☒ REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 | ||||||||
☐ PRE-EFFECTIVE AMENDMENT NO. ☒ POST-EFFECTIVE AMENDMENT NO. 5 |
Michael K. Hoffman, Esq. Skadden, Arps, Slate, Meagher & Flom LLP 4 Times Square New York, NY 10036 (212) 735-3000 | Kenneth E. Burdon, Esq. Skadden, Arps, Slate, Meagher & Flom LLP 500 Boylston Street Boston, MA 02116 (617) 573-4800 |
☐ | when declared effective pursuant to section 8(c) of the Securities Act | ||||
☐ | Immediately upon filing pursuant to paragraph (b) | ||||
☐ | 60 days after filing pursuant to paragraph (a) | ||||
☐ | On (date) pursuant to paragraph (a) |
☐ | This post-effective amendment designates a new effective date for a previously filed post-effective amendment. | ||||
☐ | This Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: . | ||||
This Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: . | |||||
This Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: 333-269714. |
☐ | Registered Closed-End Fund (closed-end company that is registered under the Investment Company Act of 1940 (the “Investment Company Act”)) | ||||
☒ | Business Development Company (closed-end company that intends or has elected to be regulated as a business development company under the Investment Company Act. | ||||
☐ | Interval Fund (Registered Closed-End Fund or a Business Development Company that makes periodic repurchase offers under Rule 23c-3 under the Investment Company Act). | ||||
☒ | A.2 Qualified (qualified to register securities pursuant to General Instruction A.2 of this Form). | ||||
Well-Known Seasoned Issuer (as defined by Rule 405 under the Securities Act). | |||||
Emerging Growth Company (as defined by Rule 12b-2 under the Securities and Exchange Act of 1934). | |||||
☐ | If an Emerging Growth Company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. | ||||
☐ | New Registrant (registered or regulated under the Investment Company Act for less than 12 calendar months preceding this filing). |
Description | ||||||||
(a)(1) | ||||||||
(a)(2) | ||||||||
(a)(3) | ||||||||
(a)(4) | ||||||||
(a)(5) | ||||||||
(a)(6) | ||||||||
(a)(7) | ||||||||
(a)(8) | ||||||||
(a)(9) | ||||||||
(a)(10) | ||||||||
(a)(11) |
Description | ||||||||
(a)(12) | ||||||||
(b)(1) | ||||||||
(c) | Not Applicable | |||||||
(d)(1) | ||||||||
(d)(2) | ||||||||
(d)(3) | ||||||||
(d)(4) | ||||||||
(d)(5) | ||||||||
(d)(6) | ||||||||
(d)(7) | ||||||||
(d)(8) | ||||||||
(d)(9) | ||||||||
(d)(10) | ||||||||
(d)(11) | ||||||||
(d)(12) | ||||||||
(d)(13) | ||||||||
(d)(14) | ||||||||
(d)(15) | ||||||||
(d)(16) | ||||||||
(d)(17) | ||||||||
(d)(18) | ||||||||
(d)(19) | ||||||||
(d)(20) | ||||||||
(d)(21) | ||||||||
(d)(22) | ||||||||
(d)(23) | ||||||||
(d)(24) | ||||||||
(d)(25) | ||||||||
(d)(26) | ||||||||
(d)(27) | ||||||||
(d)(28) |
Description | ||||||||
(d)(29) | ||||||||
(d)(30) | ||||||||
(d)(31) | ||||||||
(d)(32) | ||||||||
(d)(33) | ||||||||
(d)(34) | ||||||||
(d)(35) | ||||||||
(d)(36) | ||||||||
(d)(37) | ||||||||
(d)(38) | ||||||||
(d)(39) | ||||||||
(d)(40) | ||||||||
(d)(41) | ||||||||
(d)(42) | ||||||||
(d)(43) | ||||||||
(d)(44) | ||||||||
(d)(45) | ||||||||
(d)(46) | ||||||||
(d)(47) | ||||||||
(d)(48) | ||||||||
(d)(49) | ||||||||
(d)(50) | ||||||||
(d)(51) | ||||||||
(d)(52) | ||||||||
(d)(53) | ||||||||
(d)(54) | ||||||||
(d)(55) | ||||||||
(d)(56) | ||||||||
(d)(57) | ||||||||
(d)(58) | ||||||||
(d)(59) |
Description | ||||||||
(d)(60) | ||||||||
(d)(61) | ||||||||
(d)(62) | ||||||||
(d)(63) | ||||||||
(d)(64) | ||||||||
(d)(65) | ||||||||
(d)(66) | ||||||||
(d)(67) | ||||||||
(d)(68) | ||||||||
(d)(69) | ||||||||
(d)(70) | ||||||||
(d)(71) | ||||||||
(d)(72) | ||||||||
(d)(73) | ||||||||
(d)(74) | ||||||||
(d)(75) | ||||||||
(d)(76) | ||||||||
(d)(77) | ||||||||
(d)(78) | ||||||||
(d)(79) | ||||||||
(d)(80) | ||||||||
(d)(81) | ||||||||
(d)(82) | ||||||||
(d)(83) | ||||||||
(d)(84) | ||||||||
(d)(85) | ||||||||
(d)(86) | ||||||||
(d)(87) | ||||||||
(d)(88) |
Description | ||||||||
(d)(89) | ||||||||
(d)(90) | ||||||||
(d)(91) | ||||||||
(d)(92) | ||||||||
(d)(93) | ||||||||
(d)(94) | ||||||||
(d)(95) | ||||||||
(d)(96) | ||||||||
(d)(97) | ||||||||
(d)(98) | ||||||||
(d)(99) | ||||||||
(d)(100) | ||||||||
(d)(101) | ||||||||
(d)(102) | ||||||||
(d)(103) | ||||||||
(d)(104) | ||||||||
(d)(105) | ||||||||
(d)(106) | ||||||||
(d)(107) | ||||||||
(d)(108) | ||||||||
(d)(109) | ||||||||
(d)(110) | ||||||||
(d)(111) | ||||||||
(d)(112) | ||||||||
(d)(113) | ||||||||
(d)(114) | ||||||||
(d)(115) | ||||||||
(d)(116) | ||||||||
(d)(117) |
Description | ||||||||
(d)(118) | ||||||||
(d)(119) | ||||||||
(d)(120) | ||||||||
(d)(121) | ||||||||
(d)(122) | ||||||||
(d)(123) | ||||||||
(d)(124) | ||||||||
(d)(125) | ||||||||
(d)(126) | ||||||||
(d)(127) | ||||||||
(d)(128) | ||||||||
(d)(129) | ||||||||
(d)(130) | ||||||||
(d)(131) | ||||||||
(d)(132) | ||||||||
(d)(133) | ||||||||
(d)(134) | ||||||||
(d)(135) | ||||||||
(d)(136) | ||||||||
(d)(137) | ||||||||
(d)(138) | ||||||||
(d)(139) | ||||||||
(d)(140) | ||||||||
(d)(141) | ||||||||
(d)(142) | ||||||||
(d)(143) | ||||||||
(d)(144) | ||||||||
(d)(145) | ||||||||
(d)(146) |
Description | ||||||||
(d)(147) | ||||||||
(d)(148) | ||||||||
(d)(149) | ||||||||
(d)(150) | ||||||||
(d)(151) | ||||||||
(d)(152) | ||||||||
(d)(153) | ||||||||
(d)(154) | ||||||||
(d)(155) | ||||||||
(d)(156) | ||||||||
(d)(157) | ||||||||
(d)(158) | ||||||||
(d)(159) | ||||||||
(d)(160) | ||||||||
(d)(161) | ||||||||
(d)(162) | ||||||||
(d)(163) | ||||||||
(d)(164) | ||||||||
(d)(165) | ||||||||
(d)(166) | ||||||||
(d)(167) | ||||||||
(d)(168) | ||||||||
(d)(169) | ||||||||
(d)(170) | ||||||||
(d)(171) | ||||||||
(d)(172) | ||||||||
(d)(173) | ||||||||
(d)(174) | ||||||||
(d)(175) |
Description | ||||||||
(d)(176) | ||||||||
(d)(177) | ||||||||
(d)(178) | ||||||||
(d)(179) | ||||||||
(d)(180) | ||||||||
(d)(181) | ||||||||
(d)(182) | ||||||||
(d)(183) | ||||||||
(d)(184) | ||||||||
(d)(185) | ||||||||
(d)(186) | ||||||||
(d)(187) | ||||||||
(d)(188) | ||||||||
(d)(189) | ||||||||
(d)(190) | ||||||||
(d)(191) | ||||||||
(d)(192) | ||||||||
(d)(193) | ||||||||
(d)(194) | ||||||||
(d)(195) | ||||||||
(d)(196) | ||||||||
(d)(197) | ||||||||
(d)(198) | ||||||||
(d)(199) | ||||||||
(d)(200) | ||||||||
(d)(201) | ||||||||
(d)(202) | ||||||||
(d)(203) | ||||||||
(d)(204) |
Description | ||||||||
(d)(205) | ||||||||
(d)(206) | ||||||||
(d)(207) | ||||||||
(d)(208) | ||||||||
(d)(209) | ||||||||
(d)(210) | ||||||||
(d)(211) | ||||||||
(d)(212) | ||||||||
(d)(213) | ||||||||
(d)(214) | ||||||||
(d)(215) | ||||||||
(d)(216) | ||||||||
(d)(217) | ||||||||
(d)(218) | ||||||||
(d)(219) | ||||||||
(d)(220) | ||||||||
(d)(221) | ||||||||
(d)(222) | ||||||||
(d)(223) | ||||||||
(d)(224) | ||||||||
