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Consolidated Schedule of Investments (Tables)
12 Months Ended
Dec. 31, 2022
Notes Tables  
Investment [Table Text Block]

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

  

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 

Non-Affiliate Investments — 226.1% (8)

                                        

Non-Affiliate Debt Investments — 215.5% (8)

                                        

Non-Affiliate Debt Investments — Life Science — 99.7% (8)

                                        

Avalo Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   3.00% 

January 1, 2025

 $2,885  $2,853  $2,777 
    

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   3.00% 

January 1, 2025

  2,885   2,823   2,750 
    

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   3.00% 

January 1, 2025

  1,442   1,411   1,374 
    

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   3.00% 

February 1, 2025

  2,885   2,821   2,748 
    

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   3.00% 

February 1, 2025

  2,885   2,821   2,748 
    

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   3.00% 

April 1, 2025

  1,442   1,408   1,371 
    

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   3.00% 

April 1, 2025

  1,442   1,408   1,371 

Castle Creek Biosciences, Inc. (2)(12)

 

Biotechnology

 

Term Loan

  12.50% 

Prime

  6.05%  9.55%  13.50%  5.50% 

May 1, 2026

  5,000   4,891   4,891 
    

Term Loan

  12.50% 

Prime

  6.05%  9.55%  13.50%  5.50% 

May 1, 2026

  5,000   4,963   4,963 
    

Term Loan

  12.50% 

Prime

  6.05%  9.55%  13.50%  5.50% 

May 1, 2026

  3,000   2,978   2,978 
    

Term Loan

  12.50% 

Prime

  6.05%  9.55%  13.50%  5.50% 

May 1, 2026

  5,000   4,963   4,963 
    

Term Loan

  12.50% 

Prime

  6.05%  9.55%  13.50%  5.50% 

May 1, 2026

  5,000   4,963   4,963 
    

Term Loan

  12.50% 

Prime

  6.05%  9.55%  13.50%  5.50% 

May 1, 2026

  3,000   2,978   2,978 

Emalex Biosciences, Inc. (2)(12)

 

Biotechnology

 

Term Loan

  12.07% 

Libor

  7.90%  9.75%  -   5.00% 

June 1, 2024

  1,979   1,962   1,962 
    

Term Loan

  12.07% 

Libor

  7.90%  9.75%  -   5.00% 

June 1, 2024

  1,979   1,963   1,963 
    

Term Loan

  12.07% 

Libor

  7.90%  9.75%  -   5.00% 

November 1, 2025

  5,000   4,923   4,923 
    

Term Loan

  12.07% 

Libor

  7.90%  9.75%  -   5.00% 

May 1, 2026

  5,000   4,912   4,912 

Evelo Biosciences, Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  11.75% 

Prime

  4.75%  11.00%  -   4.25% 

January 1, 2028

  10,000   9,872   9,872 
    

Term Loan

  11.75% 

Prime

  4.75%  11.00%  -   4.25% 

January 1, 2028

  15,000   14,808   14,808 
    

Term Loan

  11.75% 

Prime

  4.75%  11.00%  -   4.25% 

January 1, 2028

  6,000   5,923   5,923 
    

Term Loan

  11.75% 

Prime

  4.75%  11.00%  -   4.25% 

January 1, 2028

  6,000   5,923   5,923 
    

Term Loan

  11.75% 

Prime

  4.75%  11.00%  -   4.25% 

January 1, 2028

  4,000   3,949   3,949 
    

Term Loan

  11.75% 

Prime

  4.75%  11.00%  -   4.25% 

January 1, 2028

  4,000   3,949   3,949 

F-Star Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  13.25% 

Prime

  6.25%  9.50%  -   4.00% 

April 1, 2025

  2,500   2,476   2,476 
    

Term Loan

  13.25% 

Prime

  6.25%  9.50%  -   4.00% 

July 1, 2025

  2,500   2,473   2,473 

Greenlight Biosciences, Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  13.25% 

Prime

  5.75%  9.00%  -   3.00% 

July 1, 2025

  5,000   4,857   4,857 
    

Term Loan

  13.25% 

Prime

  5.75%  9.00%  -   3.00% 

July 1, 2025

  2,500   2,430   2,430 

IMV Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  13.25% 

Prime

  5.75%  9.00%  -   5.00% 

July 1, 2025

  5,000   4,946   4,946 
    

Term Loan

  13.25% 

Prime

  5.75%  9.00%  -   5.00% 

July 1, 2025

  2,500   2,473   2,473 
    

Term Loan

  13.25% 

Prime

  5.75%  9.00%  -   5.00% 

January 1, 2026

  5,000   4,947   4,947 
    

Term Loan

  13.25% 

Prime

  5.75%  9.00%  -   5.00% 

January 1, 2026

  5,000   4,947   4,947 

KSQ Therapeutics, Inc. (2) (12)

 

Biotechnology

 

Term Loan

  12.25% 

Prime

  4.75%  8.50%  -   5.50% 

May 1, 2027

  6,250   6,077   6,077 
    

Term Loan

  12.25% 

Prime

  4.75%  8.50%  -   5.50% 

May 1, 2027

  6,250   6,177   6,177 

Native Microbials, Inc (2) (12)

 

Biotechnology

 

Term Loan

  12.75% 

Prime

  5.25%  8.50%  -   5.00% 

November 1, 2026

  3,750   3,630   3,630 
    

Term Loan

  12.75% 

Prime

  5.25%  8.50%  -   5.00% 

November 1, 2026

  2,500   2,469   2,469 

PDS Biotechnology Corporation (2)(5)(12)

 

Biotechnology

 

Term Loan

  13.25% 

Prime

  5.75%  9.75%  -   3.75% 

September 1, 2026

  10,000   9,701   9,701 
    

Term Loan

  13.25% 

Prime

  5.75%  9.75%  -   3.75% 

September 1, 2026

  3,750   3,697   3,697 
    

Term Loan

  13.25% 

Prime

  5.75%  9.75%  -   3.75% 

September 1, 2026

  3,750   3,697   3,697 

Provivi, Inc. (2)(12)

 

Biotechnology

 

Term Loan

  12.67% 

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  4,667   4,597   4,597 
    

Term Loan

  12.67% 

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  4,667   4,597   4,597 
    

Term Loan

  12.67% 

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,333   2,280   2,280 
    

Term Loan

  12.67% 

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,333   2,280   2,280 
    

Term Loan

  12.67% 

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,333   2,274   2,274 
    

Term Loan

  12.67% 

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,333   2,274   2,274 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

  

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 

Stealth Biotherapeutics Inc. (2)(12)

 

Biotechnology

 

Term Loan

  13.00% 

Prime

  5.50%  8.75%  -   6.00% 

October 1, 2025

  5,000   4,914   4,914 
    

Term Loan

  13.00% 

Prime

  5.50%  8.75%  -   6.00% 

October 1, 2025

  2,500   2,457   2,457 

Aerobiotix, LLC (2)(12)

 

Medical Device

 

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   6.00% 

April 1, 2026

  2,500   2,463   2,364 
    

Term Loan

  13.75% 

Prime

  6.25%  9.50%  -   6.00% 

April 1, 2026

  2,500   2,463   2,364 

Canary Medical Inc. (2)(12)

 

Medical Device

 

Term Loan

  12.75% 

Prime

  5.75%  9.00%  -   7.00% 

November 1, 2024

  2,500   2,475   2,475 
    

Term Loan

  12.75% 

Prime

  5.75%  9.00%  -   7.00% 

November 1, 2024

  2,500   2,489   2,489 
    

Term Loan

  12.75% 

Prime

  5.75%  9.00%  -   7.00% 

November 1, 2024

  2,500   2,473   2,473 

Ceribell, Inc. (2)(12)

