | | | | | | | | | | | | | | | | | | | 3,150 | | | | | | 3,150 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 14,494 | | | | | | 14,494 | | |
KBK Industries, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
East Hwy 96 Rush Center,
KS 67575 |
| |
Manufacturer of
特種油田和 工業品 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8) | | | 1/23/2006 | | | | | 25.5% | | | | | | | | | | | | | | | | | | | | | 783 | | | | | | 13,620 | | |
Kickhaefer製造
Company, LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1221 S. Park Street Port
Washington, WI 53074 |
| |
Precision Metal Parts
Manufacturing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
10/31/2018
|
| | | | — | | | | 11.50% | | | | | 10/31/2023 | | | | | | 20,415 | | | | | | 20,324 | | | | | | 20,324 | | |
| | | | | | Member Units | | |
10/31/2018
|
| | | | 65.6% | | | | | | | | | | | | | | | | | | | | | 12,240 | | | | | | 12,310 | | |
| | | | | | Secured Debt | | |
10/31/2018
|
| | | | — | | | | 9.00% | | | | | 10/31/2048 | | | | | | 3,915 | | | | | | 3,876 | | | | | | 3,876 | | |
| | | | | | Member Units(8)(30) | | |
10/31/2018
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 992 | | | | | | 2,460 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 37,432 | | | | | | 38,970 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
市場力量信息,
LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
371 Centennial Parkway,
Suite 210 Louisville, CO 80027 |
| |
Provider of Customer
Experience 管理服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/28/2017 | | | | | — | | | |
12.00% (L+11.00%,
Floor 1.00%) |
| | | | 7/28/2023 | | | | | | 3,400 | | | | | | 3,400 | | | | | | 3,400 | | |
| | | | | | Secured Debt(14)(19) | | | 7/28/2017 | | | | | — | | | | 12.00% PIK | | | | | 7/28/2023 | | | | | | 26,079 | | | | | | 25,952 | | | | | | 8,936 | | |
| | | | | | Member Units | | | 7/28/2017 | | | | | 66.9% | | | | | | | | | | | | | | | | | | | | | 16,642 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 45,994 | | | | | | 12,336 | | |
MH Corbin Holding LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
8355 Rausch Dr. Plain City,
OH 43064 |
| |
Manufacturer and
流量分配器 Safety Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/31/2015 | | | | | — | | | | 13.00% | | | | | 3/31/2022 | | | | | | 8,250 | | | | | | 8,241 | | | | | | 5,934 | | |
| | | | | |
Preferred Member
Units(38) |
| | 3/15/2019 | | | | | 73.5% | | | | | | | | | | | | | | | | | | | | | 4,400 | | | | | | — | | |
| | | | | |
Preferred Member
Units(38) |
| |
9/1/2015
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 6,000 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 18,641 | | | | | | 5,934 | | |
MS Private Loan Fund I,
LP(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1300 Post Oak Boulevard, 8th
Floor Houston, TX 77056 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Unsecured Debt | | | 2/11/2021 | | | | | — | | | | 5.00% | | | | | 2/28/2022 | | | | | | 63,151 | | | | | | 63,151 | | | | | | 63,151 | | |
| | | | | | LP Interests(31) | | | 1/26/2021 | | | | | 12.1% | | | | | | | | | | | | | | | | | | | | | 2,500 | | | | | | 2,581 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 65,651 | | | | | | 65,732 | | |
MSC Adviser I, LLC(16) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1300 Post Oak Boulevard, 8th
Floor Houston, TX 77056 |
| |
第三方投資
Advisory Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8) | | |
11/22/2013
|
| | | | 100.0% | | | | | | | | | | | | | | | | | | | | | 29,500 | | | | | | 140,400 | | |
神祕物流控股有限公司
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2187 New London Tpke
South Glastonbury, CT 06073 |
| |
Logistics and
分銷服務 Provider for Large Volume Mailers |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/18/2014 | | | | | — | | | | 12.00% | | | | | 1/17/2022 | | | | | | 6,378 | | | | | | 6,377 | | | | | | 6,378 | | |
| | | | | | Common Stock(8) | | | 8/18/2014 | | | | | 63.5% | | | | | | | | | | | | | | | | | | | | | 2,720 | | | | | | 8,840 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9,097 | | | | | | 15,218 | | |
NAPCO Precast, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
6949 Low Bid Lane San
Antonio, TX 78250 |
| |
Precast Concrete
Manufacturing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8) | | | 1/31/2008 | | | | | 46.8% | | | | | | | | | | | | | | | | | | | | | 2,975 | | | | | | 13,560 | | |
內布拉斯加州獸醫收購有限責任公司
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
450 E. Deere St. West Point,
NE 68788 |
| |
Mixed-Animal
Veterinary and Animal Health Product Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
12/31/2020
|
| | | | — | | | | 12.00% | | | | | 12/31/2025 | | | | | | 10,500 | | | | | | 10,412 | | | | | | 10,412 | | |
| | | | | | Secured Debt | | |
12/31/2020
|
| | | | — | | | | 12.00% | | | | | 12/31/2025 | | | | | | 4,868 | | | | | | 4,829 | | | | | | 4,829 | | |
| | | | | |
Preferred Member
Units(38) |
| |
12/31/2020
|
| | | | 99.2% | | | | | | | | | | | | | | | | | | | | | 6,987 | | | | | | 7,700 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 22,228 | | | | | | 22,941 | | |
NexRev LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
601 Development Drive
Plano, TX 75074 |
| |
Provider of Energy
Efficiency Products & Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 2/28/2018 | | | | | — | | | | 11.00% | | | | | 2/28/2023 | | | | | | 16,217 | | | | | | 16,173 | | | | | | 14,045 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
2/28/2018
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 6,880 | | | | | | 2,690 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 23,053 | | | | | | 16,735 | | |
NRP Jones, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
210 Philadelphia St LaPorte,
IN 46350 |
| |
Manufacturer of Hoses,
配件和組件 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
12/21/2017
|
| | | | — | | | | 12.00% | | | | | 3/20/2023 | | | | | | 2,080 | | | | | | 2,080 | | | | | | 2,080 | | |
| | | | | | Member Units(8) | | |
12/22/2011
|
| | | | 46.4% | | | | | | | | | | | | | | | | | | | | | 3,717 | | | | | | 6,440 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5,797 | | | | | | 8,520 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
NuStep, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
5111 Venture Drive Ann
Arbor, MI 48108 |
| |
設計師、製造商
and Distributor of Fitness Equipment |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/31/2017 | | | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 1/31/2025 | | | | | | 1,720 | | | | | | 1,720 | | | | | | 1,720 | | |
| | | | | | Secured Debt | | | 1/31/2017 | | | | | — | | | | 11.00% | | | | | 1/31/2025 | | | | | | 17,240 | | | | | | 17,236 | | | | | | 17,240 | | |
| | | | | |
Preferred Member
Units(38) |
| |
1/31/2017
|
| | | | 66.9% | | | | | | | | | | | | | | | | | | | | | 10,200 | | | | | | 13,500 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 29,156 | | | | | | 32,460 | | |
OMi Topco, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1515 E I-30 Service Road
Royse City, TX 75189 |
| |
Manufacturer of
Overhead Cranes |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/31/2021 | | | | | — | | | | 12.00% | | | | | 8/31/2026 | | | | | | 18,000 | | | | | | 17,831 | | | | | | 18,000 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
4/1/2008
|
| | | | 95.7% | | | | | | | | | | | | | | | | | | | | | 1,080 | | | | | | 20,210 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 18,911 | | | | | | 38,210 | | |
Orttech Holdings, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
32425 Aurora Road Solon,
OH 44139 |
| |
Distributor of
Industrial Clutches, Brakes and Other Components |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/30/2021 | | | | | — | | | |
12.00% (L+11.00%,
Floor 1.00%) |
| | | | 7/31/2026 | | | | | | 24,375 | | | | | | 24,151 | | | | | | 24,151 | | |
| | | | | |
Preferred Stock(8)(30)(38)
|
| | 7/30/2021 | | | | | 64.5% | | | | | | | | | | | | | | | | | | | | | 10,000 | | | | | | 10,000 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 34,151 | | | | | | 34,151 | | |
Pearl Meyer Topco LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
93 Worcester Street, Suite 100
Wellesley, MA 02481 |
| |
Provider of Executive
Compensation 諮詢服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 4/27/2020 | | | | | — | | | | 12.00% | | | | | 4/27/2025 | | | | | | 32,674 | | | | | | 32,438 | | | | | | 32,674 | | |
| | | | | | Member Units(8) | | | 4/27/2020 | | | | | 100.0% | | | | | | | | | | | | | | | | | | | | | 13,000 | | | | | | 26,970 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 45,438 | | | | | | 59,644 | | |
PPL RVs, Inc. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
10777 Southwest Freeway
Houston, TX 77074 |
| |
休閒車
Dealer |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
10/31/2019
|
| | | | — | | | |
7.50% (L+7.00%,
Floor 0.50%) |
| | | | 11/15/2022 | | | | | | 750 | | | | | | 726 | | | | | | 726 | | |
| | | | | | Secured Debt(9) | | |
11/15/2016
|
| | | | — | | | |
7.50% (L+7.00%,
Floor 0.50%) |
| | | | 11/15/2022 | | | | | | 11,655 | | | | | | 11,655 | | | | | | 11,655 | | |
| | | | | | Common Stock(8) | | | 6/10/2010 | | | | | 51.6% | | | | | | | | | | | | | | | | | | | | | 2,150 | | | | | | 14,360 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 14,531 | | | | | | 26,741 | | |
Principle Environmental,LLC
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
201 W. Ranch Court
Weatherford, TX 76088 |
| |
Noise Abatement
Service Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 2/1/2011 | | | | | — | | | | 13.00% | | | | | 11/15/2026 | | | | | | 1,473 | | | | | | 1,465 | | | | | | 1,465 | | |
| | | | | | Secured Debt | | | 7/1/2011 | | | | | — | | | | 13.00% | | | | | 11/15/2026 | | | | | | 5,924 | | | | | | 5,808 | | | | | | 5,808 | | |
| | | | | |
Preferred Member
Units(38) |
| | 2/1/2011 | | | | | 87.4% | | | | | | | | | | | | | | | | | | | | | 5,709 | | | | | | 11,160 | | |
| | | | | | Common Stock | | | 1/27/2021 | | | | | 5.1% | | | | | | | | | | | | | | | | | | | | | 1,200 | | | | | | 710 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 14,182 | | | | | | 19,143 | | |
優質租賃服務有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
23403B NW Zac Lentz Pkwy
Victoria, TX 77905 |
| |
Provider of Rigsite
Accommodation Unit Rentals and Related Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units | | | 6/8/2015 | | | | | 100.0% | | | | | | | | | | | | | | | | | | | | | 9,213 | | | | | | 2,149 | | |
River Aggregates, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
PO Box 8609 The
Woodlands, TX 77387 |
| |
Processor of
Construction Aggregates |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8)(30) | | |
12/20/2013
|
| | | | 45.0% | | | | | | | | | | | | | | | | | | | | | 369 | | | | | | 3,280 | | |
羅賓斯兄弟珠寶公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1300 W Optical Dr, Suite 200
Azusa, CA 91702 |
| |
新娘珠寶零售商
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/15/2021
|
| | | | — | | | |
12.00% (L+11.00%,
Floor 1.00%) |
| | | | 12/15/2026 | | | | | | 36,360 | | | | | | 35,956 | | | | | | 35,956 | | |
| | | | | | Preferred Equity(38) | | |
12/15/2021
|
| | | | 73.4% | | | | | | | | | | | | | | | | | | | | | 11,070 | | | | | | 11,070 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 47,026 | | | | | | 47,026 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
泰德工業有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4411 W. Riverbend Ave. Post
Falls, ID 83854 |
| |
Manufacturer of
Firearm Holsters and Accessories |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/31/2018 | | | | | — | | | | 12.00% | | | | | 8/31/2022 | | | | | | 16,240 | | | | | | 16,181 | | | | | | 16,181 | | |
| | | | | |
Preferred Member
Units(38) |
| |
8/31/2018
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 8,579 | | | | | | 8,579 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 24,760 | | | | | | 24,760 | | |
Televerde, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4636 E. University Drive
Phoenix, AZ 85034 |
| |
Provider of
電話營銷和數據 Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units | | | 1/6/2011 | | | | | 45.4% | | | | | | | | | | | | | | | | | | | | | 1,290 | | | | | | 7,280 | | |
TranTech散熱器Topco,LLC
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1 Tranter Drive Edgefield,
SC 29824 |
| |
Transformer Cooling
產品和服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 5/31/2019 | | | | | — | | | | 12.00% | | | | | 5/31/2024 | | | | | | 8,720 | | | | | | 8,663 | | | | | | 8,712 | | |
| | | | | | Common Stock(8) | | | 5/31/2019 | | | | | 61.6% | | | | | | | | | | | | | | | | | | | | | 4,655 | | | | | | 8,660 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,318 | | | | | | 17,372 | | |
UnionRock Energy Fund II,
LP (12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1999 Broadway, Suite 850
Denvee, CO 80202 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | LP Interests(8)(31) | | | 6/15/2020 | | | | | 49.6% | | | | | | | | | | | | | | | | | | | | | 3,828 | | | | | | 6,122 | | |
Vision Interests, Inc. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
6630 Arroyo Springs St., Ste.
600 Las Vegas, NV 89113 |
| |
Manufacturer / Installer
of Commercial Signage |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Series A Preferred
Stock(38) |
| |
12/23/2011
|
| | | | 100.0% | | | | | | | | | | | | | | | | | | | | | 3,000 | | | | | | 3,000 | | |
VVS Holdco LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1118 Pony Express Hwy.