(d)(225) | ||||||||
(d)(226) | ||||||||
(d)(227) | ||||||||
(d)(228) | ||||||||
(d)(229) | ||||||||
(d)(230) | ||||||||
(d)(231) | ||||||||
(d)(232) | ||||||||
(d)(233) |
Description | ||||||||
(d)(234) | ||||||||
(d)(235) | ||||||||
(d)(236) | ||||||||
(d)(237) | ||||||||
(d)(238) | ||||||||
(d)(239) | ||||||||
(d)(240) | ||||||||
(d)(241) | ||||||||
(d)(242) | ||||||||
(d)(243) | ||||||||
(d)(244) | ||||||||
(d)(245) | ||||||||
(d)(246) | ||||||||
(d)(247) | ||||||||
(d)(248) | ||||||||
(d)(249) | ||||||||
(d)(250) | ||||||||
(d)(251) | ||||||||
(d)(252) | ||||||||
(d)(253) | ||||||||
(d)(254) | ||||||||
(d)(255) | ||||||||
(d)(256) | ||||||||
(d)(257) | ||||||||
(d)(258) | ||||||||
(d)(259) | ||||||||
(d)(260) | ||||||||
(d)(261) | ||||||||
(d)(262) |
Description | ||||||||
(d)(263) | ||||||||
(d)(264) | ||||||||
(d)(265) | ||||||||
(d)(266) | ||||||||
(d)(267) | ||||||||
(d)(268) | ||||||||
(d)(269) | ||||||||
(d)(270) | ||||||||
(d)(271) | ||||||||
(d)(272) | ||||||||
(d)(273) | ||||||||
(d)(274) | ||||||||
(d)(275) | ||||||||
(d)(276) | ||||||||
(d)(277) | ||||||||
(d)(278) | ||||||||
(d)(279) | ||||||||
(d)(280) | ||||||||
(d)(281) | ||||||||
(d)(282) | ||||||||
(d)(283) | ||||||||
(d)(284) | ||||||||
(d)(285) | ||||||||
(d)(286) | ||||||||
(d)(287) | ||||||||
(d)(288) | ||||||||
(d)(289) | ||||||||
(d)(290) | ||||||||
(d)(291) |
Description | ||||||||
(d)(292) | ||||||||
(d)(293) | ||||||||
(d)(294) | ||||||||
(d)(295) | ||||||||
(d)(296) | ||||||||
(d)(297) | ||||||||
(d)(298) | ||||||||
(d)(299) | ||||||||
(d)(300) | ||||||||
(d)(301) | ||||||||
(d)(302) | ||||||||
(d)(303) | ||||||||
(d)(304) | ||||||||
(d)(305) | ||||||||
(d)(306) | ||||||||
(d)(307) | ||||||||
(d)(308) | ||||||||
(d)(309) | ||||||||
(d)(310) | ||||||||
(d)(311) | ||||||||
(d)(312) | ||||||||
(d)(313) | ||||||||
(d)(314) | ||||||||
(d)(315) | ||||||||
(d)(316) | ||||||||
(d)(317) | ||||||||
(d)(318) | ||||||||
(d)(319) | ||||||||
(d)(320) |
Description | ||||||||
(d)(321) | ||||||||
(d)(322) | ||||||||
(d)(323) | ||||||||
(d)(324) | ||||||||
(d)(325) | ||||||||
(d)(326) | ||||||||
(d)(327) | ||||||||
(d)(328) | ||||||||
(d)(329) | ||||||||
(d)(330) | ||||||||
(d)(331) | ||||||||
(d)(332) | ||||||||
(d)(333) | ||||||||
(d)(334) | ||||||||
(d)(335) | ||||||||
(d)(336) | ||||||||
(d)(337) | ||||||||
(d)(338) | ||||||||
(d)(339) | ||||||||
(d)(340) | ||||||||
(d)(341) | ||||||||
(d)(342) | ||||||||
(d)(343) | ||||||||
(d)(344) | ||||||||
(d)(345) | ||||||||
(d)(346) | ||||||||
(d)(347) | ||||||||
(d)(348) | ||||||||
(d)(349) |
Description | ||||||||
(d)(350) | ||||||||
(d)(351) | ||||||||
(d)(352) | ||||||||
(d)(353) | ||||||||
(d)(354) | ||||||||
(d)(355) | ||||||||
(d)(356) | ||||||||
(d)(357) | ||||||||
(d)(358) | ||||||||
(d)(359) | ||||||||
(d)(360) | ||||||||
(d)(361) | ||||||||
(d)(362) | ||||||||
(d)(363) | ||||||||
(d)(364) | ||||||||
(d)(365) | ||||||||
(d)(366) | ||||||||
(d)(367) | ||||||||
(d)(368) | ||||||||
(d)(369) | ||||||||
(d)(370) | ||||||||
(d)(371) | ||||||||
(d)(372) | ||||||||
(d)(373) | ||||||||
(d)(374) | ||||||||
(d)(375) | ||||||||
(d)(376) | ||||||||
(e) | ||||||||
(e)(1) | ||||||||
(f) | Not Applicable | |||||||
(g) |
Description | ||||||||
(h)(1) | ||||||||
(h)(2) | ||||||||
(h)(3) | ||||||||
(h)(4) | ||||||||
(h)(5) | ||||||||
(h)(6) | ||||||||
(h)(7) | ||||||||
(h)(8) | ||||||||
(h)(9) | ||||||||
(h)(10) | Underwriting Agreement* | |||||||
(i) | Not Applicable | |||||||
(j)(1) | ||||||||
(j)(2) | ||||||||
(j)(3) | ||||||||
(j)(4) | ||||||||
(j)(5) | ||||||||
(j)(6) | ||||||||
(j)(7) | ||||||||
(j)(8) | ||||||||
(k)(1) | ||||||||
(k)(2) | ||||||||
(k)(3) | ||||||||
(k)(4) | ||||||||
(k)(5) | ||||||||
(k)(6) | ||||||||
(l)(1) | ||||||||
(l)(2) | ||||||||
(m) | Not Applicable | |||||||
(n)(1) | ||||||||
(n)(2) | ||||||||
(n)(3) | ||||||||
(n)(4) | ||||||||
(o) | Not Applicable | |||||||
(p) | Not Applicable | |||||||
(q) | Not Applicable |
Description | ||||||||
(r) | ||||||||
(s) | Calculation of Filing Fee Table† | |||||||
99.1 | ||||||||
99.2 | ||||||||
99.3 | ||||||||
99.4 | ||||||||
99.5 | ||||||||
99.6 |
(1) | Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on July 6, 2004. | |||||||
(2) | Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on July 6, 2004. | |||||||
(3) | Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on July 6, 2004. | |||||||
(4) | Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on July 6, 2004. | |||||||
(5) | Incorporated by reference from the Registrant’s Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on July 23, 2004. | |||||||
(6) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on March 1, 2012. | |||||||
(7) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on March 14, 2012. | |||||||
(8) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on November 23, 2012. | |||||||
(9) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on November 29, 2012. | |||||||
(10) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on November 29, 2012. | |||||||
(11) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on January 4, 2013. | |||||||
(12) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on January 10, 2013. | |||||||
(13) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 11 to the Registration Statement on Form N-2, filed on January 17, 2013. | |||||||
(14) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on January 25, 2013. | |||||||
(15) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on January 25, 2013. | |||||||
(16) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 13 to the Registration Statement on Form N-2, filed on January 31, 2013. | |||||||
(17) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 14 to the Registration Statement on Form N-2, filed on February 7, 2013. | |||||||
(18) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 16 to the Registration Statement on Form N-2, filed on February 22, 2013. | |||||||
(19) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 17 to the Registration Statement on Form N-2, filed on February 28, 2013. | |||||||
(20) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on March 7, 2013. | |||||||
(21) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 19 to the Registration Statement on Form N-2, filed on March 14, 2013. | |||||||
(22) | Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on March 15, 2013. | |||||||
(23) | Incorporated by reference to Exhibit 4.2 of the Registrant’s Form 8-K, filed on March 15, 2013. |
(24) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 21 to the Registration Statement on Form N-2, filed on March 21, 2013. | |||||||
(25) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 22 to the Registration Statement on Form N-2, filed on March 28, 2013. | |||||||