 

Medical Device

 

Term Loan

  10.50% 

Prime

  3.50%  8.25%  -   5.50% 

October 1, 2024

  5,000   4,973   4,973 
    

Term Loan

  10.50% 

Prime

  3.50%  8.25%  -   5.50% 

October 1, 2024

  5,000   4,973   4,973 
    

Term Loan

  10.50% 

Prime

  3.50%  8.25%  -   5.50% 

October 1, 2024

  2,500   2,478   2,478 
    

Term Loan

  10.50% 

Prime

  3.50%  8.25%  -   5.50% 

October 1, 2024

  2,500   2,478   2,478 

Cognoa, Inc. (2)(12)

 

Medical Device

 

Term Loan

  13.00% 

Prime

  5.50%  8.75%  -   6.00% 

August 1, 2026

  2,500   2,466   2,466 
    

Term Loan

  13.00% 

Prime

  5.50%  8.75%  -   6.00% 

August 1, 2026

  5,000   4,932   4,932 

Conventus Orthopaedics, Inc. (2)(12)

 

Medical Device

 

Term Loan

  12.17% 

Libor

  8.00%  9.25%  -   10.36% 

July 1, 2025

  3,960   3,898   3,898 
    

Term Loan

  12.17% 

Libor

  8.00%  9.25%  -   10.36% 

July 1, 2025

  3,960   3,898   3,898 

Corinth Medtech, Inc. (2)(12)

 

Medical Device

 

Term Loan

  12.25% 

Prime

  5.25%  8.50%  -   20.00% 

September 15, 2022

  2,500   2,500   2,500 
    

Term Loan

  12.25% 

Prime

  5.25%  8.50%  -   20.00% 

September 15, 2022

  2,500   2,500   2,500 

CSA Medical, Inc. (2)(12)

 

Medical Device

 

Term Loan

  12.37% 

Libor

  8.20%  10.00%  -   5.00% 

January 1, 2024

  1,625   1,610   1,610 
    

Term Loan

  12.37% 

Libor

  8.20%  10.00%  -   5.00% 

January 1, 2024

  108   107   107 
    

Term Loan

  12.37% 

Libor

  8.20%  10.00%  -   5.00% 

March 1, 2024

  2,000   1,983   1,983 

Embody, Inc. (2)(12)

 

Medical Device

 

Term Loan

  14.00% 

Prime

  6.50%  9.75%  -   28.00% 

August 1, 2026

  2,500   2,482   2,482 

InfoBionic, Inc. (2)(12)

 

Medical Device

 

Term Loan

  13.25% 

Prime

  6.25%  9.50%  -   4.00% 

October 1, 2024

  3,208   3,143   3,143 
    

Term Loan

  13.25% 

Prime

  6.25%  9.50%  -   4.00% 

June 1, 2025

  1,000   974   974 

Magnolia Medical Technologies, Inc. (2)(12)

 

Medical Device

 

Term Loan

  12.00% 

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,939   4,939 
    

Term Loan

  12.00% 

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,939   4,939 
    

Term Loan

  12.00% 

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,933   4,933 
    

Term Loan

  12.00% 

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,933   4,933 
    

Term Loan

  12.50% 

Prime

  5.00%  9.75%  -   4.00% 

January 1, 2027

  5,000   4,913   4,913 
    

Term Loan

  12.50% 

Prime

  5.00%  9.75%  -   4.00% 

January 1, 2027

  5,000   4,913   4,913 

Robin Healthcare, Inc. (2)(12)

 

Medical Device

 

Term Loan

  13.00% 

Prime

  5.50%  10.25%  -   4.00% 

November 1, 2026

  3,500   3,360   3,360 
    

Term Loan

  13.00% 

Prime

  5.50%  10.25%  -   4.00% 

November 1, 2026

  3,500   3,460   3,460 

Scientia Vascular, Inc. (2)(12)

 

Medical Device

 

Term Loan

  11.75% 

Prime

  4.75%  8.50%  -   5.00% 

January 1, 2027

  3,750   3,597   3,597 
    

Term Loan

  11.75% 

Prime

  4.75%  8.50%  -   5.00% 

January 1, 2027

  3,750   3,706   3,706 

Sonex Health, Inc. (2)(12)

 

Medical Device

 

Term Loan

  13.50% 

Prime

  6.50%  9.75%  -   8.00% 

June 1, 2025

  2,500   2,476   2,476 
    

Term Loan

  13.50% 

Prime

  6.50%  9.75%  -   8.00% 

June 1, 2025

  2,500   2,476   2,476 
    

Term Loan

  13.50% 

Prime

  6.50%  9.75%  -   8.00% 

June 1, 2025

  2,500   2,476   2,476 
    

Term Loan

  13.50% 

Prime

  6.50%  9.75%  -   8.00% 

April 1, 2026

  2,500   2,453   2,453 
    

Term Loan

  13.50% 

Prime

  6.50%  9.75%  -   8.00% 

May 1, 2026

  2,500   2,455   2,455 

Spineology, Inc. (2)(12)

 

Medical Device

 

Term Loan

  14.50% 

Prime

  7.00%  10.25%  -   1.00% 

October 1, 2025

  5,000   4,966   4,966 
    

Term Loan

  14.50% 

Prime

  7.00%  10.25%  -   1.00% 

April 1, 2026

  2,500   2,481   2,481 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

 

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 

Swift Health Systems Inc. (2)(12)

 

Medical Device

 

Term Loan

  12.25%

Prime

  5.25%  9.00%  -   5.00% 

July 1, 2027

  3,500   3,349   3,349 
    

Term Loan

  12.25%

Prime

  5.25%  9.00%  -   5.00% 

July 1, 2027

  3,500   3,454   3,454 

Total Non-Affiliate Debt Investments — Life Science

                             318,172   317,568 

Non-Affiliate Debt Investments — Sustainability — 26.3% (8)

                                       

Aerofarms, Inc. (2)(12)

 

Other Sustainability

 

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   3.00% 

April 1, 2026

  3,750   3,699   3,699 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   3.00% 

April 1, 2026

  3,750   3,699   3,699 

Nexii Building Solutions, Inc. (2)(12)

 

Other Sustainability

 

Term Loan

  14.50%

Prime

  7.00%  10.25%  -   2.50% 

September 1, 2025

  7,500   7,371   7,371 
    

Term Loan

  14.50%

Prime

  7.00%  10.25%  -   2.50% 

September 1, 2025

  7,500   7,371   7,371 
    

Term Loan

  14.50%

Prime

  7.00%  10.25%  -   2.50% 

September 1, 2025

  7,500   7,371   7,371 
    

Term Loan

  14.50%

Prime

  7.00%  10.25%  -   2.50% 

July 1, 2026

  5,000   4,903   4,903 
    

Term Loan

  14.50%

Prime

  7.00%  10.25%  -   2.50% 

July 1, 2026

  5,000   4,903   4,903 

Soli Organic, Inc. (2)(12)

 

Other Sustainability

 

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.75% 

April 1, 2026

  2,500   2,463   2,463 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.75% 

April 1, 2026

  5,000   4,927   4,927 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.75% 

May 1, 2026

  5,000   4,924   4,924 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.75% 

May 1, 2026

  2,500   2,462   2,462 
    

Term Loan

  13.00%

Prime

  5.50%  10.00%  -   2.75% 

December 1, 2026

  5,000   4,900   4,900 
    

Term Loan

  13.00%

Prime

  5.50%  10.00%  -   2.75% 

December 1, 2026

  2,500   2,450   2,450 

Temperpack Technologies, Inc. (2)(12)