Marysville, KS 66508 |
| |
全方位渠道零售商
of Animal Health Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(30) | | | 12/1/2021 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 12/1/2026 | | | | | | 1,200 | | | | | | 1,170 | | | | | | 1,169 | | |
| | | | | | Secured Debt(30) | | | 12/1/2021 | | | | | — | | | | 11.50% | | | | | 12/1/2026 | | | | | | 30,400 | | | | | | 30,100 | | | | | | 30,100 | | |
| | | | | |
Preferred Equity(30)(38)
|
| | 12/1/2021 | | | | | 41.0% | | | | | | | | | | | | | | | | | | | | | 11,840 | | | | | | 11,840 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 43,110 | | | | | | 43,109 | | |
Ziegler’s NYPD, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
13901 North 73rd St., #219
Scottsdale, AZ 85260 |
| |
Casual Restaurant
Group |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 6/1/2015 | | | | | — | | | | 12.00% | | | | | 10/1/2022 | | | | | | 625 | | | | | | 625 | | | | | | 625 | | |
| | | | | | Secured Debt | | | 10/1/2008 | | | | | — | | | | 6.50% | | | | | 10/1/2022 | | | | | | 1,000 | | | | | | 1,000 | | | | | | 1,000 | | |
| | | | | | Secured Debt | | | 10/1/2008 | | | | | — | | | | 14.00% | | | | | 10/1/2022 | | | | | | 2,750 | | | | | | 2,750 | | | | | | 2,750 | | |
| | | | | |
Preferred Member
Units(38) |
| | 6/30/2015 | | | | | 100.0% | | | | | | | | | | | | | | | | | | | | | 2,834 | | | | | | 2,130 | | |
| | | | | | Warrants(27) | | | 7/1/2015 | | | | | 4.0% | | | | 10/1/2025 | | | | | | | | | | | | | | | | | 600 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 7,809 | | | | | | 6,505 | | |
小計控制投資
(83.3% of net assets at fair value) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
$
|
1,107,597
|
| | | |
$
|
1,489,257
|
| |
關聯投資(6) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
AAC Holdings, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
200 Powell Pl Brentwood,
TN 37027 |
| |
Substance Abuse
Treatment Service Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(19) | | |
12/11/2020
|
| | | | — | | | |
18.00% (10.00%
Cash, 8.00% PIK) |
| | | | 6/25/2025 | | | | | | 10,202 | | | | | | 10,011 | | | | | | 9,794 | | |
| | | | | | Common Stock | | |
12/11/2020
|
| | | | 2.7% | | | | | | | | | | | | | | | | | | | | | 3,148 | | | | | | 2,079 | | |
| | | | | | Warrants(27) | | |
12/11/2020
|
| | | | 2.5% | | | | 12/11/2025 | | | | | | | | | | | | | | | | | — | | | | | | 1,940 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,159 | | | | | | 13,813 | | |
AFG Capital Group, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
900 McDuff Avenue
Grandview, TX 76050 |
| |
Provider of Rent-to-
Own Financing 解決方案和服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 4/25/2019 | | | | | — | | | | 10.00% | | | | | 5/25/2022 | | | | | | 144 | | | | | | 144 | | | | | | 144 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
11/7/2014
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 1,200 | | | | | | 7,740 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 1,344 | | | | | | 7,884 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
ATX Networks Corp.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1-501 Clements Road West
Ajax, Ontario L1S 7H4 |
| |
Provider of Radio
Frequency Management Equipment |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt (9) | | | 9/1/2021 | | | | | — | | | |
8.50% (L+7.50%,
Floor 1.00%) |
| | | | 9/1/2026 | | | | | | 7,667 | | | | | | 7,092 | | | | | | 7,092 | | |
| | | | | | Unsecured Debt(19) | | | 9/1/2021 | | | | | — | | | | 10.00% PIK | | | | | 9/1/2028 | | | | | | 3,067 | | | | | | 1,963 | | | | | | 1,963 | | |
| | | | | | Common Stock | | | 9/1/2021 | | | | | 5.8% | | | | | | | | | | | | | | | | | | | | | — | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9,055 | | | | | | 9,055 | | |
BBB Tank Services, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
162 Independence Parkway
North Baytown, TX 77520 |
| |
Maintenance, Repair
and Construction Services to the Above- Ground Storage Tank Market |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Unsecured Debt(9)(17) | | | 4/8/2016 | | | | | — | | | |
12.00% (L+11.00%,
Floor 1.00%) |
| | | | 4/8/2021 | | | | | | 4,800 | | | | | | 4,800 | | | | | | 2,508 | | |
| | | | | |
Preferred Stock
(non-voting)(8)(14)(19)(38) |
| |
12/17/2018
|
| | | | 11.3% | | | | 15.00% PIK | | | | | | | | | | | | | | | | | 162 | | | | | | — | | |
| | | | | | Member Units | | | 4/8/2016 | | | | | 10.2% | | | | | | | | | | | | | | | | | | | | | 800 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5,762 | | | | | | 2,508 | | |
Boccella預製產品有限責任公司
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
324 New Brooklyn Road
Berlin, NJ 08009 |
| |
Manufacturer of
Precast Hollow Core Concrete |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 9/23/2021 | | | | | — | | | | 10.00% | | | | | 2/28/2027 | | | | | | 320 | | | | | | 320 | | | | | | 320 | | |
| | | | | | Member Units(8)(38) | | | 6/30/2017 | | | | | 19.2% | | | | | | | | | | | | | | | | | | | | | 2,256 | | | | | | 4,830 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 2,576 | | | | | | 5,150 | | |
Brightwood Capital
Fund Investments(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1540 Broadway, 23rd Floor
New York, NY 10036 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests
(Brightwood Capital Fund V, LP)(31) |
| | 7/12/2021 | | | | | 15.8% | | | | | | | | | | | | | | | | | | | | | 1,000 | | | | | | 1,000 | | |
Buca C, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4700 Millenua Blvd. #400
Orlando, FL 32839 |
| |
Casual Restaurant
Group |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(17) | | | 6/30/2015 | | | | | — | | | |
10.25% (L+9.25%,
Floor 1.00%) |
| | | | 6/30/2020 | | | | | | 19,491 | | | | | | 19,491 | | | | | | 14,370 | | |
| | | | | |
Preferred Member
Units(14)(19)(38) |
| |
6/30/2015
|
| | | | 60.0% | | | |
6.00% PIK
|
| | | | | | | | | | | | | | | | 4,770 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 24,261 | | | | | | 14,370 | | |
職業團隊控股有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
250 State Street North
Haven, CT 6473 |
| |
Provider of Workforce
Training and Career 開發服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
12/17/2021
|
| | | | — | | | | 12.50% | | | | | 12/17/2026 | | | | | | 20,250 | | | | | | 20,050 | | | | | | 20,050 | | |
| | | | | |
Class A Common Units
|
| |
12/17/2021
|
| | | | 22.9% | | | | | | | | | | | | | | | | | | | | | 4,500 | | | | | | 4,500 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 24,550 | | | | | | 24,550 | | |
Chandler Signs Holdings,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
14201 Sovereign Rd Fort
Worth, TX 76155 |
| | Sign Manufacturer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Class A Units(38) | | | 1/4/2016 | | | | | 8.9% | | | | | | | | | | | | | | | | | | | | | 1,500 | | | | | | 460 | | |
Classic H&G Holdings,LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
490 Pepper Street Monroe,
CT 06468 |
| |
Provider of Engineered
Packaging Solutions |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 3/12/2020 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 3/12/2025 | | | | | | 4,000 | | | | | | 4,000 | | | | | | 4,000 | | |
| | | | | | Secured Debt | | | 3/12/2020 | | | | | — | | | | 8.00% | | | | | 3/12/2025 | | | | | | 19,274 | | | | | | 19,139 | | | | | | 19,274 | | |
| | | | | |
Preferred Member
Units (8)(38) |
| |
3/12/2020
|
| | | | 74.8% | | | | | | | | | | | | | | | | | | | | | 5,760 | | | | | | 15,260 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 28,899 | | | | | | 38,534 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
一致的信用機會
Funds (12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3131 McKinney Ave. Suite
850 Dallas, TX 75204 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests
(Congruent Credit 機會基金III, LP)(8)(31) |
| | 2/4/2015 | | | | | 17.4% | | | | | | | | | | | | | | | | | | | | | 10,256 | | | | | | 9,959 | | |
DMA Industries, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
233 N US HWY 701 Bypass
Tabor City, NC 28463 , |
| |
Distributor of
售後乘車控制 products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
11/19/2021
|
| | | | — | | | | 12.00% | | | | | 11/19/2026 | | | | | | 21,200 | | | | | | 20,993 | | | | | | 20,993 | | |
| | | | | | Preferred Equity(38) | | |
11/19/2021
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 5,944 | | | | | | 5,944 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 26,937 | | | | | | 26,937 | | |
Dos Rios Partners (12)(13) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
205 Wild Basin Road S.
Building 3 Suite 100 Austin, TX 78746 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests (Dos Rios
Partners, LP)(31) |
| | 4/25/2013 | | | | | 20.2% | | | | | | | | | | | | | | | | | | | | | 6,605 | | | | | | 10,329 | | |
| | | | | |
LP Interests (Dos Rios
Partners — A, LP)(31) |
| |
4/25/2013
|
| | | | 6.4% | | | | | | | | | | | | | | | | | | | | | 2,097 | | | | | | 3,280 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 8,702 | | | | | | 13,609 | | |
Dos Rios Stone Products
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3500 FM 2843 Florence,
TX 76527 |
| |
Limestone and
Sandstone Dimension Cut Stone Mining Quarries |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Class A Preferred
Units(30)(38) |
| | 6/27/2016 | | | | | 17.7% | | | | | | | | | | | | | | | | | | | | | 2,000 | | | | | | 640 | | |
EIG Fund Investments (12)(13) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Three Allen Center 333 Clay
Street Suite 3500 Houston, TX 77002 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests (EIG
Global Private Debt Fund — A, L.P.)(8)(31) |
| | 11/6/2015 | | | | | 11.1% | | | | | | | | | | | | | | | | | | | | | 594 | | | | | | 547 | | |
火焰王控股有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
8616 Slauson Ave. Pico
Rivera, CA 90660 |
| |
Propane Tank and
配件分配器 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
10/29/2021
|
| | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 10/31/2026 | | | | | | 6,400 | | | | | | 6,324 | | | | | | 6,324 | | |
| | | | | | Secured Debt(9) | | |
10/29/2021
|
| | | | — | | | |
12.00% (L+11.00%,
Floor 1.00%) |
| | | | 10/31/2026 | | | | | | 21,200 | | | | | | 20,996 | | | | | | 20,996 | | |
| | | | | | Preferred Equity(38) | | |
10/29/2021
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 10,400 | | | | | | 10,400 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 37,720 | | | | | | 37,720 | | |
自由港金融基金
(12)(13)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
200 South Wacker Drive,
Suite 750 Chicago, IL 60606 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests (Freeport
Financial SBIC Fund LP)(31) |
| | 3/23/2015 | | | | | 9.3% | | | | | | | | | | | | | | | | | | | | | 5,974 | | | | | | 6,078 | | |
| | | | | |
LP Interests (Freeport
First Lien Loan Fund III LP)(8)(31) |
| |
7/31/2015
|
| | | | 6.0% | | | | | | | | | | | | | | | | | | | | | 7,629 | | | | | | 7,231 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,603 | | | | | | 13,309 | | |
GFG Group, LLC. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1138 146th Avenue Wayland,
MI 49348 |
| |
種植者和經銷商
of a Variety of Plants and Products to Other 批發商、零售商 and Garden Centers |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 3/31/2021 | | | | | — | | | | 12.00% | | | | | 3/31/2026 | | | | | | 12,545 | | | | | | 12,435 | | | | | | 12,545 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
3/31/2021
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 4,900 | | | | | | 6,990 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 17,335 | | | | | | 19,535 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Harris Preston
Fund Investments(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2901 Via Fortuna Austin,
TX 78746 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests
(HPEP 3, L.P.)(31) |
| | 8/9/2017 | | | | | 8.2% | | | | | | | | | | | | | | | | | | | | | 3,193 | | | | | | 4,712 | | |
Hawk Ridge Systems, LLC (13)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
575 Clyde Ave Mountain
View, CA 94043 |
| |
的增值經銷商 工程設計和 Manufacturing Solutions |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 12/2/2016 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 1/15/2026 | | | | | | 2,585 | | | | | | 2,585 | | | | | | 2,585 | | |
| | | | | | Secured Debt | | | 12/2/2016 | | | | | — | | | | 8.00% | | | | | 1/15/2026 | | | | | | 34,800 | | | | | | 34,672 | | | | | | 34,800 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| | 12/2/2016 | | | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 2,850 | | | | | | 14,680 | | |
| | | | | |
Preferred Member
Units(30)(38) |
| |
12/2/2016
|
| | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 150 | | | | | | 770 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 40,257 | | | | | | 52,835 | | |