(26) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 23 to the Registration Statement on Form N-2, filed on April 4, 2013. | |||||||
(27) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 24 to the Registration Statement on Form N-2, filed on April 11, 2013. | |||||||
(28) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 27 to the Registration Statement on Form N-2, filed on May 2, 2013. | |||||||
(29) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 29 to the Registration Statement on Form N-2, filed on May 9, 2013. | |||||||
(30) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 30 to the Registration Statement on Form N-2, filed on May 23, 2013. | |||||||
(31) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 31 to the Registration Statement on Form N-2, filed on May 31, 2013. | |||||||
(32) | Incorporated by reference to Exhibit 10.258 of the Registrant’s Form 10-K, filed on August 21, 2013. | |||||||
(33) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on November 7, 2013. | |||||||
(34) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on November 15, 2013. | |||||||
(35) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on November 21, 2013. | |||||||
(36) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on November 29, 2013. | |||||||
(37) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 15 to the Registration Statement on Form N-2, filed on January 9, 2014. | |||||||
(38) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 34 to the Registration Statement on Form N-2, filed on May 1, 2014. | |||||||
(39) | Incorporated by reference from the Registrant’s Post-Effective Amendment No. 35 to the Registration Statement on Form N-2, filed on May 8, 2014. | |||||||
(40) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on May 9, 2014. | |||||||
(41) | Incorporated by reference to Exhibit 10.12 of the Registrant’s Form 10-K, filed on August 25, 2014. | |||||||
(42) | Incorporated by reference to Exhibit 10.13 of the Registrant’s Form 10-K, filed on August 25, 2014. | |||||||
(43) | Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on October 14, 2014. | |||||||
(44) | Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on October 14, 2014. | |||||||
(45) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on November 7, 2014. | |||||||
(46) | Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on October 9, 2015. | |||||||
(47) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on December 11, 2015. | |||||||
(48) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 37 to the Registration Statement on Form N-2, filed on September 1, 2016. | |||||||
(49) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 39 to the Registration Statement on Form N-2, filed on September 22, 2016. | |||||||
(50) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 39 to the Registration Statement on Form N-2, filed on August 30, 2017. | |||||||
(51) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 81 to the Registration Statement on Form N-2, filed on June 20, 2018. | |||||||
(52) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 98 to the Registration Statement on Form N-2, filed on October 1, 2018. | |||||||
(53) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 40 to the Registration Statement on Form N-2, filed on August 1, 2019. | |||||||
(54) | Incorporated by reference from the Registrant's Registration Statement on Form N-2, filed on August 2, 2019. | |||||||
(55) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 41 to the Registration Statement on Form N-2, filed on August 8, 2019. |
(56) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 42 to the Registration Statement on Form N-2, filed on August 15, 2019. | |||||||
(57) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on August 22, 2019. | |||||||
(58) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on August 22, 2019. | |||||||
(59) | Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on September 3, 2019. | |||||||
(60) | Incorporated by reference from the Registrant's Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on September 3, 2019. | |||||||
(61) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on September 26, 2019. | |||||||
(62) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on September 26, 2019. | |||||||
(63) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on October 3, 2019. | |||||||
(64) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on October 3, 2019. | |||||||
(65) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on October 10, 2019. | |||||||
(66) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on October 10, 2019. | |||||||
(67) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on October 18, 2019. | |||||||
(68) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 5 to the Registration Statement on Form N-2, filed on October 24, 2019. | |||||||
(69) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 6 to the Registration Statement on Form N-2, filed on October 31, 2019. | |||||||
(70) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 12 to the Registration Statement on Form N-2, filed on December 19, 2019. | |||||||
(71) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 20 to the Registration Statement on Form N-2, filed on February 12, 2020. | |||||||
(72) | Incorporated by reference from the Registrant's Registration Statement on Form N-2, filed on February 13, 2020. | |||||||
(73) | Incorporated by reference to Exhibit 99.1 of the Registrant’s Form 8-K, filed on April 17, 2020. | |||||||
(74) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 7 to the Registration Statement on Form N-2, filed on April 30, 2020. | |||||||
(75) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 8 to the Registration Statement on Form N-2, filed on May 7, 2020. | |||||||
(76) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 9 to the Registration Statement on Form N-2, filed on May 14, 2020. | |||||||
(77) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 10 to the Registration Statement on Form N-2, filed on May 29, 2020. | |||||||
(78) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on August 4, 2020. | |||||||
(79) | Incorporated by reference to Exhibit 3.2 of the Registrant’s Form 8-K, filed on August 4, 2020. | |||||||
(80) | Incorporated by reference to Exhibit 99.1 of the Registrant’s Form 8-K, filed on August 5, 2020. | |||||||
(81) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on November 4, 2020. | |||||||
(82) | Incorporated by reference to Exhibit 3.2 of the Registrant’s Form 8-K, filed on November 4, 2020. | |||||||
(83) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 40 to the Registration Statement on Form N-2, filed on January 7, 2021. | |||||||