 

Other Sustainability

 

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.50% 

June 1, 2025

  3,750   3,697   3,697 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.50% 

June 1, 2025

  3,750   3,717   3,717 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.50% 

October 1, 2025

  7,500   7,424   7,424 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.50% 

October 1, 2025

  3,750   3,712   3,712 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   2.50% 

October 1, 2025

  3,750   3,712   3,712 

Total Non-Affiliate Debt Investments — Sustainability

                             83,705   83,705 

Non-Affiliate Debt Investments — Technology — 81.4% (8)

                                       

Axiom Space, Inc. (2)(12)

 

Communications

 

Term Loan

  13.00%

Prime

  6.00%  9.25%  -   2.50% 

June 1, 2026

  7,500   7,455   7,455 
    

Term Loan

  13.00%

Prime

  6.00%  9.25%  -   2.50% 

June 1, 2026

  7,500   7,455   7,455 
    

Term Loan

  13.00%

Prime

  6.00%  9.25%  -   2.50% 

June 1, 2026

  7,500   7,455   7,455 
    

Convertible Note

  3.00%                  

July 1, 2023

  250   250   306 

Alula Holdings, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  13.75%

Prime

  6.75%  10.00%  -   3.00% 

January 1, 2025

  5,000   4,966   4,966 
    

Term Loan

  13.75%

Prime

  6.75%  10.00%  -   3.00% 

January 1, 2025

  5,000   4,966   4,966 
    

Term Loan

  13.75%

Prime

  6.75%  10.00%  -   3.00% 

January 1, 2025

  3,000   2,979   2,979 
    

Term Loan

  13.75%

Prime

  6.75%  10.00%  -   3.00% 

December 1, 2025

  1,000   976   976 
    

Term Loan

  13.75%

Prime

  6.75%  10.00%  -   3.00% 

February 1, 2026

  1,000   977   977 

Better Place Forests Co. (2)(12)(13)

 

Consumer-related Technologies

 

Term Loan

  13.75%

Prime

  6.25%  9.50%  -   1.85% 

July 1, 2025

  5,000   4,951   3,834 
    

Term Loan

  13.75%

Prime

  6.25%  9.50%  -   1.85% 

October 1, 2025

  2,500   2,474   1,916 

CAMP NYC, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  14.75%

Prime

  7.25%  10.50%  -   3.00% 

May 1, 2026

  3,500   3,461   3,461 

Clara Foods Co. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   5.50% 

August 1, 2025

  2,500   2,482   2,482 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   5.50% 

August 1, 2025

  2,500   2,482   2,482 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

 

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 

Divergent Technologies, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

July 1, 2027

  3,750   3,478   3,478 
    

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

July 1, 2027

  1,250   1,238   1,238 
    

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

July 1, 2027

  3,750   3,715   3,715 
    

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

July 1, 2027

  1,250   1,238   1,238 
    

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

July 1, 2027

  3,750   3,715   3,715 
    

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

July 1, 2027

  1,250   1,238   1,238 
    

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

January 1, 2028

  3,750   3,698   3,698 
    

Term Loan

  11.25%

Prime

  6.00%  9.50%  11.25%  3.00% 

January 1, 2028

  3,750   3,698   3,698 

Havenly, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  12.50%

Prime

  5.00%  5.00%  -   4.00% 

March 1, 2027

  2,000   1,082   1,082 
    

Term Loan

  12.50%

Prime

  5.00%  5.00%  -   4.00% 

March 1, 2027

  3,000   1,623   1,623 
    

Term Loan

  11.00%

Prime

  3.50%  10.50%  -   7.78% 

February 1, 2028

  2,813   2,813   2,813 
    

Term Loan

  11.00%

Prime

  3.50%  10.50%  -   7.78% 

February 1, 2028

  2,813   2,813   2,813 

Interior Define, Inc. (2)(12)(13)

 

Consumer-related Technologies

 

Term Loan

  13.50%

Prime

  6.50%  9.75%  -   4.00% 

January 1, 2026

  3,210   3,151    
    

Term Loan

  13.50%

Prime

  6.50%  9.75%  -   4.00% 

January 1, 2026

  2,963   2,886    

Lyrical Foods, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   -  

September 1, 2027

  2,500   2,588   2,279 

MyForest Foods Co. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   3.00% 

October 1, 2025

  5,000   4,954   4,954 
    

Term Loan

  14.25%

Prime

  6.75%  10.00%  -   3.00% 

October 1, 2025

  2,500   2,477   2,477 

NextCar Holding Company, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  5,000   4,943   4,715 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  2,000   1,981   1,890 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  2,500   2,477   2,363 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  3,000   2,971   2,835 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  2,500   2,459   2,345 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  2,500   2,459   2,345 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  5,000   4,914   4,688 
    

Term Loan

  12.75%

Prime

  5.75%  9.00%  -   2.00% 

December 30, 2022

  2,500   2,456   2,342 

Optoro, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  13.25%

Prime

  6.25%  9.50%  -   4.00% 

August 1, 2027

  2,500   2,347   2,347 

Primary Kids, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  14.25%

Prime

  7.25%  10.50%  -   3.00% 

March 1, 2025

  2,700   2,673   2,673 
    

Term Loan

  14.25%

Prime

  7.25%  10.50%  -   3.00% 

March 1, 2025

  2,700   2,673   2,673 
    

Term Loan

  14.25%

Prime

  7.25%  10.50%  -   3.00% 

September 1, 2025

  3,000   2,967   2,967 

Unagi, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  15.25%

Prime

  7.75%  11.00%  -   -  

July 1, 2025

  2,500   2,473   2,473 
    

Term Loan

  15.25%

Prime

  7.75%  11.00%  -   -  

July 1, 2025

  1,250   1,236   1,236 
    

Term Loan

  15.25%

Prime

  7.75%  11.00%  -   -  

July 1, 2025

  1,250   1,236   1,236 

Liqid, Inc. (2)(12)

 

Networking

 

Term Loan

  13.25%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  3,333   3,286   3,286 
    

Term Loan

  13.25%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  3,333   3,286   3,286 
    

Term Loan

  13.25%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  1,667   1,641   1,641 
    

Term Loan

  13.25%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  1,667   1,641   1,641 
    

Term Loan

  13.25%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  1,667   1,613   1,613 

BriteCore Holdings, Inc. (2)(12)

 

Software

 

Term Loan

  13.75%

Prime

  6.75%  10.00%  -   5.00% 

March 1, 2026

  2,500   2,421   2,421 
    

Term Loan

  13.75%

Prime

  6.75%  10.00%  -   5.00% 

March 1, 2026

  2,500   2,487   2,487 

Decisyon, Inc. (12)

 

Software

 

Term Loan

  16.93%

Prime

  9.43%  12.68%  -   50.43% 

December 31, 2022

  3,295   3,295   3,295 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

 

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 

Dropoff, Inc. (2)(12)

 

Software

 

Term Loan

  14.00%

Prime

  6.50%  9.75%  -   3.50% 

April 1, 2026

  6,500   6,347   6,347 
    

Term Loan

  14.00%

Prime

  6.50%  9.75%  -   3.50% 

April 1, 2026

  6,000   5,859   5,859 
    

Term Loan

  14.00%

Prime

  6.50%  9.75%  -   3.50% 

August 1, 2026

  2,500   2,436   2,436 

Engage3, LLC (2)(12)

 

Software

 

Term Loan

  13.25%

Prime

  6.25%  9.75%  -   4.50% 

July 1, 2027

  3,750   3,678   3,678 
    

Term Loan

  13.25%

Prime

  6.25%  9.75%  -   4.50% 

July 1, 2027

  3,750   3,718   3,718 

Groundspeed Analytics, Inc. (2)(12)