休斯頓電鍍和塗層
LLC |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1315 Georgia St South
Houston, TX 77587 |
| |
電鍍供應商和
Industrial Coating Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
無擔保可兑換
Debt |
| | 5/1/2017 | | | | | — | | | | 8.00% | | | | | 5/1/2022 | | | | | | 3,000 | | | | | | 3,000 | | | | | | 2,960 | | |
| | | | | | Member Units(8) | | | 1/8/2003 | | | | | 14.1% | | | | | | | | | | | | | | | | | | | | | 2,352 | | | | | | 3,210 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5,352 | | | | | | 6,170 | | |
I-45 SLF LLC(12)(13) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
5400 Lyndon B Johnson
Freeway Suite 1300 Dallas, TX 75240 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Member Units (Fully
diluted 20.0%; 24.40% profits interest)(8) |
| |
10/20/2015
|
| | | | 20.0% | | | | | | | | | | | | | | | | | | | | | 19,000 | | | | | | 14,387 | | |
Iron-Main Investments,LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
575 East Big Beaver Road,
Suite 300 Troy, MI 48083 |
| |
Consumer Reporting
Agency Providing Employment Background Checks and Drug Testing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/3/2021 | | | | | — | | | | 13.00% | | | | | 8/1/2026 | | | | | | 4,600 | | | | | | 4,557 | | | | | | 4,557 | | |
| | | | | | Secured Debt | | | 9/1/2021 | | | | | — | | | | 12.50% | | | | | 9/1/2026 | | | | | | 3,200 | | | | | | 3,170 | | | | | | 3,170 | | |
| | | | | | Secured Debt | | | 8/3/2021 | | | | | — | | | | 12.50% | | | | | 11/30/2026 | | | | | | 20,000 | | | | | | 19,805 | | | | | | 19,805 | | |
| | | | | | Secured Debt(19) | | | 8/3/2021 | | | | | — | | | | 12.50% PIK | | | | | 3/31/2022 | | | | | | 8,944 | | | | | | 8,944 | | | | | | 8,944 | | |
| | | | | | Common Stock | | | 8/3/2021 | | | | | 8.0% | | | | | | | | | | | | | | | | | | | | | 1,798 | | | | | | 1,798 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 38,274 | | | | | | 38,274 | | |
L.F. Manufacturing Holdings,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
P.O. Box 578 Giddings,
TX 78942 |
| |
Manufacturer of
Fiberglass Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Preferred Member
Units (non- voting)(8)(19)(39) |
| | 1/1/2019 | | | | | — | | | | 14.00% PIK | | | | | | | | | | | | | | | | | 107 | | | | | | 107 | | |
| | | | | | Member Units | | |
12/23/2013
|
| | | | 13.2% | | | | | | | | | | | | | | | | | | | | | 2,019 | | | | | | 2,557 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 2,126 | | | | | | 2,664 | | |
OnAsset Intelligence,Inc. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
8407 Sterling St Irving,
TX 75063 |
| |
Provider of
Transportation Monitoring / Tracking 產品和服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(19) | | | 5/20/2014 | | | | | — | | | | 12.00% PIK | | | | | 12/31/2022 | | | | | | 935 | | | | | | 935 | | | | | | 935 | | |
| | | | | | Secured Debt(19) | | | 3/21/2014 | | | | | — | | | | 12.00% PIK | | | | | 12/31/2022 | | | | | | 954 | | | | | | 954 | | | | | | 954 | | |
| | | | | | Secured Debt(19) | | | 5/10/2013 | | | | | — | | | | 12.00% PIK | | | | | 12/31/2022 | | | | | | 2,055 | | | | | | 2,055 | | | | | | 2,055 | | |
| | | | | | Secured Debt(19) | | | 4/18/2011 | | | | | — | | | | 12.00% PIK | | | | | 12/31/2022 | | | | | | 4,286 | | | | | | 4,286 | | | | | | 4,286 | | |
| | | | | | Warrants(27) | | | 4/18/2011 | | | | | 13.2% | | | | | | | | | 5/10/2023 | | | | | | | | | | | | 1,089 | | | | | | — | | |
| | | | | | Common Stock | | | 4/15/2021 | | | | | 1.8% | | | | | | | | | | | | | | | | | | | | | 830 | | | | | | — | | |
| | | | | |
Preferred
Stock(14)(19)(38) |
| | 4/18/2011 | | | | | 50.0% | | | | 7.00% PIK | | | | | | | | | | | | | | | | | 1,981 | | | | | | — | | |
| | | | | | Unsecured Debt(19) | | | 6/5/2017 | | | | | — | | | | 10.00% PIK | | | | | 12/31/2022 | | | | | | 192 | | | | | | 192 | | | | | | 192 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 12,322 | | | | | | 8,422 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Oneliance, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
10610 Metromont Parkway
Suite 202 Charlotte, NC 28269 |
| |
施工清潔
Company |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/6/2021 | | | | | — | | | |
12.00% (L+11.00%,
Floor 1.00%) |
| | | | 8/6/2026 | | | | | | 5,600 | | | | | | 5,547 | | | | | | 5,547 | | |
| | | | | | Preferred Stock(38) | | | 8/6/2021 | | | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 1,056 | | | | | | 1,056 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6,603 | | | | | | 6,603 | | |
Rocaceia,LLC(質量租賃
和Rental Holdings,LLC) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
23403B NW Zac Lentz Pkwy
Victoria, TX 77905 |
| |
Provider of Rigsite
Accommodation Unit Rentals and Related Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(14)(17) | | | 6/30/2015 | | | | | — | | | | 12.00% | | | | | 1/8/2018 | | | | | | 30,369 | | | | | | 29,865 | | | | | | — | | |
| | | | | |
Preferred Member
Units(38) |
| |
1/8/2013
|
| | | | 22.2% | | | | | | | | | | | | | | | | | | | | | 2,500 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 32,365 | | | | | | — | | |
SI East, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4500 South Blvd. Charlotte,
NC 28209 |
| |
Rigid Industrial
Packaging Manufacturing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/31/2018 | | | | | — | | | | 10.25% | | | | | 8/31/2023 | | | | | | 65,850 | | | | | | 65,738 | | | | | | 65,850 | | |
| | | | | |
Preferred Member
Units(8)(38) |
| |
8/31/2018
|
| | | | 75.0% | | | | | | | | | | | | | | | | | | | | | 1,218 | | | | | | 11,570 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 66,956 | | | | | | 77,420 | | |
圓滑創新,有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
301 E. Second Street, Suite
302 Jamestown, NY 14701 |
| |
Text Message
Marketing Platform |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 9/13/2018 | | | | | — | | | | 13.00% | | | | | 9/13/2023 | | | | | | 5,320 | | | | | | 5,248 | | | | | | 5,320 | | |
| | | | | | Common Stock | | | 9/13/2018 | | | | | 7.0% | | | | | | | | | | | | | | | | | | | | | 700 | | | | | | 1,510 | | |
| | | | | | Warrants(27) | | | 9/13/2018 | | | | | 1.8% | | | | | | | | | 9/13/2028 | | | | | | | | | | | | 181 | | | | | | 400 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6,129 | | | | | | 7,230 | | |
Sonic Systems International,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1880 S Dairy Ashford Rd
#207 Houston, TX 77077 |
| |
核電人員配備
Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/20/2021 | | | | | — | | | |
8.50% (L+7.50%,
Floor 1.00%) |
| | | | 8/20/2026 | | | | | | 11,982 | | | | | | 11,757 | | | | | | 11,757 | | |
| | | | | | Common Stock | | | 8/20/2021 | | | | | 7.9% | | | | | | | | | | | | | | | | | | | | | 1,070 | | | | | | 1,070 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 12,827 | | | | | | 12,827 | | |
上級索具架設
Co. |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3250 Woodstock Road
Atlanta, GA 30316 |
| |
Provider of Steel
Erecting, Crane Rental & Rigging Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/31/2020 | | | | | — | | | | 12.00% | | | | | 8/31/2025 | | | | | | 21,500 | | | | | | 21,332 | | | | | | 21,332 | | |
| | | | | |
Preferred Member
Units(38) |
| |
8/31/2020
|
| | | | 100.0% | | | | | | | | | | | | | | | | | | | | | 4,500 | | | | | | 4,500 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 25,832 | | | | | | 25,832 | | |
The Affiliati Network,LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
116 E. Yanonali Street, Suite
C2 Santa Barbara, CA 93101 |
| |
Performance Marketing
Solutions |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 8/9/2021 | | | | | — | | | | 7.00% | | | | | 8/9/2026 | | | | | | 280 | | | | | | 262 | | | | | | 262 | | |
| | | | | | Secured Debt | | | 8/9/2021 | | | | | — | | | | 11.83% | | | | | 8/9/2026 | | | | | | 12,961 | | | | | | 12,834 | | | | | | 12,834 | | |
| | | | | | Preferred Stock(8)(38) | | | 8/9/2021 | | | | | 80.0% | | | | | | | | | | | | | | | | | | | | | 6,400 | | | | | | 6,400 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 19,496 | | | | | | 19,496 | | |
UniTek Global Services, Inc.(11)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1777 Sentry Parkway West,
Gwynedd Hall, Suite 202 Blue Bell, PA 19422 |
| |
Provider of Outsourced
基礎設施服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(19) | | |
10/15/2018
|
| | | | — | | | |
8.50% (6.50% cash,
2.00% PIK) (2.00% PIK, L+5.50% Floor 1.00%) |
| | | | 8/20/2024 | | | | | | 397 | | | | | | 396 | | | | | | 371 | | |
| | | | | | Secured Debt(9)(19) | | | 8/27/2018 | | | | | — | | | |
8.50% (6.50% cash,
2.00% PIK) (2.00% PIK, L+5.50% Floor 1.00%) |
| | | | 8/20/2024 | | | | | | 1,986 | | | | | | 1,974 | | | | | | 1,852 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
| | | | | |
Secured Convertible
Debt(19) |
| | 1/1/2021 | | | | | — | | | | 15.00% PIK | | | | | 2/20/2025 | | | | | | 1,197 | | | | | | 1,197 | | | | | | 2,375 | | |
| | | | | |
Preferred Stock
(8)(19)(38)
|
| | 8/29/2019 | | | | | 7.6% | | | | 20.00% PIK | | | | | | | | | | | | | | | | | 1,757 | | | | | | 2,833 | | |
| | | | | |
Preferred Stock
(14)(19)(38)
|
| | 8/21/2018 | | | | | 7.6% | | | | 20.00% PIK | | | | | | | | | | | | | | | | | 2,188 | | | | | | 1,498 | | |
| | | | | |
Preferred Stock
(14)(19)(38)
|
| | 1/15/2015 | | | | | 6.2% | | | | 13.50% PIK | | | | | | | | | | | | | | | | | 7,924 | | | | | | — | | |
| | | | | |
Preferred Stock
(14)(19)(38)
|
| | 6/30/2017 | | | | | 7.6% | | | | 19.00% PIK | | | | | | | | | | | | | | | | | 3,667 | | | | | | — | | |
| | | | | | Common Stock | | | 4/1/2020 | | | | | 6.6% | | | | | | | | | | | | | | | | | | | | | — | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 19,103 | | | | | | 8,929 | | |
通用井口服務
Holdings, LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
5729 Leopard St. Bldg 9
Corpus Christi, TX 78408 |
| |
Provider of Wellhead
Equipment, Designs, and Personnel to the Oil & Gas Industry |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Preferred Member
Units(14)(19)(30)(38) |
| | 12/7/2016 | | | | | 13.6% | | | | 14.00% PIK | | | | | | | | | | | | | | | | | 1,032 | | | | | | — | | |
| | | | | | Member Units(30) | | | 12/7/2016 | | | | | 10.1% | | | | | | | | | | | | | | | | | | | | | 4,000 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5,032 | | | | | | — | | |
Volusion, LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1835 Kramer Lane #100
Austin, TX 78758 |
| |
Provider of Online
Software-as-a-Service 電子商務解決方案 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(17) | | | 1/26/2015 | | | | | — | | | | 11.50% | | | | | 1/26/2020 | | | | | | 17,434 | | | | | | 17,434 | | | | | | 17,434 | | |
| | | | | |
Unsecured Convertible
Debt |
| | 5/16/2018 | | | | | — | | | | 8.00% | | | | | 11/16/2023 | | | | | | 409 | | | | | | 409 | | | | | | 409 | | |
| | | | | |
Preferred Member
Units(38) |
| | 1/26/2015 | | | | | 70.0% | | | | | | | | | | | | | | | | | | | | | 14,000 | | | | | | 5,990 | | |
| | | | | | Warrants(27) | | | 1/26/2015 | | | | | 2.6% | | | | | | | | | 1/26/2025 | | | | | | | | | | | | 2,576 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 34,419 | | | | | | 23,833 | | |
附屬公司投資小計
(30.7% of net assets at fair value) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
$
|
578,539
|
| | | |
$
|
549,214
|
| |
非控股/非關聯
Investments(7) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
聲學工程公司
of Florida(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4656 34th St. Orlando,
FL 32811 |
| |
內部分包商
提供音響 Walls and Ceilings |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 11/2/2020 | | | | | — | | | |
10.00% (L+8.50%,
Floor 1.50%) |
| | | | 11/2/2025 | | | | | | 12,111 | | | | | | 12,005 | | | | | | 12,111 | | |
| | | | | |
Secured Debt(9)
|
| |
5/26/2021
|
| | | | — | | | |
14.00% (L+12.50%,
Floor 1.50%) |
| | | | 11/2/2025 | | | | | | 850 | | | | | | 841 | | | | | | 850 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 12,846 | | | | | | 12,961 | | |
ADS Tactical, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
621 Lynnhaven Parkway,
Suite 400 Virginia Beach, VA 23452 |
| |
Value-Added Logistics
and Supply Chain 國防提供商 Industry |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 3/29/2021 | | | | | — | | | |
6.75% (L+5.75%,
Floor 1.00%) |
| | | | 3/19/2026 | | | | | | 22,136 | | | | | | 21,734 | | | | | | 22,012 | | |
美國醫療人員配備
Group, Inc.(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3009 Astoria Ct Edmond,
OK 73034 , |
| |
醫療保健臨時
Staffing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
11/19/2021
|
| | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 11/19/2026 | | | | | | 7,067 | | | | | | 6,988 | | | | | | 6,988 | | |