(84) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 41 to the Registration Statement on Form N-2, filed on January 14, 2021. | |||||||
(85) | Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on January 22, 2021. | |||||||
(86) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 42 to the Registration Statement on Form N-2, filed on January 22, 2021. | |||||||
(87) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 43 to the Registration Statement on Form N-2, filed on January 28, 2021. | |||||||
(88) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 44 to the Registration Statement on Form N-2, filed on February 4, 2021. |
(89) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 45 to the Registration Statement on Form N-2, filed on February 11, 2021. | |||||||
(90) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 46 to the Registration Statement on Form N-2, filed on February 25, 2021. | |||||||
(91) | Incorporated by reference to Exhibit 1.1 of the Registrant's Form 8-K, filed on February 25, 2021. | |||||||
(92) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 47 to the Registration Statement on Form N-2, filed on March 4, 2021. | |||||||
(93) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 48 to the Registration Statement on Form N-2, filed on March 11, 2021. | |||||||
(94) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 49 to the Registration Statement on Form N-2, filed on March 18, 2021. | |||||||
(95) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 50 to the Registration Statement on Form N-2, filed on March 25, 2021. | |||||||
(96) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 51 to the Registration Statement on Form N-2, filed on April 1, 2021. | |||||||
(97) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 52 to the Registration Statement on Form N-2, filed on April 8, 2021. | |||||||
(98) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 53 to the Registration Statement on Form N-2, filed on April 15, 2021. | |||||||
(99) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 54 to the Registration Statement on Form N-2, filed on April 22, 2021. | |||||||
(100) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 55 to the Registration Statement on Form N-2, filed on April 29, 2021. | |||||||
(101) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 56 to the Registration Statement on Form N-2, filed on May 6, 2021. | |||||||
(102) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 57 to the Registration Statement on Form N-2, filed on May 20, 2021. | |||||||
(103) | Incorporated by reference to Exhibit 3.1 of the Registrant's Form 8-K, filed on May 26, 2021. | |||||||
(104) | Incorporated by reference to Exhibit 99.1 of the Registrant's Form 8-K, filed on May 26, 2021. | |||||||
(105) | Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on May 27, 2021. | |||||||
(106) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 58 to the Registration Statement on Form N-2, filed on May 27, 2021. | |||||||
(107) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 59 to the Registration Statement on Form N-2, filed on June 4, 2021. | |||||||
(108) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 60 to the Registration Statement on Form N-2, filed on June 10, 2021. | |||||||
(109) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 61 to the Registration Statement on Form N-2, filed on June 17, 2021. | |||||||
(110) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 62 to the Registration Statement on Form N-2, filed on June 24, 2021. | |||||||
(111) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 63 to the Registration Statement on Form N-2, filed on July 1, 2021. | |||||||
(112) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 64 to the Registration Statement on Form N-2, filed on July 9, 2021. | |||||||
(113) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 65 to the Registration Statement on Form N-2, filed on July 15, 2021. | |||||||
(114) | Incorporated by reference to Exhibit 3.1 of the Registrant's Form 8-K, filed on July 19, 2021. | |||||||
(115) | Incorporated by reference to Exhibit 3.2 of the Registrant's Form 8-K, filed on July 19, 2021. | |||||||
(116) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 66 to the Registration Statement on Form N-2, filed on July 22, 2021. | |||||||
(117) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 67 to the Registration Statement on Form N-2, filed on July 29, 2021. | |||||||
(118) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 68 to the Registration Statement on Form N-2, filed on August 5, 2021. | |||||||
(119) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 69 to the Registration Statement on Form N-2, filed on August 12, 2021. | |||||||
(120) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 70 to the Registration Statement on Form N-2, filed on August 19, 2021. |
(121) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 71 to the Registration Statement on Form N-2, filed on August 26, 2021. | |||||||
(122) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 72 to the Registration Statement on Form N-2, filed on September 10, 2021. | |||||||
(123) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 73 to the Registration Statement on Form N-2, filed on September 16, 2021. | |||||||
(124) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 74 to the Registration Statement on Form N-2, filed on September 23, 2021. | |||||||
(125) | Incorporated by reference to Exhibit 4.1 of the Registrant’s Form 8-K, filed on September 30, 2021. | |||||||
(126) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 75 to the Registration Statement on Form N-2, filed on September 30, 2021. | |||||||
(127) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 76 to the Registration Statement on Form N-2, filed on October 7, 2021. | |||||||
(128) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 77 to the Registration Statement on Form N-2, filed on October 15, 2021. | |||||||
(129) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 78 to the Registration Statement on Form N-2, filed on October 21, 2021. | |||||||
(130) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 79 to the Registration Statement on Form N-2, filed on October 28, 2021. | |||||||
(131) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 80 to the Registration Statement on Form N-2, filed on November 4, 2021. | |||||||
(132) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 81 to the Registration Statement on Form N-2, filed on November 18, 2021. | |||||||
(133) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 82 to the Registration Statement on Form N-2, filed on November 26, 2021. | |||||||