 

Software

 

Term Loan

  13.00%

Prime

  5.50%  11.00%  18.00%  3.00% 

December 1, 2026

  5,000   4,798   4,798 
    

Term Loan

  13.00%

Prime

  5.50%  11.00%  18.00%  3.00% 

December 1, 2026

  5,000   4,948   4,948 

Kodiak Robotics, Inc. (2)(12)

 

Software

 

Term Loan

  13.00%

Prime

  5.50%  10.25%  -   4.00% 

April 1, 2026

  10,000   9,826   9,826 
    

Term Loan

  13.00%

Prime

  5.50%  10.25%  -   4.00% 

April 1, 2026

  10,000   9,826   9,826 
    

Term Loan

  13.00%

Prime

  5.50%  10.25%  -   4.00% 

April 1, 2026

  5,000   4,913   4,913 
    

Term Loan

  13.00%

Prime

  5.50%  10.25%  -   4.00% 

April 1, 2026

  5,000   4,913   4,913 

Lemongrass Holdings, Inc. (2)(12)

 

Software

 

Term Loan

  14.00%

Prime

  6.50%  9.75%  -   2.50% 

March 1, 2026

  5,000   4,947   4,947 
    

Term Loan

  14.00%

Prime

  6.50%  9.75%  -   2.50% 

March 1, 2026

  2,500   2,474   2,474 

Lytics, Inc. (2)(12)

 

Software

 

Term Loan

  13.00%

Prime

  6.00%  9.25%  -   3.00% 

July 1, 2025

  2,500   2,396   2,396 
    

Term Loan

  13.00%

Prime

  6.00%  12.25%  -   3.00% 

December 1, 2026

  1,250   1,231   1,231 

Reputation Institute, Inc. (2)(12)

 

Software

 

Term Loan

  14.25%

Prime

  7.25%  10.50%  -   3.00% 

August 1, 2025

  5,000   4,932   4,932 

Slingshot Aerospace, Inc. (2)(12)

 

Software

 

Term Loan

  13.25%

Prime

  5.75%  9.75%  -   5.00% 

August 1, 2026

  5,000   4,870   4,870 
    

Term Loan

  13.25%

Prime

  5.75%  9.75%  -   5.00% 

August 1, 2026

  5,000   4,933   4,933 
    

Term Loan

  13.25%

Prime

  5.75%  9.75%  -   5.00% 

August 1, 2026

  5,000   4,933   4,933 
    

Term Loan

  13.25%

Prime

  5.75%  9.75%  -   5.00% 

August 1, 2026

  5,000   4,933   4,933 

Supply Network Visiblity Holdings LLC (2)(12)

 

Software

 

Term Loan

  13.50%

Prime

  6.50%  9.75%  -   4.00% 

February 1, 2025

  3,500   3,472   3,472 
    

Term Loan

  13.50%

Prime

  6.50%  9.75%  -   4.00% 

February 1, 2025

  3,500   3,472   3,472 
    

Term Loan

  13.50%

Prime

  6.50%  9.75%  -   4.00% 

December 1, 2025

  2,500   2,472   2,472 
    

Term Loan

  13.50%

Prime

  6.50%  9.75%  -   4.00% 

December 1, 2025

  2,500   2,472   2,472 

Total Non-Affiliate Debt Investments — Technology

                             268,468   259,366 

Non-Affiliate Debt Investments — Healthcare information and services — 8.1% (8)

                                       

Hound Labs inc. (2) (12)

 

Diagnostics

 

Term Loan

  13.50%

Prime

  6.00%  9.25%  -   3.50% 

June 1, 2026

  2,500   2,385   2,385 
    

Term Loan

  13.50%

Prime

  6.00%  9.25%  -   3.50% 

June 1, 2026

  2,500   2,473   2,473 
    

Term Loan

  13.50%

Prime

  6.00%  9.25%  -   3.50% 

June 1, 2026

  5,000   4,946   4,946 

Secure Transfusion Services, Inc. (2)(12)(13)

 

Other Healthcare

 

Term Loan

  13.25%

Prime

  5.75%  9.00%  -   4.00% 

October 1, 2025

  4,943   4,943   1,668 
    

Term Loan

  13.25%

Prime

  5.75%  9.00%  -   4.00% 

December 31, 2025

  2,500   2,467   832 

BrightInsight, Inc. (2)(12)

 

Software

 

Term Loan

  12.50%

Prime

  5.50%  9.50%  -   3.00% 

August 1, 2027

  7,000   6,619   6,619 
    

Term Loan

  12.50%

Prime

  5.50%  9.50%  -   3.00% 

August 1, 2027

  3,500   3,448   3,448 
    

Term Loan

  12.50%

Prime

  5.50%  9.50%  -   3.00% 

August 1, 2027

  3,500   3,448   3,448 

Total Non-Affiliate Debt Investments — Healthcare information and services

                             30,729   25,819 

Total Non- Affiliate Debt Investments

                             701,074   686,458 
          

Cost of

  

Fair

 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Number of Shares

  

Investments (6)(9)

  

Value (9)

 

Non-Affiliate Warrant Investments — 9.4% (8)

                

Non-Affiliate Warrants — Life Science — 3.1% (8)

                

Avalo Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  26,442   311    

Castle Creek Biosciences, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  7,404   214   335 

Corvium, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  661,956   53    

Emalex Biosciences, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  110,402   176   263 

Evelo Biosciences, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  463,915   126   125 

F-Star Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  21,120   35    

Greenlight Biosciences, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  47,452   366    

Imunon, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  16,502   66    

IMV Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  39,774   67    

KSQ Therapeutics, Inc. (2) (12)

 

Biotechnology

 

Preferred Stock Warrant

  48,077   51   60 

Mustang Bio, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  252,161   146    

Native Microbials, Inc (2) (12)

 

Biotechnology

 

Preferred Stock Warrant

  103,679   64   162 

PDS Biotechnology Corporation (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  299,848   160   3,024 

Provivi, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  203,017   399   648 

Rocket Pharmaceuticals Corporation (5)(12)

 

Biotechnology

 

Common Stock Warrant

  7,051   17   14 

Stealth Biotherapeutics Inc. (2)(12)

 

Biotechnology

 

Common Stock Warrant

  318,181   264   37 

vTv Therapeutics Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  95,293   44    

Xeris Pharmaceuticals, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  126,000   72   3 

AccuVein Inc. (2)(12)

 

Medical Device

 

Common Stock Warrant

  1,175   24    

Aerin Medical, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  1,818,183   64   1,200 

Aerobiotix, LLC (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  27,330   48   31 

Canary Medical Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  12,153   84   1,864 

Ceribell, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  145,483   69   209 

Cognoa, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  775,000   148   179 

Conventus Orthopaedics, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  7,972,222   221   226 

CSA Medical, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  1,375,727   153   150 

CVRx, Inc. (2)(5)(12)

 

Medical Device

 

Common Stock Warrant

  47,410   76   394 

Infobionic, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  317,647   124   113 
          

Cost of

  

Fair

 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Number of Shares

  

Investments (6)(9)

  

Value (9)

 

Magnolia Medical Technologies, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  809,931   194   385 

Meditrina, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  233,993   83   101 

Robin Healthcare, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  86,066   16   16 

Scientia Vascular, Inc (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  19,662   40   46 

Sonex Health, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  605,313   98   123 

VERO Biotech LLC (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  408   53   1 

Swift Health Systems Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  135,484   71   83 

Total Non-Affiliate Warrants — Life Science

      4,197   9,792 

Non-Affiliate Warrants — Sustainability — 0.6% (8)