American Nuts, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
12950 San Fernando Rd.
Sylmar, CA 91342 |
| |
Roaster, Mixer and
Packager of Bulk Nuts and Seeds |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/21/2018
|
| | | | — | | | |
9.00% (L+8.00%,
Floor 1.00%) |
| | | | 4/10/2025 | | | | | | 12,017 | | | | | | 11,854 | | | | | | 12,017 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
美國電話會議
Services, Ltd.(11) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3280 Peachtree Rd N.E.,
Suite 1000 Atlanta, GA 30305 |
| |
Provider of Audio
Conferencing and Video Collaboration Solutions |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(14)(17) | | | 9/17/2021 | | | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 9/9/2021 | | | | | | 2,980 | | | | | | 2,980 | | | | | | 89 | | |
| | | | | |
Secured Debt(9)(14)
|
| |
5/19/2016
|
| | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 6/28/2023 | | | | | | 14,370 | | | | | | 13,706 | | | | | | 431 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 16,686 | | | | | | 520 | | |
ArborWorks, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
40034 CA-HWY 49
Oakhurst, CA 93644 |
| |
Vegetation
管理服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 11/9/2021 | | | | | — | | | |
8.00% (L+7.00%,
Floor 1.00%) |
| | | | 11/9/2026 | | | | | | 32,605 | | | | | | 31,873 | | | | | | 31,873 | | |
| | | | | | Common Equity | | | 11/9/2021 | | | | | 0.5% | | | | | | | | | | | | | | | | | | | | | 234 | | | | | | 234 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 32,107 | | | | | | 32,107 | | |
Arrow International,Inc.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
9900 Clinton Road
Cleveland, OH 44144 |
| |
Manufacturer and
Distributor of Charitable Gaming Supplies |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(23) | | |
12/21/2020
|
| | | | — | | | |
9.18% (L+7.93%,
Floor 1.25%) |
| | | | 12/21/2025 | | | | | | 22,500 | | | | | | 22,300 | | | | | | 22,500 | | |
Avex Aviation Holdings,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
205 Durley Avenue, Suite A
Camarillo, CA 93010 |
| |
Specialty Aircraft
Dealer |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/15/2021
|
| | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 12/15/2026 | | | | | | 13,320 | | | | | | 13,005 | | | | | | 13,005 | | |
| | | | | | Common Equity | | |
12/15/2021
|
| | | | 2.1% | | | | | | | | | | | | | | | | | | | | | 360 | | | | | | 360 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,365 | | | | | | 13,365 | | |
Berry Aviation, Inc.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1807 Airport Drive San
Marcus, TX 78666 |
| |
包機服務
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(19) | | | 7/6/2018 | | | | | — | | | |
12.00% (10.50%
Cash, 1.50% PIK) |
| | | | 1/6/2024 | | | | | | 4,694 | | | | | | 4,674 | | | | | | 4,694 | | |
| | | | | |
Preferred Member
Units(8)(19)(30)(38) |
| |
11/12/2019
|
| | | | 2.4% | | | | 16.00% PIK | | | | | | | | | | | | | | | | | 168 | | | | | | 208 | | |
| | | | | |
Preferred Member
Units(14)(19)(30)(38) |
| |
7/6/2018
|
| | | | 2.4% | | | |
8.00% PIK
|
| | | | | | | | | | | | | | | | 1,671 | | | | | | 2,487 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6,513 | | | | | | 7,389 | | |
Binswanger企業,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
965 Ridge Lake Blvd.
Memphis, TN 38120 |
| |
Glass Repair and
安裝服務 Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 3/10/2017 | | | | | — | | | |
9.50% (L+8.50%,
Floor 1.00%) |
| | | | 3/10/2023 | | | | | | 12,194 | | | | | | 12,107 | | | | | | 12,194 | | |
| | | | | | Member Units | | | 3/10/2017 | | | | | 2.5% | | | | | | | | | | | | | | | | | | | | | 1,050 | | | | | | 730 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,157 | | | | | | 12,924 | | |
Bluestem Brands, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
6509 Flying Cloud Dr. Eden
Prairie, MN 55344 |
| |
多渠道零售商
of General Merchandise |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/28/2020 | | | | | — | | | |
10.00% (L+8.50%,
Floor 1.50%) |
| | | | 8/28/2025 | | | | | | 5,357 | | | | | | 5,357 | | | | | | 5,337 | | |
| | | | | | Common Stock(8) | | | 10/1/2020 | | | | | 2.6% | | | | | | | | | | | | | | | | | | | | | 1 | | | | | | 1,515 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5,358 | | | | | | 6,852 | | |
Brainworks Software,LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
100 South Main Street
Sayville, NY 11782 |
| |
Advertising Sales and
報紙發行量 Software |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(14)(17) | | | 8/12/2014 | | | | | — | | | |
12.50%
(Prime+9.25%, Floor 3.25%) |
| | | | 7/22/2019 | | | | | | 7,817 | | | | | | 7,817 | | | | | | 4,201 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Brightwood Capital
Fund Investments(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1540 Broadway, 23rd Floor
New York, NY 10036 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests
(Brightwood Capital Fund III, LP)(8)(31) |
| | 7/21/2014 | | | | | 1.6% | | | | | | | | | | | | | | | | | | | | | 7,200 | | | | | | 4,269 | | |
| | | | | |
LP Interests
(Brightwood Capital Fund IV, LP)(8)(31) |
| |
10/26/2016
|
| | | | 0.6% | | | | | | | | | | | | | | | | | | | | | 4,350 | | | | | | 4,394 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 11,550 | | | | | | 8,663 | | |
燃燒玻璃中間體
Holding Company, Inc.(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
66 Long Wharf, Floor 2
Boston, MA ‘02110 |
| |
Provider of Skills-Based
Labor Market Analytics |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/14/2021 | | | | | — | | | |
6.00% (L+5.00%,
Floor 1.00%) |
| | | | 6/10/2026 | | | | | | 465 | | | | | | 429 | | | | | | 429 | | |
| | | | | |
Secured Debt(9)
|
| |
6/14/2021
|
| | | | — | | | |
6.00% (L+5.00%,
Floor 1.00%) |
| | | | 6/10/2028 | | | | | | 20,134 | | | | | | 19,803 | | | | | | 19,985 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 20,232 | | | | | | 20,414 | | |
Cadence Aerospace LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
610 Newport Center Drive,
Suite 950 Newport Beach, CA 92660 |
| |
Aerostructure
Manufacturing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(19)(35) | | |
11/14/2017
|
| | | | — | | | |
9.28% Cash, 0.22%
PIK |
| | | | 11/14/2023 | | | | | | 28,540 | | | | | | 28,399 | | | | | | 26,767 | | |
CAI Software LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
36 Thurber Boulevard
Smithfield, RI 02917 |
| |
專業化服務提供商
Enterprise Resource Planning Software |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Preferred Equity(38) | | |
12/13/2021
|
| | | | 2.6% | | | | | | | | | | | | | | | | | | | | | 1,789 | | | | | | 1,789 | | |
| | | | | | Preferred Equity(38) | | |
12/13/2021
|
| | | | 11.9% | | | | | | | | | | | | | | | | | | | | | — | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 1,789 | | | | | | 1,789 | | |
Camin Cargo Control, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1001 Shaw Ave #300
Pasadena, TX 77506 |
| |
Provider of Mission
Critical Inspection, Testing and Fuel Treatment Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/14/2021 | | | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 6/4/2026 | | | | | | 15,920 | | | | | | 15,775 | | | | | | 15,840 | | |
Cenveo Corporation(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
200 First Stamford Place
Stamford, CT 06902 |
| |
Provider of Digital
Marketing Agency Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Common Stock | | | 9/7/2018 | | | | | 3.4% | | | | | | | | | | | | | | | | | | | | | 6,183 | | | | | | 2,852 | | |
奇澤姆能源控股公司,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
801 Cherry Street Suite
1200 – Unit 20 Fort Worth, TX 76102 |
| |
Oil & Gas Exploration
& Production |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 5/15/2019 | | | | | — | | | |
7.75% (L+6.25%,
Floor 1.50%) |
| | | | 5/15/2026 | | | | | | 2,857 | | | | | | 2,804 | | | | | | 2,663 | | |
Clarius BIGS, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
311 N Robertson Blvd.
Beverly Hills, CA 90211 |
| |
Prints & Advertising
Film Financing |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Secured Debt(14)(17)(19)
|
| | 9/23/2014 | | | | | — | | | | 15.00% PIK | | | | | 1/5/2015 | | | | | | 2,756 | | | | | | 2,756 | | | | | | 33 | | |
Computer Data Source, LLC(10)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
275 Industrial Way West
Eatontown, NJ 07724 |
| |
Third Party
維護提供商 to the Data Center Ecosystem |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/6/2021 | | | | | — | | | |
8.50% (L+7.50%,
Floor 1.00%) |
| | | | 8/6/2026 | | | | | | 21,681 | | | | | | 21,234 | | | | | | 21,234 | | |
Construction Supply
Investments, LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Nine Greenway Plaza, Suite
2400 Houston, TX 77046 |
| |
分銷平臺
of Specialty 建築材料 to Professional Concrete and Masonry Contractors |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units(8) | | |
12/29/2016
|
| | | | 0.9% | | | | | | | | | | | | | | | | | | | | | 3,335 | | | | | | 14,640 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Darr Equipment LP(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
350 Bank Street Southlake,
TX 76092 |
| |
Heavy Equipment
Dealer |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(19) | | |
12/26/2017
|
| | | | — | | | |
12.50% (11.50%
Cash, 1.00% PIK) |
| | | | 6/22/2023 | | | | | | 4,685 | | | | | | 4,685 | | | | | | 4,227 | | |
| | | | | | Warrants(29) | | | 4/15/2014 | | | | | 1.4% | | | | | | | | | 12/23/2023 | | | | | | | | | | | | 474 | | | | | | 160 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5,159 | | | | | | 4,387 | | |
DTE Enterprises, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
95 Chancellor Drive Roselle,
IL 60172 |
| |
Industrial Powertrain
Repair and Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 4/13/2018 | | | | | — | | | |
9.50% (L+8.00%,
Floor 1.50%) |
| | | | 4/13/2023 | | | | | | 9,324 | | | | | | 9,259 | | | | | | 8,884 | | |
| | | | | |
Class AA Preferred
Member Units (non- voting)(8)(19)(38) |
| | 4/13/2018 | | | | | 2.6% | | | | 10.00% PIK | | | | | | | | | | | | | | | | | 1,051 | | | | | | 1,051 | | |
| | | | | |
Class A Preferred
Member Units(14)(19)(38) |
| |
4/13/2018
|
| | | | 1.4% | | | |
8.00% PIK
|
| | | | | | | | | | | | | | | | 776 | | | | | | 320 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 11,086 | | | | | | 10,255 | | |
Dynamic Communities, LLC(10)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
5415 West Sligh Avenue, Suite
102 Tampa, FL 33634 |
| |
Developer of Business
Events and Online Community Groups |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/17/2018 | | | | | — | | | |
9.50% (L+8.50%,
Floor 1.00%) |
| | | | 7/17/2023 | | | | | | 5,681 | | | | | | 5,638 | | | | | | 5,569 | | |
東部批發圍欄
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
266 Middle Island Road
Medford, NY 11763 |
| |
Manufacturer and
Distributor of Residential and Commercial Fencing Solutions |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
11/19/2020
|
| | | | — | | | |
8.00%, (L+7.00%,
Floor 1.00%) |
| | | | 10/30/2025 | | | | | | 31,810 | | | | | | 31,238 | | | | | | 31,810 | | |
EnCap Energy
Fund Investments(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1100 Louisiana Street Suite
4900 Houston, TX 77002 |
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
LP Interests (EnCap
Energy Capital Fund VIII, L.P.)(8)(31) |
| | 1/22/2015 | | | | | 0.1% | | | | | | | | | | | | | | | | | | | | | 3,745 | | | | | | 1,599 | | |
| | | | | |
LP Interests (EnCap
Energy Capital Fund VIII Co- Investors, L.P.)(31) |
| | 1/21/2015 | | | | | 0.4% | | | | | | | | | | | | | | | | | | | | | 2,097 | | | | | | 777 | | |
| | | | | |
LP Interests (EnCap
Energy Capital Fund IX, L.P.)(8)(31) |
| | 1/22/2015 | | | | | 0.1% | | | | | | | | | | | | | | | | | | | | | 4,047 | | | | | | 2,284 | | |
| | | | | |
LP Interests (EnCap
Energy Capital Fund X, L.P.)(8)(31) |
| | 3/25/2015 | | | | | 0.1% | | | | | | | | | | | | | | | | | | | | | 8,443 | | | | | | 8,276 | | |
| | | | | |
LP Interests (EnCap
Flatrock Midstream Fund II, L.P.)(31) |
| | 3/30/2015 | | | | | 0.8% | | | | | | | | | | | | | | | | | | | | | 6,582 | | | | | | 2,796 | | |
| | | | | |
LP Interests (EnCap
Flatrock Midstream Fund III, L.P.)(8)(31) |
| |
3/27/2015
|
| | | | 0.2% | | | | | | | | | | | | | | | | | | | | | 6,082 | | | | | | 5,064 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 30,996 | | | | | | 20,796 | | |
EPIC Y-Grade Services, LP(11)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
18615 Tuscany Stone San
Antonio, TX 78258 |
| |
NGL Transportation &
Storage |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/22/2018 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 6/30/2027 | | | | | | 6,892 | | | | | | 6,819 | | | | | | 5,862 | | |