(134) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 83 to the Registration Statement on Form N-2, filed on December 2, 2021. | |||||||
(135) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 84 to the Registration Statement on Form N-2, filed on December 9, 2021. | |||||||
(136) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 85 to the Registration Statement on Form N-2, filed on December 16, 2021. | |||||||
(137) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 86 to the Registration Statement on Form N-2, filed on December 23, 2021. | |||||||
(138) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 87 to the Registration Statement on Form N-2, filed on December 30, 2021. | |||||||
(139) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 88 to the Registration Statement on Form N-2, filed on January 6, 2022. | |||||||
(140) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 89 to the Registration Statement on Form N-2, filed on January 13, 2022. | |||||||
(141) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 90 to the Registration Statement on Form N-2, filed on January 21, 2022. | |||||||
(142) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 91 to the Registration Statement on Form N-2, filed on January 27, 2022. | |||||||
(143) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 92 to the Registration Statement on Form N-2, filed on February 3, 2022. | |||||||
(144) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 93 to the Registration Statement on Form N-2, filed on February 10, 2022. | |||||||
(145) | Incorporated by reference to Exhibit 1.1 of the Registrant’s Form 8-K, filed on February 23, 2022. | |||||||
(146) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on February 23, 2022. | |||||||
(147) | Incorporated by reference to Exhibit 10.1 of the Registrant’s Form 8-K, filed on February 23, 2022. | |||||||
(148) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 94 to the Registration Statement on Form N-2, filed on February 25, 2022. | |||||||
(149) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 95 to the Registration Statement on Form N-2, filed on March 3, 2022. | |||||||
(150) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 96 to the Registration Statement on Form N-2, filed on March 10, 2022. | |||||||
(151) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 97 to the Registration Statement on Form N-2, filed on March 17, 2022. |
(152) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 98 to the Registration Statement on Form N-2, filed on March 24, 2022. | |||||||
(153) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 99 to the Registration Statement on Form N-2, filed on March 31, 2022. | |||||||
(154) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 100 to the Registration Statement on Form N-2, filed on April 7, 2022. | |||||||
(155) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 101 to the Registration Statement on Form N-2, filed on April 14, 2022. | |||||||
(156) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 102 to the Registration Statement on Form N-2, filed on April 21, 2022. | |||||||
(157) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 103 to the Registration Statement on Form N-2, filed on April 28, 2022. | |||||||
(158) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 104 to the Registration Statement on Form N-2, filed on May 5, 2022. | |||||||
(159) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 105 to the Registration Statement on Form N-2, filed on May 19, 2022. | |||||||
(160) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 106 to the Registration Statement on Form N-2, filed on May 26, 2022. | |||||||
(161) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 107 to the Registration Statement on Form N-2, filed on June 3, 2022. | |||||||
(162) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on June 9, 2022. | |||||||
(163) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 108 to the Registration Statement on Form N-2, filed on June 9, 2022. | |||||||
(164) | Incorporated by reference to Exhibit 1.1 of the Registrant’s Form 8-K, filed on June 9, 2022. | |||||||
(165) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 109 to the Registration Statement on Form N-2, filed on June 16, 2022. | |||||||
(166) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 110 to the Registration Statement on Form N-2, filed on June 24, 2022. | |||||||
(167) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 111 to the Registration Statement on Form N-2, filed on June 30, 2022. | |||||||
(168) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 112 to the Registration Statement on Form N-2, filed on July 8, 2022. | |||||||
(169) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 113 to the Registration Statement on Form N-2, filed on July 14, 2022. | |||||||
(170) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 114 to the Registration Statement on Form N-2, filed on July 21, 2022. | |||||||
(171) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 115 to the Registration Statement on Form N-2, filed on July 28, 2022. | |||||||
(172) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 116 to the Registration Statement on Form N-2, filed on August 4, 2022. | |||||||
(173) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 117 to the Registration Statement on Form N-2, filed on August 11, 2022. | |||||||
(174) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 118 to the Registration Statement on Form N-2, filed on August 18, 2022. | |||||||
(175) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 119 to the Registration Statement on Form N-2, filed on August 25, 2022. | |||||||
(176) | Incorporated by reference to Exhibit 10.1 of the Registrant's Form 8-K, filed on September 7, 2022. | |||||||
(177) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 120 to the Registration Statement on Form N-2, filed on September 22, 2022. | |||||||
(178) | Incorporated by reference to Exhibit 1.1 of the Registrant’s Form 8-K, filed on October 12, 2022. | |||||||
(179) | Incorporated by reference to Exhibit 1.1 of the Registrant’s Form 8-K, filed on October 12, 2022. | |||||||
(180) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on October 12, 2022. | |||||||
(181) | Incorporated by reference to Exhibit 3.1 of the Registrant’s Form 8-K, filed on October 12, 2022. | |||||||
(182) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 121 to the Registration Statement on Form N-2, filed on October 20, 2022. | |||||||
(183) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 122 to the Registration Statement on Form N-2, filed on October 27, 2022. |