                

Aerofarms, Inc. (2)(12)

 

Other Sustainability

 

Preferred Stock Warrant

  201,537   61   74 

LiquiGlide, Inc. (2)(12)

 

Other Sustainability

 

Common Stock Warrant

  61,539   39   55 

Nexii Building Solutions, Inc. (2)(12)

 

Other Sustainability

 

Common Stock Warrant

  204,832   488   1,061 

Soli Organic, Inc. (2)(12)

 

Other Sustainability

 

Preferred Stock Warrant

  681   214   361 

Temperpack Technologies, Inc. (2)(12)

 

Other Sustainability

 

Preferred Stock Warrant

  35,906   126   268 

Total Non-Affiliate Warrants — Sustainability

      928   1,819 

Non-Affiliate Warrants — Technology — 5.1% (8)

                

Axiom Space, Inc. (2)(12)

 

Communications

 

Common Stock Warrant

  1,991   46   67 

Intelepeer Holdings, Inc. (2)(12)

 

Communications

 

Preferred Stock Warrant

  2,936,535   139   3,265 

PebblePost, Inc. (2)(12)

 

Communications

 

Preferred Stock Warrant

  598,850   92   173 

Alula Holdings, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  20,000   93   64 

Aterian, Inc. (2)(5)(12)

 

Consumer-related Technologies

 

Common Stock Warrant

  76,923   195    

Better Place Forests Co. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  10,690   26    

Caastle, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  268,591   68   1,069 

CAMP NYC, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  17,605   20   61 

Clara Foods Co. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  46,745   30   125 

Divergent Technologies, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  31,966   56   233 

Havenly, Inc. (2)(12)

 

Consumer-related Technologies

 

Common Stock Warrant

  1,312,500   2,947   2,947 

Interior Define, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  553,710   103    

MyForest Foods Co. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  143   29   37 

NextCar Holding Company, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  1,261,253   197   17 

Optoro, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  6,600   104   104 

Primary Kids, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  553,778   57   429 

Quip NYC Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  6,191   325   534 

Unagi, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  171,081   32   22 

Updater, Inc.(2)(12)

 

Consumer-related Technologies

 

Common Stock Warrant

  108,333   34   42 

CPG Beyond, Inc. (2)(12)

 

Data Storage

 

Preferred Stock Warrant

  500,000   242   909 

Silk, Inc. (2)(12)

 

Data Storage

 

Preferred Stock Warrant

  442,110   234   407 

Global Worldwide LLC (2)(12)

 

Internet and Media

 

Preferred Stock Warrant

  245,810   75    

Rocket Lawyer Incorporated (2)(12)

 

Internet and Media

 

Preferred Stock Warrant

  261,721   92   357 

Skillshare, Inc. (2)(12)

 

Internet and Media

 

Preferred Stock Warrant

  139,074   162   802 

Liqid, Inc. (2)(12)

 

Networking

 

Preferred Stock Warrant

  344,102   364   243 

Halio, Inc. (2)(12)

 

Power Management

 

Preferred Stock Warrant

  5,002,574   1,585   2,610 

Avalanche Technology, Inc. (2)(12)

 

Semiconductors

 

Preferred and Common Stock Warrants

  6,081   56    

BriteCore Holdings, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  77,828   21   69 

Decisyon, Inc. (12)

 

Software

 

Common Stock Warrant

  82,967   46    

Dropoff, Inc. (2)(12)

 

Software

 

Common Stock Warrant

  516,732   455   197 

E La Carte, Inc. (2)(5)(12)

 

Software

 

Common Stock Warrant

  147,361   60   3 

Groundspeed Analytics, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  86,300   6   6 

Kodiak Robotics, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  639,918   273   296 

Lemongrass Holdings, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  101,308   34   41 

Lotame Solutions, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  288,115   22   312 

Lytics, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  80,197   40   44 

Reputation Institute, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  3,731   56   39 

Revinate Holdings, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  682,034   46   99 

Riv Data Corp. (2)(12)

 

Software

 

Preferred Stock Warrant

  321,428   12   296 

SIGNiX, Inc. (12)

 

Software

 

Preferred Stock Warrant

  186,235   225    

Skyword, Inc. (12)

 

Software

 

Preferred and Common Stock Warrants

  301,055   48   1 

Slingshot Aerospace, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  309,208   123   133 

Supply Network Visiblity Holdings LLC (2)(12)

 

Software

 

Preferred Stock Warrant

  682   64   83 

Topia Mobility, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  3,049,607   138    

xAd, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  4,343,348   177   12 

Total Non-Affiliate Warrants — Technology

      9,249   16,148 
          

Cost of

  

Fair

 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Number of Shares

  

Investments (6)(9)

  

Value (9)

 

Non-Affiliate Warrants — Healthcare information and services — 0.6% (8)

                

Hound Labs, Inc (2) (12)

 

Diagnostics

 

Preferred Stock Warrant

  159,893   47   54 

Kate Farms, Inc. (2)(12)

 

Other Healthcare

 

Preferred Stock Warrant

  82,965   102   1,370 

Secure Transfusion Services, Inc. (2)(12)

 

Other Healthcare

 

Preferred Stock Warrant

  77,690   47    

BrightInsight, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  80,544   160   170 

Medsphere Systems Corporation (2)(12)

 

Software

 

Preferred Stock Warrant

  7,097,792   60   359 

Total Non-Affiliate Warrants — Healthcare information and services

      416   1,953 

Total Non-Affiliate Warrants

      14,790   29,712 

Non-Affiliate Other Investments — 0.4% (8)

                

Lumithera, Inc. (2)

 

Medical Device

 

Royalty Agreement

      1,200   1,100 

ZetrOZ, Inc. (12)

 

Medical Device

 

Royalty Agreement

         200 

Total Non-Affiliate Other Investments

      1,200   1,300 

Non-Affiliate Equity — 0.8% (8)

                

Castle Creek Biosciences, Inc. (12)

 

Biotechnology

 

Common Stock

  1,162   250   250 

Emalex Biosciences, Inc. (2)(12)

 

Biotechnology

 

Common Stock

  32,831   356   356 

Getaround, Inc. (2)(5)

 

Consumer-related Technologies

 

Common Stock

  87,082   253   57 

SnagAJob.com, Inc. (12)

 

Consumer-related Technologies

 

Common Stock

  82,974   8   83 

Lumithera, Inc. (2)

 

Medical Device

 

Common Stock

  392,651   2,000   1,700 

Tigo Energy, Inc. (2)

 

Other Sustainability

 

Preferred

  22,313   8   27 

Branded Online, Inc. (2)(5)

 

Software

 

Common Stock

  108,004   1,079   83 

Decisyon, Inc. (12)

 

Software

 

Preferred and Common Stock

  72,638,663   230    

Total Non-Affiliate Equity

      4,184   2,556 

Total Non-Affiliate Portfolio Investment Assets

     $721,248  $720,026 

Total Portfolio Investment Assets — 226.1% (8)

     $721,248  $720,026 
                 

Short Term Investments — Unrestricted Investments — 2.2% (8)

                

US Bank Money Market Deposit Account

     $7,066  $7,066 

Total Short Term Investments — Unrestricted Investments

     $7,066  $7,066 
                 

Short Term Investments — Restricted Investments — 0.9% (8)

                

US Bank Money Market Deposit Account

     $2,788  $2,788 

Total Short Term Investments — Restricted Investments

     $2,788  $2,788 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

 

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 

Non-Affiliate Investments — 186.7% (8)

                                       

Non-Affiliate Debt Investments — 178.3% (8)

                                       