Event Holdco, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
19 Newport Dr., Suite 101
Forest Hill, MD 21050 |
| |
Event and Learning
Management Software for Healthcare Organizations and Systems |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(30) | | |
12/22/2021
|
| | | | — | | | |
8.00% (L+7.00%,
Floor 1.00%) |
| | | | 12/22/2026 | | | | | | 51,692 | | | | | | 51,135 | | | | | | 51,135 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Flip Electronics LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
40900 Woodward Avenue,
Suite 200 Bloomfield Hills, MI 48304 |
| |
Distributor of Hard-to-
Find and Obsolete 電子元器件 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(33) | | | 1/4/2021 | | | | | — | | | |
9.09% (L+8.09%,
Floor 1.00%) |
| | | | 1/2/2026 | | | | | | 5,400 | | | | | | 5,304 | | | | | | 5,287 | | |
Fortna Acquisition Co., Inc.(10)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
333 Buttonwood Street West
Reading, PA 19611 |
| |
Process, Physical
Distribution and 物流諮詢 Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 7/23/2019 | | | | | — | | | | 5.09% (L+5.00%) | | | | | 4/8/2025 | | | | | | 7,595 | | | | | | 7,525 | | | | | | 7,595 | | |
Fuse, LLC(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
700 N. Central Ave., Suite 600
Glendale, CA 91203 |
| |
Cable Networks
Operator |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 6/30/2019 | | | | | — | | | | 12.00% | | | | | 6/28/2024 | | | | | | 1,810 | | | | | | 1,810 | | | | | | 1,672 | | |
| | | | | | Common Stock | | | 6/30/2019 | | | | | 2.1% | | | | | | | | | | | | | | | | | | | | | 256 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 2,066 | | | | | | 1,672 | | |
地質穩定國際
(GSI)(11) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
P.O. Box 4709 Grand
Junction, CO 81502 |
| |
Geohazard Engineering
Services & Maintenance |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 1/2/2019 | | | | | — | | | | 5.35% (L+5.25%) | | | | | 12/19/2025 | | | | | | 20,710 | | | | | | 20,615 | | | | | | 20,606 | | |
GoWireless Holdings, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
9970 W. Cheyenne Avenue
#100 Las Vegas, NV 89129 |
| |
Provider of Wireless
電信 Carrier Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/10/2018 | | | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 12/22/2024 | | | | | | 18,534 | | | | | | 18,440 | | | | | | 18,576 | | |
Grupo Hima San Pablo, Inc.(11)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
P.O. Box 4980 Caguas, Puerto
Rico 00726 |
| |
三級護理醫院
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(14)(17) | | | 3/7/2013 | | | | | — | | | |
9.25% (L+7.00%,
Floor 1.50%) |
| | | | 4/30/2019 | | | | | | 4,504 | | | | | | 4,504 | | | | | | 1,269 | | |
| | | | | | Secured Debt(14)(17) | | | 3/7/2013 | | | | | — | | | | 13.75% | | | | | 10/15/2018 | | | | | | 2,055 | | | | | | 2,040 | | | | | | 49 | | |
| | | | | | Secured Debt(17) | | | 3/7/2013 | | | | | — | | | | 12.00% | | | | | 12/24/2021 | | | | | | 147 | | | | | | 147 | | | | | | 147 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6,691 | | | | | | 1,465 | | |
GS HVAM Intermediate,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3115 S Melrose Dr Carlsbad,
CA 92010 |
| |
Specialized Food
Distributor |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
10/18/2019
|
| | | | — | | | |
6.75% (L+5.75%,
Floor 1.00%) |
| | | | 10/2/2024 | | | | | | 13,243 | | | | | | 13,167 | | | | | | 13,243 | | |
GS Operating, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
410 Freeport Pkwy Suite 120
Coppell, TX 75019 |
| |
Distributor of
工業和專業 Parts |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 2/24/2020 | | | | | — | | | |
8.00% (L+6.50%,
Floor 1.50%) |
| | | | 2/24/2025 | | | | | | 28,451 | | | | | | 28,068 | | | | | | 28,451 | | |
HDC/HW Intermediate
Holdings(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
100 N Riverside, Suite 800
Chicago, IL 60606 |
| |
Managed Services and
Hosting Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/21/2018
|
| | | | — | | | |
8.50% (L+7.50%,
Floor 1.00%) |
| | | | 12/21/2023 | | | | | | 3,449 | | | | | | 3,419 | | | | | | 3,059 | | |
Heartland Dental, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1200 Network Centre Drive
Effingham, IL 62401 |
| |
Dental Support
Organization |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 9/9/2020 | | | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 4/30/2025 | | | | | | 14,813 | | | | | | 14,477 | | | | | | 14,887 | | |
HOWLCO LLC(11)(13)(21) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
231 Shearson Crescent, Suite
310 Cambridge, Canada N1T 1J5 Canada |
| |
會計提供商
and Business 開發軟件 to Real Estate End Markets |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/19/2021 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 10/23/2026 | | | | | | 25,546 | | | | | | 25,546 | | | | | | 25,546 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Hybrid Promotions, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
10711 Walker Street Cypress,
CA 90630 |
| |
特許批發商,
Branded and Private Label Apparel |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/30/2021 | | | | | — | | | |
9.25% (L+8.25%,
Floor 1.00%) |
| | | | 6/30/2026 | | | | | | 7,088 | | | | | | 6,957 | | | | | | 7,028 | | |
IG Parent Corporation(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
485 Albertto Way #100 Los
Gatos, CA 95032 |
| | 軟件工程 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/30/2021 | | | | | — | | | |
6.75% (L+5.75%,
Floor 1.00%) |
| | | | 7/30/2026 | | | | | | 9,591 | | | | | | 9,419 | | | | | | 9,419 | | |
Implus Footcare, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2001 TW Alexander Drive
Box 13925 Durham, NC 27709 |
| |
Provider of Footwear
及相關附件 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/1/2017 | | | | | — | | | |
8.75% (L+7.75%,
Floor 1.00%) |
| | | | 4/30/2024 | | | | | | 18,702 | | | | | | 18,471 | | | | | | 17,743 | | |
獨立寵物夥伴
中級控股,有限責任公司(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
888 Seventh Avenue 35th
Floor New York, NY 10106 |
| |
全方位渠道零售商
of Specialty Pet Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(36) | | | 8/20/2020 | | | | | — | | | | 7.20% | | | | | 12/22/2022 | | | | | | 6,563 | | | | | | 6,563 | | | | | | 6,563 | | |
| | | | | | Secured Debt(19) | | |
12/10/2020
|
| | | | — | | | | 6.00% PIK | | | | | 11/20/2023 | | | | | | 17,891 | | | | | | 16,861 | | | | | | 16,861 | | |
| | | | | |
Preferred Stock
(non-voting)(19)(39) |
| |
12/10/2020
|
| | | | — | | | | 6.00% PIK | | | | | | | | | | | | | | | | | 3,235 | | | | | | 4,329 | | |
| | | | | |
Preferred Stock
(non-voting)(39) |
| |
12/10/2020
|
| | | | — | | | | | | | | | | | | | | | | | | | | | — | | | | | | — | | |
| | | | | | Member Units | | |
11/20/2018
|
| | | | 1.0% | | | | | | | | | | | | | | | | | | | | | 1,558 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 28,217 | | | | | | 27,753 | | |
工業服務採購,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
9 Greenway Plaza, Suite 2400
Houston, TX 77046 |
| |
Industrial Cleaning
Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/13/2021 | | | | | — | | | |
7.75% (L+6.75%,
Floor 1.00%) |
| | | | 8/13/2026 | | | | | | 19,897 | | | | | | 19,490 | | | | | | 19,490 | | |
| | | | | |
Preferred Member
Units(8)(19)(30)(38) |
| | 1/31/2018 | | | | | 0.6% | | | | 10.00% PIK | | | | | | | | | | | | | | | | | 120 | | | | | | 164 | | |
| | | | | |
Preferred Member
Units(8)(19)(30)(38) |
| | 5/17/2019 | | | | | 0.6% | | | | 20.00% PIK | | | | | | | | | | | | | | | | | 81 | | | | | | 99 | | |
| | | | | | Member Units(30) | | | 6/17/2016 | | | | | 0.5% | | | | | | | | | | | | | | | | | | | | | 900 | | | | | | 730 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 20,591 | | | | | | 20,483 | | |
Infolinks Media Buyco, LLC(10)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
45 N Broad St Ridgewood,
NJ 07450 |
| |
Exclusive Placement
Provider to the 廣告生態系統 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 11/1/2021 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 11/1/2026 | | | | | | 8,680 | | | | | | 8,487 | | | | | | 8,487 | | |
接口安全系統,
L.L.C(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3773 Corporate Center
Dr. Earth City, MO 63045 |
| |
Commercial Security &
Alarm Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 12/9/2021 | | | | | — | | | |
11.75% (L+10.00%,
Floor 1.75%) |
| | | | 8/7/2023 | | | | | | 525 | | | | | | 525 | | | | | | 525 | | |
| | | | | |
Secured Debt(9)(14)(19)
|
| |
8/7/2019
|
| | | | — | | | |
9.75% (8.75% Cash,
1.00% PIK) (1.00% PIK + L+7.00%, Floor 1.75%) |
| | | | 8/7/2023 | | | | | | 7,313 | | | | | | 7,237 | | | | | | 5,233 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 7,762 | | | | | | 5,758 | | |
Intermedia Holdings, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
825 E. Middlefield Road
Mountain View, CA 94043 |
| |
Unified
Communications as a Service |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/3/2018 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 7/19/2025 | | | | | | 20,627 | | | | | | 20,559 | | | | | | 20,527 | | |
無敵船務公司,
LLC.(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4700 NW 132nd St Opa-
Locka, FL 33054 |
| |
Manufacturer of Sport
Fishing Boats |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/28/2019 | | | | | — | | | |
8.00% (L+6.50%,
Floor 1.50%) |
| | | | 8/28/2025 | | | | | | 17,510 | | | | | | 17,354 | | | | | | 17,510 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
INW Manufacturing, LLC(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1541 Champion Circle
Carrollton, TX 75006 |
| |
Manufacturer of
營養與健康 Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 5/19/2021 | | | | | — | | | |
6.50% (L+5.75%,
Floor 0.75%) |
| | | | 3/25/2027 | | | | | | 7,406 | | | | | | 7,205 | | | | | | 7,258 | | |
Isagenix International,LLC(11)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
155 E. Rivulon Boulevard
Gilbert, AZ 85297 |
| |
Direct Marketer of
Health & Wellness Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/21/2018 | | | | | — | | | |
6.75% (L+5.75%,
Floor 1.00%) |
| | | | 6/14/2025 | | | | | | 5,158 | | | | | | 5,135 | | | | | | 3,865 | | |
Jackmont Hotitality,Inc.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1760 Peachtree Street Suite
200 Atlanta, GA 30309 |
| |
Franchisee of Casual
Dining Restaurants |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 5/26/2015 | | | | | — | | | |
8.00% (L+7.00%,
Floor 1.00%) |
| | | | 11/4/2024 | | | | | | 2,100 | | | | | | 2,100 | | | | | | 2,100 | | |
| | | | | | Preferred Equity(38) | | | 11/8/2021 | | | | | 6.7% | | | | | | | | | | | | | | | | | | | | | 314 | | | | | | 314 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 2,414 | | | | | | 2,414 | | |
Joerns Healthcare, LLC(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2430 Whitehall Park Drive,
Suite 100 Charoltte, NC 28273 |
| |
Manufacturer and
Distributor of Health Care Equipment & Supplies |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/21/2019 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 8/21/2024 | | | | | | 4,034 | | | | | | 3,989 | | | | | | 3,658 | | |
| | | | | | Secured Debt(19) | | |
11/15/2021
|
| | | | — | | | | 15.00% PIK | | | | | 11/8/2022 | | | | | | 1,000 | | | | | | 1,004 | | | | | | 1,004 | | |
| | | | | | Common Stock | | | 8/21/2019 | | | | | 4.5% | | | | | | | | | | | | | | | | | | | | | 4,429 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9,422 | | | | | | 4,662 | | |
JTI機電,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2161 Saturn Court
Bakersfield, CA 933308 |
| |
電氣、機械
and Automation Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/22/2021
|
| | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 12/22/2026 | | | | | | 37,895 | | | | | | 36,972 | | | | | | 36,972 | | |
| | | | | | Common Equity | | |
12/22/2021
|
| | | | 4.0% | | | | | | | | | | | | | | | | | | | | | 1,684 | | | | | | 1,684 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 38,656 | | | | | | 38,656 | | |
Klein Hersh, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
220 Gibraltar Rd Ste 150
Horsham, PA 19044 |
| |
Executive and C-Suite
Placement for the Life 科學與醫療 Industries |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
11/13/2020
|
| | | | — | | | |
7.75% (L+7.00%,
Floor 0.75%) |
| | | | 11/13/2025 | | | | | | 43,321 | | | | | | 42,342 | | | | | | 43,278 | | |
KMS, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
811 E Waterman St # 1
Wichita, KS 67202 |
| |
收尾批發商
and Value-priced Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 10/4/2021 | | | | | — | | | |
8.25% (L+7.25%,
Floor 1.00%) |