(184) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 123 to the Registration Statement on Form N-2, filed on November 3, 2022. | |||||||
(185) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 124 to the Registration Statement on Form N-2, filed on November 10, 2022. | |||||||
(186) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 125 to the Registration Statement on Form N-2, filed on November 25, 2022. | |||||||
(187) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 126 to the Registration Statement on Form N-2, filed on December 1, 2022. | |||||||
(188) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 127 to the Registration Statement on Form N-2, filed on December 8, 2022. | |||||||
(189) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 128 to the Registration Statement on Form N-2, filed on December 15, 2022. | |||||||
(190) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 129 to the Registration Statement on Form N-2, filed on December 22, 2022. | |||||||
(191) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 130 to the Registration Statement on Form N-2, filed on December 30, 2022. | |||||||
(192) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 131 to the Registration Statement on Form N-2, filed on January 6, 2023. | |||||||
(193) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 132 to the Registration Statement on Form N-2, filed on January 12, 2023. | |||||||
(194) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 133 to the Registration Statement on Form N-2, filed on January 20, 2023. | |||||||
(195) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 134 to the Registration Statement on Form N-2, filed on January 26, 2023. | |||||||
(196) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 135 to the Registration Statement on Form N-2, filed on February 2, 2023. | |||||||
(197) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 136 to the Registration Statement on Form N-2, filed on February 9, 2023. | |||||||
(198) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 18 to the Registration Statement on Form N-2, filed on March 1, 2019. | |||||||
(199) | Incorporated by reference from the Registrant's Registration Statement on Form N-2, filed on February 10, 2023. | |||||||
(200) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 1 to the Registration Statement on Form N-2, filed on February 13, 2023. | |||||||
(201) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 2 to the Registration Statement on Form N-2, filed on February 24, 2023. | |||||||
(202) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 3 to the Registration Statement on Form N-2, filed on March 2, 2023. | |||||||
(203) | Incorporated by reference from the Registrant's Post-Effective Amendment No. 4 to the Registration Statement on Form N-2, filed on March 9, 2023. |
Commission registration fee | $ | 519,165 | |||
NASDAQ Global Select Additional Listing Fees | 100,000 | ||||
Accounting fees and expenses* | 500,000 | ||||
Legal fees and expenses* | 1,000,000 | ||||
Printing and engraving* | 500,000 | ||||
Miscellaneous fees and expenses* | 100,000 | ||||
Total | $ | 2,719,165 |
Name of Entity and Place of Jurisdiction | % of Voting Securities Owned | |||||||
SB Forging Company, Inc. (Delaware)* | 100.0 | % | ||||||
Arctic Energy Services, LLC (Delaware) | 100.0 | % | ||||||
CP Holdings of Delaware LLC (Delaware)* | 99.8 | % | ||||||
CP Energy Services Inc. (Delaware) | 99.8 | % | ||||||
CP Well Testing, LLC (Delaware) | 99.8 | % | ||||||
ProHaul Transports, LLC (Oklahoma) | 99.8 | % | ||||||
Wright Foster Disposals, LLC (Delaware) | 99.8 | % | ||||||
Wright Trucking, Inc. (Delaware) | 99.8 | % | ||||||
Foster Testing Co., Inc. (Delaware) | 99.8 | % | ||||||
Spartan Energy Holdings, Inc. (Delaware) | 96.7 | % | ||||||
Spartan Energy Services, LLC (Delaware) | 96.7 | % | ||||||
Spartan Thru Tubing Services, LLC (Delaware) | 75.9 | % | ||||||
Spartan Well Testing Services, LLC (Delaware) | 96.7 | % | ||||||
Spartan Flow Control Services, LLC (Delaware) | 96.7 | % | ||||||
Echelon Transportation LLC (Delaware) | 100.0 | % | ||||||
Echelon Aviation II, LLC (Delaware) | 100.0 | % | ||||||
Echelon Prime Coöperatief U.A. (Netherlands) | 100.0 | % | ||||||
Echelon Ireland Madison One Limited (Ireland) | 100.0 | % | ||||||
AerLift Leasing Limited (Isle of Man) | 60.7 | % | ||||||
AerLift Leasing Jet Limited (Ireland) | 60.7 | % | ||||||
AerLift Leasing Isle of Man MSN 28415 Limited (Isle of Man) | 60.7 | % | ||||||
Alpha Fifteenth Waha Lease Limited (Isle of Man) | 60.7 | % | ||||||
Bravo Fifteenth Lease Limited (Isle of Man) | 60.7 | % | ||||||
Fourteenth Waha Lease Limited (Isle of Man) | 60.7 | % | ||||||
Wahaflot Leasing 1 Limited (Cyprus) | 60.7 | % | ||||||
AerLift Leasing Netherlands B.V. (Netherlands) | 60.7 | % | ||||||
AerLift Leasing Isle of Man 1 Limited (Isle of Man) | 60.7 | % | ||||||
Alpha Ireland Leasing MSN 1149 Limited (Ireland) | 60.7 | % |
Name of Entity and Place of Jurisdiction | % of Voting Securities Owned | |||||||
Bravo Ireland Leasing MSN 1156 Limited (Ireland) | 60.7 | % | ||||||
Energy Solutions Holdings Inc. (Delaware)* | 100.0 | % | ||||||
Freedom Marine Solutions, LLC (Delaware) | 100.0 | % | ||||||
Vessel Company, LLC (Louisiana) | 100.0 | % | ||||||
Vessel Company II, LLC (Louisiana) | 100.0 | % | ||||||
MV Gulf Endeavor LLC (Louisiana) | 100.0 | % | ||||||
MV Clint LLC (Louisiana) | 100.0 | % | ||||||
MV JF Jett LLC (Louisiana) | 100.0 | % | ||||||
Vessel Company III, LLC (Louisiana) | 100.0 | % | ||||||
MV FMS Courage LLC (Louisiana) | 100.0 | % | ||||||
MV FMS Endurance LLC (Louisiana) | 100.0 | % | ||||||
Yatesville Coal Company, LLC (Delaware) | 100.0 | % | ||||||
First Tower Holdings of Delaware LLC (Delaware)* | 100.0 | % | ||||||
First Tower Finance Company LLC (Mississippi)† | 80.1 | % | ||||||
First Tower, LLC (Mississippi)† | 80.1 | % | ||||||
First Tower Loan, LLC (Louisiana)† | 80.1 | % | ||||||
Gulfco of Louisiana, LLC (Louisiana)† | 80.0 | % | ||||||
Gulfco of Mississippi, LLC (Mississippi)† | 80.0 | % | ||||||
Gulfco of Alabama, LLC (Alabama)† | 80.0 | % | ||||||
Tower Loan of Illinois, LLC (Mississippi)† | 80.0 | % | ||||||
Tower Loan of Mississippi, LLC (Mississippi)† | 80.0 | % | ||||||
Tower Loan of Missouri, LLC (Mississippi)† | 80.0 | % | ||||||
Tower Auto Loan, LLC (Mississippi)† | 80.0 | % | ||||||
Tower Loan of Texas, LLC (Mississippi) | 80.0 | % | ||||||
InterDent, Inc. (Delaware) | 99.9 | % | ||||||
InterDent Service Corporation (Washington) | 99.9 | % | ||||||
Capitol Dental Care, Inc. (Oregon) | 99.9 | % | ||||||
Managed Dental Care of Oregon, Inc. (Oregon) | 99.9 | % | ||||||
Dedicated Dental Systems, Inc. (Washington) | 99.9 | % | ||||||
Southwest Dental Group, LTD (Arizona) | 99.9 | % | ||||||