Non-Affiliate Debt Investments — Life Science — 77.3% (8)

                                       

Castle Creek Pharmaceuticals Holdings, Inc. (2)(12)

 

Biotechnology

 

Term Loan

  9.30%

Libor

  7.50%  9.30%  -   5.00% 

March 1, 2024

 $5,000  $4,957  $4,957 
    

Term Loan

  9.30%

Libor

  7.50%  9.30%  -   5.00% 

March 1, 2024

  5,000   4,957   4,957 
    

Term Loan

  9.30%

Libor

  7.50%  9.30%  -   5.00% 

March 1, 2024

  5,000   4,957   4,957 
    

Term Loan

  9.30%

Libor

  7.50%  9.30%  -   5.00% 

March 1, 2024

  5,000   4,957   4,957 

Avalo Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   3.00% 

January 1, 2025

  5,000   4,909   4,909 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   3.00% 

January 1, 2025

  5,000   4,909   4,909 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   3.00% 

January 1, 2025

  2,500   2,454   2,454 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   3.00% 

February 1, 2025

  5,000   4,906   4,906 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   3.00% 

February 1, 2025

  5,000   4,906   4,906 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   3.00% 

April 1, 2025

  2,500   2,451   2,451 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   3.00% 

April 1, 2025

  2,500   2,451   2,451 

Emalex Biosciences, Inc. (2)(12)

 

Biotechnology

 

Term Loan

  9.75%

Libor

  7.90%  9.75%  -   5.00% 

June 1, 2024

  2,500   2,420   2,420 
    

Term Loan

  9.75%

Libor

  7.90%  9.75%  -   5.00% 

June 1, 2024

  2,500   2,472   2,472 
    

Term Loan

  9.75%

Libor

  7.90%  9.75%  -   5.00% 

November 1, 2025

  5,000   4,896   4,896 

F-Star Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

April 1, 2025

  2,500   2,465   2,465 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

July 1, 2025

  2,500   2,463   2,463 

Greenlight Biosciences, Inc. (2)(12)

 

Biotechnology

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

July 1, 2025

  5,000   4,850   4,850 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

July 1, 2025

  2,500   2,475   2,475 

IMV Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  9.00%

Prime

  6.25%  9.00%  -   5.00% 

July 1, 2025

  5,000   4,799   4,799 
    

Term Loan

  9.00%

Prime

  6.25%  9.00%  -   5.00% 

July 1, 2025

  2,500   2,462   2,462 

LogicBio, Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  8.75%

Libor

  6.25%  8.75%  -   4.50% 

June 1, 2024

  4,028   4,011   4,011 

Provivi, Inc. (2)(12)

 

Biotechnology

 

Term Loan

  9.50%

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  5,000   4,935   4,935 
    

Term Loan

  9.50%

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  5,000   4,935   4,935 
    

Term Loan

  9.50%

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,500   2,440   2,440 
    

Term Loan

  9.50%

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,500   2,440   2,440 
    

Term Loan

  9.50%

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,500   2,430   2,430 
    

Term Loan

  9.50%

Libor

  8.50%  9.50%  -   5.50% 

December 1, 2024

  2,500   2,430   2,430 

Stealth Biotherapeutics Inc. (2)(5)(12)

 

Biotechnology

 

Term Loan

  8.75%

Prime

  5.50%  8.75%  -   6.00% 

October 1, 2025

  5,000   4,631   4,631 
    

Term Loan

  8.75%

Prime

  5.50%  8.75%  -   6.00% 

October 1, 2025

  2,500   2,441   2,441 

Canary Medical Inc. (2)(12)

 

Medical Device

 

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   7.00% 

November 1, 2024

  2,500   2,394   2,394 

Ceribell, Inc. (2)(12)

 

Medical Device

 

Term Loan

  8.25%

Libor

  6.70%  8.25%  -   5.50% 

October 1, 2024

  5,000   4,926   4,926 
    

Term Loan

  8.25%

Libor

  6.70%  8.25%  -   5.50% 

October 1, 2024

  5,000   4,957   4,957 
    

Term Loan

  8.25%

Libor

  6.70%  8.25%  -   5.50% 

October 1, 2024

  2,500   2,466   2,466 
    

Term Loan

  8.25%

Libor

  6.70%  8.25%  -   5.50% 

October 1, 2024

  2,500   2,466   2,466 

Conventus Orthopaedics, Inc. (2)(12)

 

Medical Device

 

Term Loan

  9.25%

Libor

  8.00%  9.25%  -   10.36% 

July 1, 2025

  4,056   4,009   4,009 
    

Term Loan

  9.25%

Libor

  8.00%  9.25%  -   10.36% 

July 1, 2025

  4,056   4,009   4,009 

Corinth Medtech, Inc. (2)(12)

 

Medical Device

 

Term Loan

  8.50%

Prime

  5.25%  8.50%  -   20.00% 

April 1, 2022

  2,500   2,495   2,495 
    

Term Loan

  8.50%

Prime

  5.25%  8.50%  -   20.00% 

April 1, 2022

  2,500   2,495   2,495 

CSA Medical, Inc. (2)(12)

 

Medical Device

 

Term Loan

  10.00%

Libor

  8.20%  10.00%  -   5.00% 

January 1, 2024

  3,125   3,095   3,095 
    

Term Loan

  10.00%

Libor

  8.20%  10.00%  -   5.00% 

January 1, 2024

  208   206   206 
    

Term Loan

  10.00%

Libor

  8.20%  10.00%  -   5.00% 

March 1, 2024

  3,600   3,569   3,569 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

 

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 

Embody, Inc. (2)(12)

 

Medical Device

 

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   28.00% 

August 1, 2026

  2,500   2,457   2,457 

InfoBionic, Inc. (2)(12)

 

Medical Device

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

October 1, 2024

  3,500   3,397   3,397 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

June 1, 2025

  1,000   963   963 

MacuLogix, Inc. (2)(12)(13)

 

Medical Device

 

Term Loan

  10.08%

Libor

  7.68%  10.08%  -   6.00% 

September 1, 2023

  7,500   7,447   4,481 
    

Term Loan

  10.08%

Libor

  7.68%  10.08%  -   6.00% 

September 1, 2023

  4,050   4,022   2,420 

Magnolia Medical Technologies, Inc. (2)(12)

 

Medical Device

 

Term Loan

  9.75%

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,952   4,952 
    

Term Loan

  9.75%

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,952   4,952 
    

Term Loan

  9.75%

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,944   4,944 
    

Term Loan

  9.75%

Prime

  5.00%  9.75%  -   4.00% 

March 1, 2025

  5,000   4,944   4,944 

Sonex Health, Inc. (2)(12)

 

Medical Device

 

Term Loan

  9.25%

Prime

  6.00%  9.25%  -   5.00% 

June 1, 2024

  2,500   2,391   2,391 
    

Term Loan

  9.25%

Prime

  6.00%  9.25%  -   5.00% 

June 1, 2024

  2,500   2,472   2,472 
    

Term Loan

  9.25%

Prime

  6.00%  9.25%  -   5.00% 

June 1, 2024

  2,500   2,472   2,472 

Spineology, Inc. (2)(12)

 

Medical Device

 

Term Loan

  10.25%

Prime

  7.00%  10.25%  -   1.00% 

October 1, 2025

  5,000   4,928   4,928 

Total Non-Affiliate Debt Investments — Life Science

                             194,237   189,669 

Non-Affiliate Debt Investments — Sustainability — 18.8% (8)

                                       

LiquiGlide, Inc. (2)(12)

 

Other Sustainability

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   5.00% 

January 1, 2025

  2,000   1,928   1,928 

Nexii Building Solutions, Inc. (2)(12)