| | | | 10/4/2026 | | | | | | 7,581 | | | | | | 7,415 | | | | | | 7,415 | | |
Kore Wireless Group Inc.(11)(13)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3700 Mansell Road, Suite 300
Alpharetta, GA 30022 |
| |
Mission Critical
Software Platform |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
12/31/2018
|
| | | | — | | | | 5.72% (L+5.50%) | | | | | 12/20/2024 | | | | | | 11,415 | | | | | | 11,345 | | | | | | 11,400 | | |
Laredo Energy, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
840 W. Sam Houston
Parkway North, #400 Houston, TX 77024 |
| |
Oil & Gas Exploration
& Production |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units | | | 5/4/2020 | | | | | 4.7% | | | | | | | | | | | | | | | | | | | | | 11,560 | | | | | | 9,659 | | |
LaserAway Intermediate
Holdings II, LLC(11) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
10100 Santa Monica Blvd
Los Angeles, CA 90067 |
| |
美容皮膚科
Service Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
10/18/2021
|
| | | | — | | | |
6.50% (L+5.75%,
Floor 0.75%) |
| | | | 10/14/2027 | | | | | | 4,130 | | | | | | 4,050 | | | | | | 4,115 | | |
Lightbox Holdings, L.P.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
9 W. 57th St. New York,
NY 10019 |
| |
商業提供商
房地產軟件 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | | 5/23/2019 | | | | | — | | | | 5.22% (L+5.00%) | | | | | 5/9/2026 | | | | | | 14,625 | | | | | | 14,460 | | | | | | 14,442 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
LKCM水源投資
I, L.P.(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
301 Commerce Street
|
| |
投資夥伴關係
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Suite 1600 Fort Worth,
TX 76102 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | LP Interests(8)(31) | | | 1/25/2013 | | | | | 2.3 | | | | | | | | | | | | | | | | | | | | | 1,746 | | | | | | 2,541 | | |
LL Management, Inc.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
30 Railroad Ave. West Haven,
CT 06516 |
| |
醫療運輸
Service Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 5/2/2019 | | | | | — | | | |
8.25% (L+7.25%,
Floor 1.00%) |
| | | | 9/25/2023 | | | | | | 17,438 | | | | | | 17,309 | | | | | | 17,438 | | |
LLFlex, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1225 West Burnett Avenue
Louisville, KY 40210 |
| |
Provider of Metal-
Based Laminates |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/16/2021 | | | | | — | | | |
10.00% (L+9.00%,
Floor 1.00%) |
| | | | 8/16/2026 | | | | | | 4,478 | | | | | | 4,382 | | | | | | 4,382 | | |
Logix收購公司,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2950 N. Loop W. 8th Floor
Houston, TX 77092 |
| |
Competitive Local
Exchange Carrier |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/8/2018 | | | | | — | | | |
6.75% (L+5.75%,
Floor 1.00%) |
| | | | 12/22/2024 | | | | | | 25,850 | | | | | | 24,605 | | | | | | 24,428 | | |
Look Glass Investments,
LLC(12)(13) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
316 E Silver Spring Drive
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Suite 206 Milwaukee,
WI 53217 |
| |
Specialty Consumer
Finance |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units | | | 7/1/2015 | | | | | 2.6 | | | | | | | | | | | | | | | | | | | | | 125 | | | | | | 25 | | |
Mac Lean-Fogg Company(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1000 Allanson Rd
Mundelein, IL 60060 |
| |
Manufacturer and
Supplier for Auto and Power Markets |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 4/22/2019 | | | | | — | | | |
5.88% (L+5.25%,
Floor 0.625%) |
| | | | 12/22/2025 | | | | | | 17,080 | | | | | | 16,995 | | | | | | 17,080 | | |
| | | | | | Preferred Stock(19)(38) | | | 10/1/2019 | | | | | — | | | |
13.75% (4.50%
Cash, 9.25% PIK) |
| | | | | | | | | | | | | | | | 1,920 | | | | | | 1,920 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 18,915 | | | | | | 19,000 | | |
Mako Steel, LP (10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
5650 El Camino Real, Suite
100 Carlsbad, CA 92008 |
| |
Self-Storage Design &
Construction |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 3/15/2021 | | | | | — | | | |
8.00% (L+7.25%,
Floor 0.75%) |
| | | | 3/13/2026 | | | | | | 17,589 | | | | | | 17,267 | | | | | | 17,589 | | |
MB2 Dental Solutions, LLC(11)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2403 Lacy Ln Carrollton,
TX 75006 |
| |
Dental Partnership
Organization |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/28/2021 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 1/29/2027 | | | | | | 11,682 | | | | | | 11,531 | | | | | | 11,682 | | |
Mills Fleet Farm Group,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3035 W Wisconsin Ave
Appleton, WI 54914 |
| |
全方位渠道零售商
of Work, Farm and 生活方式商品 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
10/24/2018
|
| | | | — | | | |
7.25% (L+6.25%,
Floor 1.00%) |
| | | | 10/24/2024 | | | | | | 17,781 | | | | | | 17,563 | | | | | | 17,781 | | |
NBG Acquisition Inc(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
12303 Technology Blvd. Suite
950 Austin, TX 78727 |
| |
Wholesaler of Home
Décor Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 4/28/2017 | | | | | — | | | |
6.50% (L+5.50%,
Floor 1.00%) |
| | | | 4/26/2024 | | | | | | 3,987 | | | | | | 3,961 | | | | | | 2,758 | | |
NinjaTrader, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1422 Delgany Street, Suite
400 Denver, CO 80202 |
| |
Operator of Futures
Trading Platform |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/18/2019
|
| | | | — | | | |
7.25% (L+6.25%,
Floor 1.00%) |
| | | | 12/18/2024 | | | | | | 31,425 | | | | | | 30,837 | | | | | | 31,368 | | |
NNE Partners, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
707 Virginia Street East, Suite
1200 Charleston, WV 07060 |
| |
Oil & Gas Exploration
& Production |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(19) | | | 3/2/2017 | | | | | — | | | |
9.37% (4.87% Cash,
4.50% PIK) (4.50% PIK + L+4.75%) |
| | | | 12/31/2023 | | | | | | 24,781 | | | | | | 24,709 | | | | | | 23,154 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
北星集團服務,
Inc(11) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Seven Penn Plaza, 370 7th
Avenue, Suite 1803 New York, NY 100001 |
| |
Commercial &
工業服務業 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 11/1/2021 | | | | | — | | | |
6.50% (L+5.50%,
Floor 1.00%) |
| | | | 11/12/2026 | | | | | | 10,000 | | | | | | 9,952 | | | | | | 10,034 | | |
NTM Acquisition Corp.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
100 Lighting Way Seacaucus,
NJ 07094 |
| |
Provider of B2B Travel
Information Content |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(19) | | | 7/12/2016 | | | | | — | | | |
8.25% (7.25% Cash,
1.00% PIK) (1.00%PIK + L+6.25%, Floor 1.00%) |
| | | | 6/7/2024 | | | | | | 4,598 | | | | | | 4,598 | | | | | | 4,552 | | |
NWN Corporation(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
271 Waverley Oaks Rd #203
Waltham, MA ‘02452 |
| |
Value Added Reseller
and Provider of Managed Services to a Diverse Set of Industries |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 5/7/2021 | | | | | — | | | |
7.50% (L+6.50%,
Floor 1.00%) |
| | | | 5/7/2026 | | | | | | 42,972 | | | | | | 42,108 | | | | | | 42,323 | | |
Ospemifene版税SUB
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
777 East Eisenhower
Parkway, Suite 100 Ann Arbor, MI 48108 |
| |
Estrogen-Deficiency
Drug Manufacturer and Distributor |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(14) | | | 7/8/2013 | | | | | — | | | | 11.50% | | | | | 11/15/2026 | | | | | | 4,562 | | | | | | 4,562 | | | | | | 112 | | |
OVG Business Services, LLC(10)
|
| |
Venue Management
Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1100 Glendon Avenue Suite
2100 Los Angeles, CA 90024 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
11/29/2021
|
| | | | — | | | |
7.25% (L+6.25%,
Floor 1.00%) |
| | | | 11/19/2028 | | | | | | 14,000 | | | | | | 13,861 | | | | | | 13,861 | | |
Project Eagle Holdings, LLC(10)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2325 Dulles Corner Blvd. Suite
600 Herndon, VA 20171 |
| |
Provider of Secure
業務協作 Software |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/6/2020 | | | | | — | | | |
7.75% (L+6.75%,
Floor 1.00%) |
| | | | 7/6/2026 | | | | | | 29,738 | | | | | | 29,151 | | | | | | 29,714 | | |
PT Network, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
501 Fairmount Avenue, Suite
302 Towson, MD 21286 |
| |
門診提供者
Physical Therapy and Sports Medicine Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(19) | | |
10/12/2017
|
| | | | — | | | |
8.50% (6.50% Cash,
2.00% PIK) (2.00% PIK + L+5.50%, Floor 1.00%) |
| | | | 11/30/2023 | | | | | | 8,889 | | | | | | 8,889 | | | | | | 8,889 | | |
| | | | | | Common Stock | | | 1/1/2020 | | | | | 0.2% | | | | | | | | | | | | | | | | | | | | | — | | | | | | 80 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 8,889 | | | | | | 8,969 | | |
RA Outdoors LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
717 N Harwood Street #2400
Dallas, TX 75201 |
| |
Software Solutions
Provider for Outdoor 活動管理 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 4/8/2021 | | | | | — | | | |
7.75% (L+6.75%,
Floor 1.00%) |
| | | | 4/8/2026 | | | | | | 19,374 | | | | | | 19,193 | | | | | | 18,352 | | |
Research Now Group,Inc.和
國際抽樣調查, LLC(11) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
58 West 40th Street, 16th Floor
New York, NY 10018 |
| |
外包供應商
Online Surveying |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/29/2017
|
| | | | — | | | |
6.50% (L+5.50%,
Floor 1.00%) |
| | | | 12/20/2024 | | | | | | 20,124 | | | | | | 19,789 | | | | | | 19,899 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
RM Bidder, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1040 N. Las Palmas Ave | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Building 40 Los Angeles,
CA 90038 |
| |
Scripted and
Unscripted TV and Digital Programming Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Member Units | | |
11/12/2015
|
| | | | 0.0% | | | | | | | | | | | | | | | | | | | | | 46 | | | | | | 26 | | |
| | | | | | Warrants(26) | | |
11/12/2015
|
| | | | 0.6% | | | | | | | | | 10/20/2025 | | | | | | | | | | | | — | | | | | | — | | |
| | | | | | | | | | | | | | 0.8% | | | | | | | | | 10/20/2025 | | | | | | | | | | | | 425 | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 471 | | | | | | 26 | | |
Roof Opco, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1209 N Ave ste 13 Plano,
TX 75074 |
| |
住宅重鋪屋頂/
修補 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/27/2021 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 8/27/2026 | | | | | | 2,800 | | | | | | 2,704 | | | | | | 2,704 | | |
RTIC子公司控股,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
20702 Hempstead Road, Suite
110 Houston, TX 77065 |
| |
Direct-To-Consumer
eCommerce Provider of Outdoor Products |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 9/1/2020 | | | | | — | | | |
9.00% (L+7.75%,
Floor 1.25%) |
| | | | 9/1/2025 | | | | | | 18,191 | | | | | | 17,997 | | | | | | 18,191 | | |
Rug Doctor, LLC.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2201 West Plano Parkway, Suite
100 Plano, TX 75075 |
| |
Carpet Cleaning
Products and Machinery |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/16/2021 | | | | | — | | | |
7.25% (L+6.25%,
Floor 1.00%) |
| | | | 11/16/2024 | | | | | | 11,145 | | | | | | 10,902 | | | | | | 10,902 | | |
Salient Partners L.P.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4265 San Felipe, 8th Floor
Houston, TX 77027 |
| |
Provider of Asset
管理服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/31/2018 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 10/30/2022 | | | | | | 6,251 | | | | | | 6,247 | | | | | | 4,063 | | |
| | | | | |
Secured Debt(9)
|
| |
9/30/2021
|
| | | | — | | | |
6.00% (L+5.00%,
Floor 1.00%) |
| | | | 10/30/2022 | | | | | | 1,250 | | | | | | 1,250 | | | | | | 2,435 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 7,497 | | | | | | 6,498 | | |
Savers, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
11400 SE 6th Street Bellevue,
WA 98004 |
| |
For-Profit Thrift
Retailer |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 5/14/2021 | | | | | — | | | |
6.25% (L+5.50%,
Floor 0.75%) |
| | | | 4/26/2028 | | | | | | 11,400 | | | | | | 11,295 | | | | | | 11,386 | | |
SIB Holdings, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
查爾斯頓會議街796號
SC 29403 |
| |
Provider of Cost
Reduction Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
10/29/2021
|
| | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 10/29/2026 | | | | | | 6,282 | | | | | | 6,134 | | | | | | 6,145 | | |
| | | | | | Common Equity | | |
10/29/2021
|