Gentle Dental Smile Plan, LLC | 99.9 | % | ||||||
American Federated Holding Company (Mississippi)† | 80.0 | % | ||||||
American Federated Insurance Company, Inc. (Mississippi)† | 80.0 | % | ||||||
American Federated Life Insurance Company, Inc. (Mississippi)† | 80.0 | % | ||||||
NMMB Holdings, Inc. (Delaware)* | 100.0 | % | ||||||
NMMB, Inc. (Delaware) | 90.4 | % | ||||||
Refuel Agency, Inc. (Delaware) | 90.4 | % | ||||||
Armed Forces Communications, Inc. (New York) | 90.4 | % | ||||||
Prospect Capital Funding LLC (Delaware)* | 100.0 | % | ||||||
Prospect Yield Corporation, LLC (Delaware)* | 100.0 | % | ||||||
Pacific World Corporation (California) | 100.0 | % | ||||||
The W.E. Bassett Company (Connecticut) | 100.0 | % | ||||||
Pacific World De Mexico, S. De R.L. De C.V. (Mexico) | 100.0 | % | ||||||
Pacific World Limited (England and Wales) | 100.0 | % | ||||||
Fing’rs (Europe) AG (Switzerland) | 100.0 | % |
Name of Entity and Place of Jurisdiction | % of Voting Securities Owned | |||||||
Fing’rs (Deutshland) GmbH (Germany) | 100.0 | % | ||||||
Wolf Energy, LLC (Delaware) | 99.8 | % | ||||||
Appalachian Energy Holdings, LLC (Delaware) | 99.8 | % | ||||||
C & S Operating, LLC (Delaware) | 99.8 | % | ||||||
Wolf Energy Services Company, LLC (Delaware) | 99.8 | % | ||||||
R-V Industries, Inc. (Pennsylvania) | 88.3 | % | ||||||
STI Holding, Inc. (Delaware) | 100.0 | % | ||||||
Arlington Park Marietta, LLC (Delaware) | 93.3 | % | ||||||
NPH Gulf Coast Holdings, LLC (Delaware) | 99.3 | % | ||||||
NPH Property Holdings, LLC (Delaware)* | 100.0 | % | ||||||
NPH Property Holdings II, LLC (Delaware)* | 100.0 | % | ||||||
American Consumer Lending Holdings Limited (Cayman Islands) | 100.0 | % | ||||||
American Consumer Lending Limited (Cayman Islands) | 100.0 | % | ||||||
American Consumer Lending V, LLC (Delaware) | 100.0 | % | ||||||
American Consumer Lending VI, LLC (Delaware) | 100.0 | % | ||||||
American Consumer Lending III (Near-Prime), LLC (Delaware) | 100.0 | % | ||||||
American Consumer Lending IV (Near-Prime), LLC (Delaware) | 100.0 | % | ||||||
ACL Near-Prime, LLC (Delaware) | 100.0 | % | ||||||
National Marketplace Finance, LLC (Delaware) | 100.0 | % | ||||||
American Consumer Lending VII, LLC (Delaware) | 100.0 | % | ||||||
Murray Hill Marketplace Trust 2016-LC1 (Delaware) | 100.0 | % | ||||||
Murray Hill Grantor Trust 2016-LC1 (Delaware) | 100.0 | % | ||||||
Murray Hill 2016-LC1 Holdings, LLC (Delaware) | 100.0 | % | ||||||
Murray Hill Securitization Holdings Limited (Cayman Islands) | 100.0 | % | ||||||
National Property REIT Corp. (Maryland) | 100.0 | % | ||||||
NPH Guarantor, LLC (Delaware) | 100.0 | % | ||||||
ACL Loan Holdings, Inc. (Delaware) | 100.0 | % | ||||||
ACL Loan Company, Inc. (Delaware) | 100.0 | % | ||||||
ACL Loan Company III, Inc. (Delaware) | 100.0 | % | ||||||
ACL Consumer Loan Trust (Delaware) | 100.0 | % | ||||||
ACL Consumer Loan Trust III (Delaware) | 100.0 | % | ||||||
ACL Consumer Loan Trust V (Delaware) | 100.0 | % | ||||||
ACL Patient Solutions Trust (Delaware) | 100.0 | % | ||||||
CLUB Credit Trust 2018-NP1 (Delaware) | 56.4 | % | ||||||
CLUB Grantor Trust 2018-NP1 (Delaware) | 56.4 | % | ||||||
LCIT 2016-NP2 (Delaware) | 72.6 | % | ||||||
LCIT Grantor Trust 2016-NP2 (Delaware) | 72.6 | % | ||||||
National General Lending Limited | 100.0 | % | ||||||
NGL Subsidiary, Ltd | 100.0 | % | ||||||
Columbus OH Apartments HoldCo, LLC (Delaware) | 79.1 | % | ||||||
Crown Pointe Passthrough, LLC (Delaware) | 80.0 | % | ||||||
Crown Pointe SPE, LLC (Delaware) | 80.0 | % | ||||||
SSIL I, LLC (Delaware) | 80.0 | % | ||||||
SSIL Orchard Village, LLC (Delaware) | 80.0 | % | ||||||
9220 Old Lantern Way Holdings, LLC (Delaware) | 92.5 | % |
Name of Entity and Place of Jurisdiction | % of Voting Securities Owned | |||||||
Baymeadows Holdings, LLC (Delaware) | 92.5 | % | ||||||
7915 Baymeadows Circle Owner LLC (Delaware) | 92.5 | % | ||||||
8025 Baymeadows Circle Owner LLC (Delaware) | 92.5 | % | ||||||
Southfield Holdings, LLC (Delaware) | 92.5 | % | ||||||
23275 Riverside Drive Owner LLC (Delaware) | 92.5 | % | ||||||
23741 Pond Road Owner LLC (Delaware) | 92.5 | % | ||||||
Steeplechase Holdings, LLC (Delaware) | 92.5 | % | ||||||
150 Steeplechase Way Owner, LLC (Delaware) | 92.5 | % | ||||||
Olentangy Commons Holdings, LLC (Delaware) | 92.5 | % | ||||||
Olentangy Commons Owner, LLC (Delaware) | 92.5 | % | ||||||
Villages of Wildwood Holdings, LLC (Delaware) | 92.5 | % | ||||||
Villages of Wildwood Owner, LLC (Delaware) | 92.5 | % | ||||||
Falling Creek Holdings LLC (Delaware) | 90.0 | % | ||||||
Falling Creek BL Owner, LLC (Delaware) | 90.0 | % | ||||||
Abbie Lakes OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Kengary Way OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Jefferson Chase OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Lakepoint OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Heatherbridge OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Sunbury OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Lakeview Trail OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Goldenstrand OH Partners, LLC (Delaware) | 79.1 | % | ||||||
Vesper Portfolio JV, LLC (Delaware) | 67.0 | % | ||||||
Vesper Tuscaloosa LLC (Delaware) | 67.0 | % | ||||||
Vesper Iowa City LLC (Delaware) | 67.0 | % | ||||||
Vesper Corpus Christi LLC (Delaware) | 67.0 | % | ||||||
Vesper Campus Quarters LLC (Delaware) | 67.0 | % | ||||||
Vesper College Station LLC (Delaware) | 67.0 | % | ||||||
Vesper Kennesaw LLC (Delaware) | 67.0 | % | ||||||
Vesper Statesboro LLC (Delaware) | 67.0 | % | ||||||
Vesper Manhattan KS LLC (Delaware) | 67.0 | % | ||||||
9220 Old Lantern Way Owner, LLC (Delaware) | 92.5 | % | ||||||
Lorring Owner, LLC (Delaware) | 80.0 | % | ||||||
Lorring Park Apts, LLC (Delaware) | 80.0 | % | ||||||
Hamptons Apartments Holdings, LLC (Delaware) | 92.5 | % | ||||||
Hamptons Apartments Owner, LLC (Delaware) | 92.5 | % | ||||||
5224 Long Road Holdings, LLC (Delaware) | 92.5 | % | ||||||
5224 Long Road Apartments, LLC (Delaware) | 92.5 | % | ||||||
Druid Hills Holdings, LLC (Delaware) | 96.3 | % | ||||||
Druid Hills Apartments, LLC (Delaware) | 96.3 | % | ||||||
Bel Canto NPRC, LLC (Delaware) | 88.0 | % | ||||||
Bel Canto NPRC Parcstone, LLC (Delaware) | 88.0 | % | ||||||
Bel Canto NPRC Stone Ridge, LLC (Delaware) | 88.0 | % | ||||||
Sterling Place Holdings, LLC (Delaware) | 92.5 | % | ||||||
Sterling Place Apartment Owner, LLC (Delaware) | 92.5 | % |
Name of Entity and Place of Jurisdiction | % of Voting Securities Owned | |||||||
SPCP Hampton, LLC (Delaware) | 80.0 | % | ||||||
SPCP Hampton Owner, LLC (Delaware) | 80.0 | % | ||||||
Palmetto Creek Holdings, LLC (Delaware) | 90.0 | % | ||||||