 

Other Sustainability

 

Term Loan

  10.25%

Prime

  7.00%  10.25%  -   2.50% 

September 1, 2025

  7,500   7,322   7,322 
    

Term Loan

  10.25%

Prime

  7.00%  10.25%  -   2.50% 

September 1, 2025

  7,500   7,322   7,322 
    

Term Loan

  10.25%

Prime

  7.00%  10.25%  -   2.50% 

September 1, 2025

  7,500   7,322   7,322 

Temperpack Technologies, Inc. (2)(12)

 

Other Sustainability

 

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   2.50% 

June 1, 2025

  3,750   3,703   3,703 
    

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   2.50% 

June 1, 2025

  3,750   3,703   3,703 
    

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   2.50% 

October 1, 2025

  7,500   7,396   7,396 
    

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   2.50% 

October 1, 2025

  3,750   3,698   3,698 
    

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   2.50% 

October 1, 2025

  3,750   3,698   3,698 

Total Non-Affiliate Debt Investments — Sustainability

                             46,092   46,092 

Non-Affiliate Debt Investments — Technology — 77.2% (8)

                                       

Axiom Space, Inc. (2)(12)

 

Communications

 

Term Loan

  9.25%

Prime

  6.00%  9.25%  -   2.50% 

June 1, 2026

  7,500   7,442   7,442 
    

Term Loan

  9.25%

Prime

  6.00%  9.25%  -   2.50% 

June 1, 2026

  7,500   7,442   7,442 
    

Term Loan

  9.25%

Prime

  6.00%  9.25%  -   2.50% 

June 1, 2026

  7,500   7,442   7,442 
    

Convertible Note

  3.00%                  

July 1, 2023

  250   250   250 

Alula Holdings, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   3.00% 

January 1, 2025

  5,000   4,935   4,935 
    

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   3.00% 

January 1, 2025

  5,000   4,949   4,949 
    

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   3.00% 

January 1, 2025

  3,000   2,969   2,969 
    

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   3.00% 

December 1, 2025

  1,000   968   968 

Better Place Forests Co. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   1.85% 

July 1, 2025

  5,000   4,928   4,928 

CAMP NYC, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  10.50%

Prime

  7.25%  10.50%  -   3.00% 

May 1, 2026

  3,500   3,430   3,430 

Clara Foods Co. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   5.50% 

August 1, 2025

  2,500   2,476   2,476 
    

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   5.50% 

August 1, 2025

  2,500   2,476   2,476 

Interior Define, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

January 1, 2026

  6,500   6,397   6,397 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Cash Rate (4)

 

Index

 

Margin

  

Floor

  

Ceiling

  

ETP (10)

  

Maturity Date

 

Principal Amount

  

Cost of Investments (6)(9)

  

Fair Value (9)

 
    

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

January 1, 2026

  6,000   5,775   5,775 

Lyrical Foods, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  10.00%

Prime

  6.75%  10.00%  -   9.75% 

January 1, 2024

  2,500   2,480   2,480 

NextCar Holding Company, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   10.10% 

January 1, 2026

  5,000   4,935   4,935 
    

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   10.10% 

January 1, 2026

  2,000   1,920   1,920 

Primary Kids, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  10.50%

Prime

  7.25%  10.50%  -   3.00% 

March 1, 2025

  3,000   2,961   2,961 
    

Term Loan

  10.50%

Prime

  7.25%  10.50%  -   3.00% 

March 1, 2025

  3,000   2,961   2,961 
    

Term Loan

  10.50%

Prime

  7.25%  10.50%  -   3.00% 

September 1, 2025

  3,000   2,955   2,955 

Quip NYC Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  11.25%

Prime

  8.00%  11.25%  -   3.00% 

April 1, 2026

  10,000   9,639   9,639 

Unagi, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  11.00%

Prime

  7.75%  11.00%  -   -  

July 1, 2025

  2,500   2,446   2,446 
    

Term Loan

  11.00%

Prime

  7.75%  11.00%  -   -  

July 1, 2025

  1,250   1,234   1,234 

Updater, Inc. (2)(12)

 

Consumer-related Technologies

 

Term Loan

  12.00%

Prime

  5.75%  12.00%  14.00%  0.56% 

December 20, 2024

  5,000   4,961   4,961 
    

Term Loan

  12.00%

Prime

  5.75%  12.00%  14.00%  0.56% 

December 20, 2024

  5,000   4,961   4,961 
    

Term Loan

  12.00%

Prime

  5.75%  12.00%  14.00%  0.56% 

December 20, 2024

  10,000   9,922   9,922 

Liqid, Inc. (2)(12)

 

Networking

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  5,000   4,770   4,770 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  5,000   4,924   4,924 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  2,500   2,459   2,459 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  2,500   2,459   2,459 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   4.00% 

September 1, 2024

  2,500   2,414   2,414 

Branded Online, Inc. (2)(12)

 

Software

 

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   6.00% 

September 1, 2026

  5,000   4,719   4,719 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   6.00% 

November 1, 2026

  2,500   2,355   2,355 
    

Term Loan

  9.50%

Prime

  6.25%  9.50%  -   -  

July 1, 2023

  5,000   5,000   5,000 

BriteCore Holdings, Inc. (2)(12)

 

Software

 

Term Loan

  10.50%

Prime

  7.25%  10.50%  -   4.00% 

October 1, 2024

  2,500   2,481   2,481 
    

Term Loan

  10.50%

Prime

  7.25%  10.50%  -   4.00% 

October 1, 2024

  2,500   2,481   2,481 

Decisyon, Inc. (12)

 

Software

 

Term Loan

  12.68%

Prime

  9.23%  12.68%  -   50.43% 

January 1, 2023

  3,470   3,470   3,470 

Dropoff, Inc. (2)(12)

 

Software

 

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   3.50% 

April 1, 2026

  6,500   6,087   6,087 
    

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   3.50% 

April 1, 2026

  6,000   5,816   5,816 

E La Carte, Inc. (2)(12)

 

Software

 

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

October 1, 2025

  3,000   2,937   2,937 
    

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

October 1, 2025

  3,000   2,958   2,958 
    

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

October 1, 2025

  1,500   1,479   1,479 

Lytics, Inc. (2)(12)

 

Software

 

Term Loan

  9.25%

Prime

  6.00%  9.25%  -   4.00% 

July 1, 2025

  2,500   2,464   2,464 

Reputation Institute, Inc. (2)(12)

 

Software

 

Term Loan

  10.50%

Prime

  7.25%  10.50%  -   3.00% 

August 1, 2025

  5,000   4,905   4,905 

Supply Network Visiblity Holdings LLC (2)(12)

 

Software

 

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

February 1, 2025

  3,500   3,458   3,458 
    

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

February 1, 2025

  3,500   3,458   3,458 
    

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

December 1, 2025

  2,500   2,463   2,463 
    

Term Loan

  9.75%

Prime

  6.50%  9.75%  -   4.00% 

December 1, 2025

  2,500   2,463   2,463 

Total Non-Affiliate Debt Investments — Technology

                             189,274   189,274 

Non-Affiliate Debt Investments Healthcare information and services 5.0% (8)

                                       

IDbyDNA, Inc. (2)(12)

 

Diagnostics

 

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   5.50% 

January 1, 2025

  5,000   4,902   4,902 
    

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   5.50% 

January 1, 2025

  5,000   4,936   4,936 
    

Term Loan

  9.00%

Prime

  5.75%  9.00%  -   5.50% 

January 1, 2026

  2,500   2,444   2,444 

Total Non-Affiliate Debt Investments — Healthcare information and services

                             12,282   12,282 

Total Non- Affiliate Debt Investments

                             441,885   437,317 
          

Cost of

  