| | | | 0.2% | | | | | | | | | | | | | | | | | | | | | 200 | | | | | | 200 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6,334 | | | | | | 6,345 | | |
South Coast Terminals
Holdings, LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
7401 Wallisville Rd. Houston,
TX 77020 |
| |
特種收費化學品
Manufacturer |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/10/2021
|
| | | | — | | | |
7.25% (L+6.25%,
Floor 1.00%) |
| | | | 12/13/2026 | | | | | | 50,704 | | | | | | 49,589 | | | | | | 49,589 | | |
| | | | | | Common Equity | | |
12/10/2021
|
| | | | 0.6% | | | | | | | | | | | | | | | | | | | | | 864 | | | | | | 864 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 50,453 | | | | | | 50,453 | | |
Staples Canada ULC(10)(13)(21)
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
裏士滿斯台普斯大道6號
Hill, Ontario ON L4B 4W3 |
| |
辦公用品零售商
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9)(22) | | | 9/14/2017 | | | | | — | | | |
8.00% (L+7.00%,
Floor 1.00%) |
| | | | 9/12/2024 | | | | | | 16,116 | | | | | | 16,039 | | | | | | 15,620 | | |
Stellant Systems, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
107 Woodmere Rd. Folsom,
CA 95630 |
| |
Manufacturer of
Traveling Wave Tubes and Vacuum Electronic Devices |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 1/0/1900 | | | | | — | | | |
6.25% (L+5.50%,
Floor 0.75%) |
| | | | 10/1/2028 | | | | | | 7,700 | | | | | | 7,625 | | | | | | 7,700 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
學生資源中心,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
10 High Street Jamestown,
RI 02835 |
| |
Higher Education
Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 6/25/2021 | | | | | — | | | |
9.00% (L+8.00%,
Floor 1.00%) |
| | | | 6/25/2026 | | | | | | 10,969 | | | | | | 10,753 | | | | | | 10,826 | | |
Tacala Investment Corp.(34) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3750 Corporate Woods Drive
Vestavia Hills, AL 35242 |
| |
Quick Service
Restaurant Group |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 3/19/2021 | | | | | — | | | |
4.25% (L+3.50%,
Floor 0.75%) |
| | | | 2/5/2027 | | | | | | 1,995 | | | | | | 1,995 | | | | | | 1,994 | | |
Team Public Choices, LLC(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
3131 Camino del Rio North,
Suite 650 San Diego, CA 92108 |
| |
Home-Based Care
Employment Service Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/22/2020
|
| | | | — | | | |
6.00% (L+5.00%,
Floor 1.00%) |
| | | | 12/18/2027 | | | | | | 15,109 | | | | | | 14,778 | | | | | | 15,071 | | |
構造金融有限責任公司 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
6900 N. Dallas Parkway, Suite
500 Plano, TX 75024 |
| |
Financial Services
Organization |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Common Stock(8) | | | 5/15/2017 | | | | | 2.8% | | | | | | | | | | | | | | | | | | | | | 2,000 | | | | | | 4,650 | | |
Tex Tech Tennis, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
4448 West Lover Lane Dallas,
Texas 75209 |
| |
Sporting Goods &
Textiles |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Common Stock(30) | | | 7/7/2021 | | | | | 2.7% | | | | | | | | | | | | | | | | | | | | | 1,000 | | | | | | 1,000 | | |
U.S. TelePacific Corp.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
515 S. Flower St. 47th Floor
Los Angeles, CA 90071 |
| |
Provider of
Communications and Managed Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 5/17/2017 | | | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 5/2/2023 | | | | | | 17,088 | | | | | | 16,985 | | | | | | 12,917 | | |
USA DeBusk LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1005 W 8th St Deer Park,
TX 77536 |
| |
工業供應商
Cleaning Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
10/22/2019
|
| | | | — | | | |
6.75% (L+5.75%,
Floor 1.00%) |
| | | | 9/8/2026 | | | | | | 37,281 | | | | | | 36,510 | | | | | | 37,281 | | |
Veregy Consolidated, Inc.(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
23325 North 23rd Avenue Suite
120 Phoenix, AZ 85027 |
| |
Energy Service
Company |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 11/9/2020 | | | | | — | | | |
6.25% (L+5.25,
Floor 1.00%) |
| | | | 11/3/2025 | | | | | | 5,875 | | | | | | 5,111 | | | | | | 5,111 | | |
| | | | | |
Secured Debt(9)
|
| |
11/9/2020
|
| | | | — | | | |
7.00% (L+6.00%,
Floor 1.00%) |
| | | | 11/3/2027 | | | | | | 14,888 | | | | | | 14,524 | | | | | | 14,925 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 19,635 | | | | | | 20,036 | | |
Vida Capital, Inc(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
835 W 6th St #1400 Austin,
TX 78703 |
| |
Alternative Asset
Manager |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt | | |
10/10/2019
|
| | | | — | | | | 6.10% (L+6.00%) | | | | | 10/1/2026 | | | | | | 17,089 | | | | | | 16,905 | | | | | | 15,850 | | |
Vistar Media, Inc.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
137 5th Ave. 5th Floor New
York, NY 10010 |
| |
Operator of Digital
Out-of-Home 廣告平臺 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Preferred Stock(38) | | | 4/3/2019 | | | | | 22.5% | | | | | | | | | | | | | | | | | | | | | 767 | | | | | | 1,726 | | |
VORTEQ Coil Finishers,
LLC(10) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
135 Alleghany Ave Ste A
Oakmont, PA 15139 |
| |
Specialty Coating of
Aluminum and Light-Gauge Steel |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
11/30/2021
|
| | | | — | | | |
8.50% (L+7.50%,
Floor 1.00%) |
| | | | 11/30/2026 | | | | | | 25,962 | | | | | | 25,450 | | | | | | 25,450 | | |
| | | | | | Common Equity | | |
11/30/2021
|
| | | | 4.3% | | | | | | | | | | | | | | | | | | | | | 1,038 | | | | | | 1,038 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 26,488 | | | | | | 26,488 | | |
Wahoo健身收購
L.L.C.(11) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
12 East 49th Street, 20th Floor
New York, |
| |
Fitness Training
Equipment Provider |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 8/17/2021 | | | | | — | | | |
6.75% (L+5.75%,
Floor 1.00%) |
| | | | 8/12/2028 | | | | | | 15,000 | | | | | | 14,569 | | | | | | 14,916 | | |
Portfolio Company(1) (20)
|
| |
Business
Description |
| |
Type of
Investment(2)(3) (15) |
| |
Investment
Date(24) |
| |
Percent
of Class Held(37) |
| |
Rate
|
| |
Maturity
Date |
| |
Principal(4)
|
| |
Cost(4)
|
| |
Fair
Value(18) |
| |||||||||||||||
Wall Street Prep, Inc.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
1330 Beacon St. Brookline, MA
‘02446 |
| |
Financial Training
Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | | 7/19/2021 | | | | | — | | | |
8.00% (L+7.00%,
Floor 1.00%) |
| | | | 7/19/2026 | | | | | | 4,373 | | | | | | 4,288 | | | | | | 4,285 | | |
| | | | | | Common Stock | | | 7/19/2021 | | | | | 0.7% | | | | | | | | | | | | | | | | | | | | | 400 | | | | | | 400 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 4,688 | | | | | | 4,685 | | |
Watterson Brands, LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
122 May River Rd. #300
Bluffton, SC 29910 |
| |
Facility Management
Services |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/17/2021
|
| | | | — | | | |
7.25% (L+6.25%,
Floor 1.00%) |
| | | | 12/17/2026 | | | | | | 25,876 | | | | | | 25,267 | | | | | | 25,267 | | |
Winter Services LLC(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2100 S. 116th Street West Allis,
WI 53227 |
| |
Provider of Snow
Removal and Ice 管理服務 |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
11/19/2021
|
| | | | — | | | |
8.00% (L+7.00%,
Floor 1.00%) |
| | | | 11/19/2026 | | | | | | 10,278 | | | | | | 10,018 | | | | | | 10,061 | | |
Xenon Arc, Inc.(10) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
777 108th Ave Northeast Suite
1750 Bellevue, WA 98004 |
| |
Tech-enabled
分銷服務至 Chemicals and Food Ingredients Primary Producers |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | Secured Debt(9) | | |
12/17/2021
|
| | | | — | | | |
6.75% (L+6.00%,
Floor 0.75%) |
| | | | 12/17/2026 | | | | | | 38,600 | | | | | | 37,423 | | | | | | 37,423 | | |
YS Garments, LLC(11) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
15730 S. Figueroa St. Gardena,
CA 90248 |
| |
Designer and Provider
of Branded Activewear |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Secured Debt(9)
|
| |
8/22/2018
|
| | | | — | | | |
6.50% (L+5.50%,
Floor 1.00%) |
| | | | 8/9/2024 | | | | | | 13,034 | | | | | | 12,967 | | | | | | 12,578 | | |
Subtotal
Non-Control/Non-Affiliate Investments (85.2% of net assets at fair value) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
$
|
1,573,110
|
| | | |
$
|
1,523,360
|
| |
投資組合總投資,
December 31, 2021 (199.2% of net assets at fair value) |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
$
|
3,259,246
|
| | | |
$
|
3,561,831
|
| |
|
| | |
Prior to
Sale Below NAV |
| |
Example 1
5% Offering at 5% Discount |
| |
Example 2
10% Offering at 10% Discount |
| |
Example 3
25% Offering at 20% Discount |
| |
Example 4
25% Offering at 100% Discount |
| |||||||||||||||||||||||||||||||||||||||
| | |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| ||||||||||||||||||||||||||||||
Offering Price | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Price per Share to Public(1)
|
| | | | — | | | | | $ | 10.00 | | | | | | — | | | | | $ | 9.47 | | | | | | — | | | | | $ | 8.42 | | | | | | — | | | | | $ | 0.01 | | | | | | — | | |
發行人每股淨收益
|
| | | | — | | | | | $ | 9.50 | | | | | | — | | | | | $ | 9.00 | | | | | | — | | | | | $ | 8.00 | | | | | | — | | | | | $ | 0.01 | | | | | | — | | |
股票增加,資產淨值減少 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
未償還股份總數
|
| | | | 1,000,000 | | | | | | 1,050,000 | | | | | | 5.00% | | | | | | 1,100,000 | | | | | | 10.00% | | | | | | 1,250,000 | | | | | | 25.00% | | | | | | 1,250,000 | | | | | | 25.00% | | |
NAV per Share
|
| | | $ | 10.00 | | | | | $ | 9.98 | | | | | | (0.20)% | | | | | $ | 9.91 | | | | | | (0.90)% | | | | | $ | 9.60 | | | | | | (4.00)% | | | | | $ | 8.00 | | | | | | (20.00)% | | |
對非參與股東A的攤薄
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Share Dilution
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
股東A持有的股份
|
| | | | 10,000 | | | | | | 10,000 | | | | | | — | | | | | | 10,000 | | | | | | — | | | | | | 10,000 | | | | | | — | | | | | | 10,000 | | | | | | — | | |
股東A持有的未償還百分比
|
| | | | 1.00% | | | | | | 0.95% | | | | | | (4.76)% | | | | | | 0.91% | | | | | | (9.09)% | | | | | | 0.80% | | | | | | (20.00)% | | | | | | 0.80% | | | | | | (20.00)% | | |
NAV Dilution
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
股東A持有的資產淨值合計
|
| | | $ | 100,000 | | | | | $ | 99,800 | | | | | | (0.20)% | | | | | $ | 99,100 | | | | | | (0.90)% | | | | | $ | 96,000 | | | | | | (4.00)% | | | | | $ | 80,000 | | | | | | (20.00)% | | |
股東A的總投資(假設為每股10.00美元)
|
| | | $ | 100,000 | | | | | $ | 100,000 | | | | | | — | | | | | $ | 100,000 | | | | | | — | | | | | $ | 100,000 | | | | | | — | | | | | $ | 100,000 | | | | | | — | | |
股東A的總攤薄(總計
資產淨值減去總投資) |
| | | | | | | | | $ | (200) | | | | | | — | | | | | $ | (900) | | | | | | — | | | | | $ | (4,000) | | | | | | — | | | | | $ | (20,000) | | | | | | — | | |
NAV Dilution per Share
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
NAV per Share Held by
Stockholder A |
| | | | | | | | | $ | 9.98 | | | | | | — | | | | | $ | 9.91 | | | | | | — | | | | | $ | 9.60 | | | | | | — | | | | | $ | 8.00 | | | | | | — | | |
| | |
Prior to
Sale Below NAV |
| |
Example 1
5% Offering at 5% Discount |
| |
Example 2
10% Offering at 10% Discount |
| |
Example 3
25% Offering at 20% Discount |
| |
Example 4
25% Offering at 100% Discount |
| |||||||||||||||||||||||||||||||||||||||
| | |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| ||||||||||||||||||||||||||||||
股東A持有的每股投資(假設出售前持有的股票為每股10.00美元)
|
| | | $ | 10.00 | | | | | $ | 10.00 | | | | | | — | | | | | $ | 10.00 | | | | | | — | | | | | $ | 10.00 | | | | | | — | | | | | $ | 10.00 | | | | | | — | | |
股東A經歷的每股資產淨值稀釋(每股資產淨值減去每股投資)
|
| | | | | | | | | $ | (0.02) | | | | | | — | | | | | $ | (0.09) | | | | | | — | | | | | $ | (0.40) | | | | | | — | | | | | $ | (2.00) | | | | | | — | | |
資產淨值稀釋百分比
按股東A(每 資產淨值稀釋) 份額除以投資額 Share) |
| | | | | | | | | | | | | | | | (0.20)% | | | | | | | | | | | | (0.90)% | | | | | | | | | | | | (4.00)% | | | | | | | | | | | | (20.00)% | | |
| | |
Prior to
Sale Below NAV |
| |
50% Participation
|
| |
150% Participation
|
| |||||||||||||||||||||
| | |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| ||||||||||||||||||
Offering Price | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Price per Share to Public(1)
|
| | | | — | | | | | $ | 8.42 | | | | | | — | | | | | $ | 8.42 | | | | | | — | | |
發行人每股淨收益
|
| | | | — | | | | | $ | 8.00 | | | | | | — | | | | | $ | 8.00 | | | | | | — | | |
股票增加,資產淨值減少
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
未償還股份總數
|
| | | | 1,000,000 | | | | | | 1,250,000 | | | | | | 25.00% | | | | | | 1,250,000 | | | | | | 25.00% | | |