Palmetto Creek BL Owner, LLC (Delaware) | 90.0 | % | ||||||
Valora at Homewood Holdings, LLC (Delaware) | 90.0 | % | ||||||
Valora at Homewood BL, LLC (Delaware) | 90.0 | % | ||||||
NPRC Fairburn, LLC (Delaware) | 100.0 | % | ||||||
NPRC Grayson, LLC (Delaware) | 100.0 | % | ||||||
NPRC Taylors, LLC (Delaware) | 100.0 | % | ||||||
Spartanburg Holdings, LLC (Delaware) | 96.3 | % | ||||||
Parkside at Laurel West Owner, LLC (Delaware) | 96.3 | % | ||||||
Willows at North End Owner, LLC (Delaware) | 96.3 | % | ||||||
SPCP Edge CL, LLC (Delaware) | 80.0 | % | ||||||
SPCP Edge CL Owner, LLC (Delaware) | 80.0 | % | ||||||
Credit Central Holdings of Delaware, LLC (Delaware)* | 100.0 | % | ||||||
Credit Central Loan Company, LLC (South Carolina) | 99.8 | % | ||||||
Credit Central, LLC (South Carolina) | 99.8 | % | ||||||
Credit Central Anderson, LLC (South Carolina) | 99.8 | % | ||||||
Credit Central South, LLC (South Carolina) | 99.8 | % | ||||||
Credit Central of Tennessee, LLC (South Carolina) | 99.8 | % | ||||||
Credit Central of Texas, LLC (South Carolina) | 99.8 | % | ||||||
Mity Holdings of Delaware, Inc. | 100.0 | % | ||||||
MITY, Inc. (Utah) | 100.0 | % | ||||||
MITY-LITE, Inc. (Utah) | 100.0 | % | ||||||
Broda Canada ULC (British Columbia, Canada) | 100.0 | % | ||||||
Broda GP, ULC (Canada) | 100.0 | % | ||||||
Broda Limited Partnership (Canada) | 100.0 | % | ||||||
Holsag Canada, Inc. (Canada) | 100.0 | % | ||||||
Atlas and Lane, LLC (Utah) | 100.0 | % | ||||||
Mity FSC, Inc. (Utah) | 100.0 | % | ||||||
Broda USA, Inc. (Utah) | 100.0 | % | ||||||
Nationwide Acceptance Holdings LLC (Delaware)* | 100.0 | % | ||||||
Nationwide Loan Company LLC (Delaware) | 94.5 | % | ||||||
Nationwide Online Lending LLC (Delaware) | 94.5 | % | ||||||
Pelican Loan Company LLC (Delaware) | 94.5 | % | ||||||
Nationwide Acceptance LLC (Delaware) | 94.5 | % | ||||||
Hercules Insurance Agency LLC (Illinois) | 94.5 | % | ||||||
Nationwide CAC LLC (Illinois) | 94.5 | % | ||||||
Nationwide Cassel LLC (Illinois) | 94.5 | % | ||||||
Nationwide Installment Services LLC (Illinois) | 94.5 | % | ||||||
Nationwide Loans LLC (Illinois) | 94.5 | % | ||||||
Nationwide Nevada LLC (Illinois) | 94.5 | % | ||||||
Nationwide Northwest LLC (Illinois) | 94.5 | % | ||||||
Nationwide Southeast LLC (Illinois) | 94.5 | % | ||||||
Nationwide West LLC (Illinois) | 94.5 | % |
Name of Entity and Place of Jurisdiction | % of Voting Securities Owned | |||||||
NIKO Credit Services LLC (Illinois) | 94.5 | % | ||||||
Valley Electric Holdings I, Inc. (Delaware)* | 100.0 | % | ||||||
Valley Electric Holdings II, Inc. (Delaware)* | 100.0 | % | ||||||
Valley Electric Company, Inc. (Delaware) | 95.0 | % | ||||||
VE Company, Inc (Delaware) | 95.0 | % | ||||||
Valley Electric Co. of Mt. Vernon, Inc. (Washington) | 95.0 | % | ||||||
USES Corp. (Delaware) | 99.9 | % | ||||||
USES, Inc. (Texas) | 99.9 | % | ||||||
United States Environmental Services, LLC (Louisiana) | 99.9 | % | ||||||
UTP Holdings Group, Inc. (Delaware) | 100.0 | % | ||||||
Universal Turbine Parts, LLC (Delaware) | 100.0 | % | ||||||
B.V. Aviation, LLC (Delaware) | 100.0 | % | ||||||
Prospect Realty Income Trust Corp. (Delaware) | 100.0 | % | ||||||
Kickapoo, LLC (Delaware) | 100.0 | % | ||||||
Elliot Apartments Norcross, LLC (Delaware) | 90.0 | % | ||||||
Vida Borrower, LLC (Delaware) | 90.0 | % | ||||||
Jackson 4 Pack JV LLC (Delaware) | 80.0 | % | ||||||
Jackson Crosswinds, LLC (Delaware) | 80.0 | % | ||||||
Jackson Lakeshore Landing, LLC (Delaware) | 80.0 | % | ||||||
Jackson Pear Orchard, LLC (Delaware) | 80.0 | % | ||||||
Jackson Reflection Pointe, LLC (Delaware) | 80.0 | % | ||||||
NPRC Fairburn Holding, LLC (Delaware) | 100.0 | % | ||||||
NPRC Grayson Holding, LLC (Delaware) | 100.0 | % | ||||||
NPRC Lancaster LLC (Delaware) | 100.0 | % | ||||||
NPRC Rutland LLC (Delaware) | 100.0 | % | ||||||
NPRC Twin Oaks LLC (Delaware) | 100.0 | % | ||||||
NPRC Wolfchase LLC (Delaware) | 100.0 | % | ||||||
Orlando 442 Owner, LLC (Delaware) | 90.0 | % | ||||||
Orlando 442 Venture, LLC (Delaware) | 90.0 | % | ||||||
Southport Holdings LLC (Delaware) | 92.5 | % | ||||||
Southport Owner LLC (Delaware) | 92.5 | % | ||||||
Terraces at Perkins Rowe JV LLC (Delaware) | 62.3 | % | ||||||
Perkins Rowe Owner LLC (Delaware) | 62.3 | % | ||||||
TP Cheyenne Operations, LLC (Delaware) | 90.0 | % | ||||||
TP Cheyenne, LLC (Delaware) | 90.0 | % | ||||||
TP Kokomo Operations, LLC (Delaware) | 90.0 | % | ||||||
TP Kokomo, LLC (Delaware) | 90.0 | % | ||||||
TP Pueblo Operations, LLC (Delaware) | 90.0 | % | ||||||
TP Pueblo, LLC (Delaware) | 90.0 | % | ||||||
TP Stillwater Operations, LLC (Delaware) | 90.0 | % | ||||||
TP Stillwater, LLC (Delaware) | 90.0 | % | ||||||
TP-NPRC Senior Living Holdings, LLC (Delaware) | 90.0 | % | ||||||
TP-NPRC Senior Living Operations, LLC (Delaware) | 90.0 | % | ||||||
TP-NPRC Senior Living, LLC (Delaware) | 90.0 | % |
Name | Jurisdiction of Organization | |||||||
Prospect Management Group LLC | Delaware | |||||||
Prospect Administration LLC | Delaware | |||||||
Prospect Capital Opportunity Fund Management LLC | Delaware | |||||||
Priority Senior Secured Income Management, LLC | Delaware | |||||||
Prospect Flexible Income Management, LLC | Delaware | |||||||
Prospect Capital Investment Management, LLC | Delaware | |||||||
Prospect Capital Management Inc. | Delaware | |||||||
Patriots Finance LLC | Delaware | |||||||
Patriots Asset Management LLC | Delaware | |||||||
Prospect Capital Benefits LLC | Delaware | |||||||
Prospect Opportunity Zone Fund LP | Delaware | |||||||
PCM Opportunity Zone Fund Advisor LLC | Delaware | |||||||
PCM Opportunity Zone Fund GP LLC | Delaware |
Title of Class | Number of Record Holders | |||||||
Common Stock, par value $.001 per share | 168 |
PROSPECT CAPITAL CORPORATION | ||||||||
By: | /s/ JOHN F. BARRY III | |||||||
John F. Barry III Chief Executive Officer and Chairman of the Board of Directors |
Signature | Title | |||||||
/s/ JOHN F. BARRY III | Chief Executive Officer and Chairman of the Board of Directors (Principal Executive Officer) | |||||||
John F. Barry III | ||||||||
/s/ M. GRIER ELIASEK | Chief Operating Officer and Director | |||||||
M. Grier Eliasek | ||||||||
/s/ KRISTIN L. VAN DASK | Chief Financial Officer, Treasurer and Secretary (Principal Financial and Accounting Officer) | |||||||
Kristin L. Van Dask | ||||||||
/s/ WILLIAM J. GREMP* | Director | |||||||
William J. Gremp | ||||||||
/s/ ANDREW C. COOPER* | Director | |||||||
Andrew C. Cooper | ||||||||
/s/ EUGENE S. STARK* | Director | |||||||
Eugene S. Stark |
*By: | /s/ M. GRIER ELIASEK | |||||||
M. Grier Eliasek, as Attorney-in-Fact |
Exhibit No. | Description | |||||||
(d)(374) | ||||||||
(d)(375) | ||||||||
(d)(376) | ||||||||
(s) |