NAV per Share
|
| | | $ | 10.00 | | | | | $ | 9.60 | | | | | | (4.00)% | | | | | $ | 9.60 | | | | | | (4.00)% | | |
對參股股東A的稀釋/增值
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
股份稀釋/增值
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
股東A持有的股份
|
| | | | 10,000 | | | | | | 11,250 | | | | | | 12.50% | | | | | | 13,750 | | | | | | 37.50% | | |
持有的未清償百分比
Stockholder A |
| | | | 1.00% | | | | | | 0.90% | | | | | | (10.00)% | | | | | | 1.10% | | | | | | 10.00% | | |
資產淨值稀釋/吸積
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
股東A持有的資產淨值合計
|
| | | $ | 100,000 | | | | | $ | 108,000 | | | | | | 8.00% | | | | | $ | 132,000 | | | | | | 32.00% | | |
股東A的總投資(假設出售前持有的股票為每股10.00美元)
|
| | | | — | | | | | $ | 110,525 | | | | | | — | | | | | $ | 131,575 | | | | | | — | | |
總稀釋/吸積至
股東A(總資產淨值減去 Total Investment) |
| | | | — | | | | | $ | (2,525) | | | | | | — | | | | | $ | 425 | | | | | | — | | |
每股資產淨值稀釋/增值
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
NAV per Share Held by
Stockholder A |
| | | | — | | | | | $ | 9.60 | | | | | | — | | | | | $ | 9.60 | | | | | | — | | |
股東A持有的每股投資(假設出售前持有的股票為每股10.00美元)
|
| | | $ | 10.00 | | | | | $ | 9.82 | | | | | | (1.76)% | | | | | $ | 9.57 | | | | | | (4.31)% | | |
每
資產淨值稀釋/增值
Share Experienced by Stockholder A (NAV per Share Less Investment per Share) |
| | | | — | | | | | $ | (0.22) | | | | | | — | | | | | $ | 0.03 | | | | | | — | | |
Percentage NAV
稀釋/吸積經歷 by Stockholder A (NAV 每股稀釋/增值 Divided by Investment per Share) |
| | | | — | | | | | | — | | | | | | (2.28)% | | | | | | — | | | | | | 0.32% | | |
| | |
Prior to
Sale Below NAV |
| |
Example 1
5% Offering at 5% Discount |
| |
Example 2
10% Offering at 10% Discount |
| |
Example 3
25% Offering at 20% Discount |
| |
Example 4
25% Offering at 100% Discount |
| |||||||||||||||||||||||||||||||||||||||
| | |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| |
Following
Sale |
| |
% Change
|
| ||||||||||||||||||||||||||||||
Offering Price | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Price per Share to Public(1)
|
| | | | — | | | | | $ | 10.00 | | | | | | — | | | | | $ | 9.47 | | | | | | — | | | | | $ | 8.42 | | | | | | — | | | | | $ | 0.01 | | | | | | — | | |
發行人每股淨收益
|
| | | | — | | | | | $ | 9.50 | | | | | | — | | | | | $ | 9.00 | | | | | | — | | | | | $ | 8.00 | | | | | | — | | | | | $ | 0.01 | | | | | | — | | |
股票增加,資產淨值減少 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
未償還股份總數
|
| | | | 1,000,000 | | | | | | 1,050,000 | | | | | | 5.00% | | | | | | 1,100,000 | | | | | | 10.00% | | | | | | 1,250,000 | | | | | | 25.00% | | | | | | 1,250,000 | | | | | | 25.00% | | |
NAV per Share
|
| | | $ | 10.00 | | | | | $ | 9.98 | | | | | | (0.20)% | | | | | $ | 9.91 | | | | | | (0.90)% | | | | | $ | 9.60 | | | | | | (4.00)% | | | | | $ | 8.00 | | | | | | (20.00)% | | |
對新投資者A的稀釋/增值 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Share Dilution
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Shares Held by Investor A
|
| | | | — | | | | | | 500 | | | | | | — | | | | | | 1,000 | | | | | | — | | | | | | 2,500 | | | | | | — | | | | | | 2,500 | | | | | | — | | |
投資者A持有的未償還百分比
|
| | | | 0.00% | | | | | | 0.05% | | | | | | — | | | | | | 0.09% | | | | | | — | | | | | | 0.20% | | | | | | — | | | | | | 0.20% | | | | | | — | | |
NAV Dilution
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
投資者A持有的總資產淨值
|
| | | | — | | | | | $ | 4,990 | | | | | | — | | | | | $ | 9,910 | | | | | | — | | | | | $ | 24,000 | | | | | | — | | | | | $ | 20,000 | | | | | | — | | |
投資者A的總投資(按公開價格計算)
|
| | | | — | | | | | $ | 5,000 | | | | | | — | | | | | $ | 9,470 | | | | | | — | | | | | $ | 21,050 | | | | | | — | | | | | $ | 25 | | | | | | — | | |
投資者A的總稀釋/增值
(Total NAV Less Total Investment) |
| | | | — | | | | | $ | (10) | | | | | | — | | | | | $ | 440 | | | | | | — | | | | | $ | 2,950 | | | | | | — | | | | | $ | 19,975 | | | | | | — | | |
NAV Dilution per Share
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
投資者A持有的每股資產淨值
|
| | | | | | | | | $ | 9.98 | | | | | | — | | | | | $ | 9.91 | | | | | | — | | | | | $ | 9.60 | | | | | | — | | | | | $ | 8.00 | | | | | | — | | |
投資者A持有的每股投資
|
| | | | — | | | | | $ | 10.00 | | | | | | — | | | | | $ | 9.47 | | | | | | — | | | | | $ | 8.42 | | | | | | — | | | | | $ | 0.01 | | | | | | — | | |
每股資產淨值稀釋/增值
投資者A經歷(每 資產淨值) 每股投資減少) |
| | | | — | | | | | $ | (0.02) | | | | | | — | | | | | $ | 0.44 | | | | | | — | | | | | $ | 1.18 | | | | | | — | | | | | $ | 7.99 | | | | | | — | | |
投資者A經歷的資產淨值稀釋/增值百分比(每股資產淨值稀釋/增值除以每股投資)
|
| | | | — | | | | | | — | | | | | | (0.20)% | | | | | | — | | | | | | 4.65% | | | | | | — | | | | | | 14.01% | | | | | | — | | | | | | 79,900.00% | | |
(1)
|
| |
(2)
|
| |
(3)
|
| |
(4)
|
| |||||||||
Title of Class
|
| |
Amount
Authorized |
| |
Amount Held
by us or for Our Account |
| |
Amount Outstanding
Exclusive of Amount Under Column 3 |
| |||||||||
Common Stock
|
| | | | 150,000,000 | | | | | | — | | | | | | 71,692,388 | | |
| (a) | | | Main Street Capital Corporation修訂和重述條款(之前作為Main Street Capital Corporation於2007年8月15日提交的Form N-2註冊説明書的生效前修正案第2號附件(Reg.第333-142879號)) | |
| (b) | | | 修訂和重新修訂了Main Street Capital Corporation章程(之前作為Main Street Capital Corporation當前報告的附件3.1於2013年3月6日提交的Form 8-K(1-33723號文件)) | |
| (c) | | | Not Applicable | |
| (d)(1) | | | 普通股證書表格(之前作為Main Street Capital Corporation於2007年8月15日提交的表格N-2註冊説明書的生效前修正案第2號)的附件(D)(Reg.第333-142879號)) | |
| (d)(2) | | | 訂閲證書格式* | |
| (d)(3) | | | 認購代理協議格式* | |
| (d)(4) | | | 優先股證書表格* | |
| (d)(5) | | | Main Street Capital Corporation和紐約梅隆銀行信託公司(New York Mellon Trust Company,N.A.)之間的契約表格(之前作為Main Street Capital Corporation於2013年3月28日提交的Form N-2註冊聲明的生效後修正案第2號的附件(D)(6)提交。第333-183555號)) | |
| (d)(6) | | |
附件(D)(5)中紐約梅隆銀行信託公司表格T-1的受託人資格聲明**
|
|
| (d)(7) | | | 與Main Street Capital Corporation和紐約銀行梅隆信託公司(Bank of New York Mellon Trust Company,N.A.)於2022年到期的4.50%票據有關的第三補充契約表格(之前作為Main Street Capital Corporation於2017年11月17日提交的Form N-2註冊聲明生效後修正案第14號的附件(D)(12)提交。第333-203147號)) | |
| (d)(8) | | |
2022年到期的4.50%票據格式(引用附件(D)(7))
|
|
| (d)(9) | | | 與Main Street Capital Corporation和紐約銀行梅隆信託公司(Bank of New York Mellon Trust Company,N.A.)於2024年到期的5.20%票據有關的第四補充契約表格(之前作為Main Street Capital Corporation於2019年4月18日提交的Form N-2註冊聲明的生效後修正案第7號的附件(D)(11)提交。第333-223483號)) | |
| (d)(10) | | |
2024年到期的5.20%票據格式(引用附件(D)(9))
|
|
| (d)(11) | | | 與Main Street Capital Corporation和紐約銀行梅隆信託公司(Bank of New York Mellon Trust Company,N.A.)作為受託人於2026年到期的3.00%債券有關的第五份補充契約(之前作為Main Street Capital Corporation於2021年1月14日提交的Form 8-K當前報告(第1-33723號文件)的附件4.1提交) | |
| (d)(12) | | |
2026年到期的3.00%票據格式(引用附件(D)(11))
|
|
| (e) | | | 股息再投資和直接購股計劃,2019年5月10日生效(之前作為附件99.1提交給Main Street Capital Corporation於2019年5月10日提交的8K表格當前報告(文件1,33723)) | |
| (f)(1) | | | Main Street Mezzanine Fund,LP SBIC由SBA擔保的債券(之前作為Main Street Capital Corporation於2007年6月22日提交的表格N-2登記聲明的生效前修正案第1號的附件(F)(1))提交(Reg.第333-142879號)) | |
| (f)(2) | | | 由SBA擔保的Main Street Capital III,LP SBIC債券(參見Main Street Capital Corporation於2007年6月22日提交的表格N-2登記聲明的生效前修正案第1號附件(F)(1),以獲得與債券格式基本相同的副本) | |
| (g)(1) | | | MSC Adviser I,LLC和MSC Inc.之間於2020年10月30日簽署的投資諮詢和行政服務協議(之前作為Main Street Capital Corporation於2020年11月3日提交的當前Form 8-K報告的附件10.1(文件編號1-33723)) | |
| (h)(1) | | | 股權證券承銷協議格式* | |
| (h)(2) | | | 債務證券承銷協議格式* | |
| (h)(3) | | | 普通股股權分配協議格式* | |
| (i)(1) | | | Main Street Capital Corporation 2015股權和激勵計劃(之前作為Main Street Capital Corporation於2015年5月5日提交的表格S-8註冊聲明的附件4.4提交(Reg.第333-203893號)) | |
| (i)(2) | | | - Main Street Capital Corporation 2015年股權和激勵計劃高管限制性股票協議表(之前作為Main Street Capital Corporation於2015年5月5日提交的Form S-8註冊聲明的附件4.6提交(REG.第333-203893號)) | |
| (i)(3) | | | Main Street Capital Corporation 2015年非員工董事限制性股票計劃(之前作為Main Street Capital Corporation於2015年5月5日提交的表格S-8註冊聲明的附件4.5提交(註冊第333-203893號)) | |
| (i)(4) | | | 非僱員董事限制性股票協議表格 - Main Street Capital Corporation 2015年非僱員董事限制性股票計劃(之前作為Main Street Capital Corporation於2015年5月5日提交的表格S-8登記聲明的附件4.7提交(REG.第333-203893號)) | |
| (i)(5) | | | Main Street Capital Corporation延期補償計劃採用協議和計劃文件(之前作為Main Street Capital Corporation於2015年12月18日提交的Form S-8註冊説明書(文件編號333-208643)的附件4.1提交) | |
| (j) | | | 託管協議(以前作為Main Street Capital Corporation於2007年9月21日提交的表格N-2註冊説明書的生效前修正案第3號)的附件(J)(Reg.第333-142879號)) | |
| (k)(1) | | | Main Street Capital Corporation和Vincent D.Foster之間的保密和競業禁止協議(之前作為Main Street Capital Corporation於2007年9月21日提交的Form N-2註冊聲明生效前修正案第3號的附件(K)(12))(Reg.第333-142879號)) | |
| (k)(2) | | | Main Street Capital Corporation與每位高管和董事之間的賠償協議表(之前作為Main Street Capital Corporation於2007年9月21日提交的Form N-2登記聲明生效前修正案第3號的附件(K)(13)提交。第333-142879號)) | |
| (k)(3) | | | 綜合修正案1號,日期為2021年4月7日,由Main Street、其擔保方Truist Bank作為行政代理,僅就其第2節、撤回的貸款人和貸款人(之前作為附件10.1提交給Main Street Capital Corporation於2021年4月8日提交的當前表格8-K(1-33723號文件)) | |
| (k)(4) | | | 2018年6月5日第三次修訂和重新簽署的一般安全協議(之前作為附件10.2提交於2018年6月6日提交的Main Street Capital Corporation當前的Form 8-K報告(1-33723號文件)) | |
| (k)(5) | | | 2018年6月5日第三次修訂和重新簽署的股權質押協議(之前作為附件10.3提交於2018年6月6日提交的Main Street Capital Corporation當前8-K報表(1-33723號文件)) | |
| (k)(6) | | | 2010年9月20日修訂和重新簽署的託管協議(之前作為附件10.3於2010年9月21日提交的Main Street Capital Corporation當前的8-K報表報告(1-33723號文件)) | |
| (k)(7) | | | 2011年11月21日修訂和重新簽署的信貸協議的第三修正案和修訂和重新簽署的託管協議的第一修正案(之前作為Main Street Capital Corporation目前提交的表格8-K的附件10.1於2011年11月22日提交(文件編號1-33723)) | |
| (l) | | |
律師的意見和同意**
|
|
| (m) | | | Not Applicable | |
| (n)(1) | | |
均富律師事務所(Grant Thornton LLP)對Main Street Capital Corporation的同意**
|
|
| (n)(2) | | |
委託書(見本註冊聲明簽名頁)
|
|
| (r) | | |
Code of Ethics**
|
|
| (s) | | |
Filing Fee Table**
|
|
| 99.1 | | | 聯合商業行為和道德準則(之前作為Main Street Capital Corporation截至2020年12月31日的年度報告10-K表附件14.1提交,於2021年2月26日提交(第1-33723號文件)) | |
| 99.2 | | | 《普通股發行初步招股説明書補充説明書》表格(之前作為Main Street Capital Corporation於2012年8月24日提交的Form N-2註冊説明書的附件99.3提交(REG.第333-183555號)) | |
| 99.3 | | | 優先股發行初步招股説明書補充説明書表格(之前作為Main Street Capital Corporation於2012年8月24日提交的表格N-2註冊聲明的附件99.4提交(REG.第333-183555號)) | |
| 99.4 | | | 配股初步招股説明書補充説明書表格(之前作為Main Street Capital Corporation於2012年8月24日提交的表格N-2註冊聲明的附件99.6提交(REG.第333-183555號)) | |
| 99.5 | | | 債務證券發行初步招股説明書補充説明書表格(之前作為Main Street Capital Corporation於2012年8月24日提交的Form N-2註冊説明書的附件99.7提交(REG.第333-183555號)) | |
|
SEC registration fee
|
| | | $ | (1) | | |
|
紐約證券交易所額外上市費
|
| | | $ | (2) | | |
|
FINRA filing fee
|
| | | $ | (2) | | |
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會計費和費用
|
| | | $ | (2) | | |
|
Legal fees and expenses
|
| | | $ | (2) | | |
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Printing and engraving
|
| | | $ | (2) | | |
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雜費和費用
|
| | | $ | (2) | | |
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Total
|
| | | $ | (2) | | |
Title of Class
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| |
Number of
Record Holders |
| |||
Common Stock, $0.01 par value
|
| | | | 360 | | |
3.
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a.
|
在提供報價或銷售的任何期間,提交本註冊聲明的生效後修正案: |
| | | | 主街資本公司 | | |||
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By:
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/s/ D韋恩·L·海扎克
Dwayne L. Hyzak
首席執行官 |
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Signature
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| |
Title
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| |
Date
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|
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/s/ D韋恩·L·海扎克
Dwayne L. Hyzak
|
| | 首席執行官兼董事(首席執行官) | | | March 3, 2022 | |
|
/s/ J埃塞·E·莫里斯
Jesse E. Morris
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| | 首席財務官、首席運營官兼財務主管(首席財務官) | | | March 3, 2022 | |
|
/s/ L安斯·A·帕克
Lance A. Parker
|
| | 副總裁兼首席會計官(首席會計官) | | | March 3, 2022 | |
|
/s/ V激勵D.福斯特
Vincent D. Foster
|
| | Chairman of the Board | | | March 3, 2022 | |
|
/s/ ARthur L.法語
Arthur L. French
|
| | Director | | | March 3, 2022 | |
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/s/ J. K埃文·格里芬
J. Kevin Griffin
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| | Director | | | March 3, 2022 | |
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/s/ J奧恩·E·傑克遜
John E. Jackson
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| | Director | | | March 3, 2022 | |
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/s/ B瑞安·E·萊恩
Brian E. Lane
|
| | Director | | | March 3, 2022 | |
|
Signature
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| |
Title
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| |
Date
|
|
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/s/ K埃·馬修斯
Kay Matthews
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| | Director | | | March 3, 2022 | |
|
/s/ DUnia A.Shive
Dunia A. Shive
|
| | Director | | | March 3, 2022 | |
|
/s/ S泰豐·B·索爾徹
Stephen B. Solcher
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| | Director | | | March 3, 2022 | |