Fair

 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Number of Shares

  

Investments (6)(9)

  

Value (9)

 

Non-Affiliate Warrant Investments — 8.2% (8)

                

Non-Affiliate Warrants — Life Science — 1.0% (8)

                

Avalo Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  317,306   311   27 

Castle Creek Pharmaceuticals, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  2,428   142   148 

Corvium, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  661,956   54    

Emalex Biosciences, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  92,002   139   162 

F-Star Therapeutics, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  21,120   36   3 

Imunon, Inc. (fka Celsion Corporation) (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  295,053   65   1 

IMV Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  284,090   64   64 

LogicBio, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  7,843   8    

Mustang Bio, Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  252,161   146   5 

Provivi, Inc. (2)(12)

 

Biotechnology

 

Preferred Stock Warrant

  164,608   278   519 

Rocket Pharmaceuticals Corporation (5)(12)

 

Biotechnology

 

Common Stock Warrant

  7,051   17   9 

Stealth Biotherapeutics Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  795,455   264   45 

Strongbridge U.S. Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  160,714   72   110 

vTv Therapeutics Inc. (2)(5)(12)

 

Biotechnology

 

Common Stock Warrant

  95,293   44    

AccuVein Inc. (2)(12)

 

Medical Device

 

Common Stock Warrant

  1,175   24    

Aerin Medical, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  1,818,183   66   463 

Canary Medical Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  7,292   53   45 

Ceribell, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  134,299   61   172 

Conventus Orthopaedics, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  6,361,111   149   169 

CSA Medical, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  1,375,727   154   108 

CVRx, Inc. (2)(5)(12)

 

Medical Device

 

Common Stock Warrant

  47,410   80   90 

Infobionic, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  317,647   124   121 

MacuLogix, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  454,460   238    

Magnolia Medical Technologies, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  441,780   91   112 

Meditrina, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  221,510   83   122 

Sonex Health, Inc. (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  484,250   77   75 

VERO Biotech LLC (2)(12)

 

Medical Device

 

Preferred Stock Warrant

  408   53   30 

Total Non-Affiliate Warrants — Life Science

      2,893   2,600 

Non-Affiliate Warrants — Sustainability — 0.4% (8)

                

LiquiGlide, Inc. (2)(12)

 

Other Sustainability

 

Common Stock Warrant

  61,359   39   36 

Nexii Building Solutions, Inc. (2)(12)

 

Other Sustainability

 

Common Stock Warrant

  142,405   356   331 

Temperpack Technologies, Inc. (2)(12)

 

Other Sustainability

 

Preferred Stock Warrant

  48,756   107   552 

Total Non-Affiliate Warrants — Sustainability

      502   919 
          

Cost of

  

Fair

 

Portfolio Company (1)(3)

 

Sector

 

Type of Investment (7)

 

Number of Shares

  

Investments (6)(9)

  

Value (9)

 

Non-Affiliate Warrants — Technology — 6.2% (8)

                

Axiom Space, Inc. (2)(12)

 

Communications

 

Common Stock Warrant

  1,991   45   42 

Intelepeer Holdings, Inc. (2)(12)

 

Communications

 

Preferred Stock Warrant

  2,936,535   140   3,141 

PebblePost, Inc. (2)(12)

 

Communications

 

Preferred Stock Warrant

  598,850   92   161 

Alula Holdings, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  20,000   93   70 

Aterian, Inc. (2)(5)(12)

 

Consumer-related Technologies

 

Common Stock Warrant

  76,923   195   1 

Better Place Forests Co. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  9,353   23   23 

Caastle, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  268,591   68   823 

CAMP NYC, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  17,605   22   22 

Clara Foods Co. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  46,745   30   368 

Getaround, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  651,040   450   367 

Interior Define, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  553,710   103   103 

NextCar Holding Company, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  310,463   47   47 

Primary Kids, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  553,778   57   51 

Quip NYC Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  6,191   324   503 

Unagi, Inc. (2)(12)

 

Consumer-related Technologies

 

Preferred Stock Warrant

  134,421   25   24 

Updater, Inc. (2)(12)

 

Consumer-related Technologies

 

Common Stock Warrant

  108,333   34   31 

CPG Beyond, Inc. (2)(12)

 

Data Storage

 

Preferred Stock Warrant

  500,000   242   859 

Silk, Inc. (2)(12)

 

Data Storage

 

Preferred and Common Stock Warrant

  44,211,003   234   188 

Global Worldwide LLC (2)(12)

 

Internet and Media

 

Preferred Stock Warrant

  245,810   75   6 

Rocket Lawyer Incorporated (2)(12)

 

Internet and Media

 

Preferred Stock Warrant

  261,721   92   741 

Skillshare, Inc. (2)(12)

 

Internet and Media

 

Preferred Stock Warrant

  139,074   162   2,403 

Liqid, Inc. (2)(12)

 

Networking

 

Preferred Stock Warrant

  344,102   364   938 

Kinestral, Inc. (2)(12)

 

Power Management

 

Preferred Stock Warrant

  5,002,574   1,585   2,609 

Avalanche Technology, Inc. (2)(12)

 

Semiconductors

 

Preferred and Common Stock Warrant

  6,753   101    

Branded Online, Inc. (2)(12)

 

Software

 

Common Stock Warrant

  16,678   370   443 

BriteCore Holdings, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  55,591   5   37 

Decisyon, Inc. (12)

 

Software

 

Common Stock Warrant

  82,967   46    

Dropoff, Inc. (2)(12)

 

Software

 

Common Stock Warrant

  482,283   397   395 

E La Carte, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  181,947   61   53 

Lotame Solutions, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  288,115   23   276 

Lytics, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  26,733   12   12 

Reputation Institute, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  3,731   54   52 

Revinate Holdings, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  615,475   44   66 

Riv Data Corp. (2)(12)

 

Software

 

Preferred Stock Warrant

  321,428   12   292 

SIGNiX, Inc. (12)

 

Software

 

Preferred Stock Warrant

  186,235   224    

Skyword, Inc. (12)

 

Software

 

Preferred and Common Stock Warrant

  301,055   49   4 

Supply Network Visiblity Holdings LLC (2)(12)

 

Software

 

Preferred Stock Warrant

  682   64   62 

Topia Mobility, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  3,049,607   138    

xAd, Inc. (2)(12)

 

Software

 

Preferred Stock Warrant

  4,343,348   179   1 

Total Non-Affiliate Warrants — Technology

      6,281   15,214 

Non-Affiliate Warrants — Healthcare information and services — 0.6% (8)

            

IDbyDNA, Inc. (2)(12)

 

Diagnostics

 

Preferred Stock Warrant

  472,006   112   95 

Kate Farms, Inc. (2)(12)

 

Other Healthcare

 

Preferred Stock Warrant

  82,965   101   1,177 

Watermark Medical, Inc. (2)(12)

 

Other Healthcare

 

Preferred Stock Warrant

  27,373   74    

Medsphere Systems Corporation (2)(12)

 

Software

 

Preferred Stock Warrant

  7,097,792   60   195 

Total Non-Affiliate Warrants — Healthcare information and services

      347   1,467 

Total Non-Affiliate Warrants

      10,023   20,200 

Non-Affiliate Other Investments — 0.1% (8)

                

ZetrOZ, Inc. (12)

 

Medical Device

 

Royalty Agreement

         200 

Total Non-Affiliate Other Investments

         200 

Non-Affiliate Equity — 0.1% (8)

                

SnagAJob.com, Inc. (12)

 

Consumer-related Technologies

 

Common Stock

  82,974   9   83 

Zeta Global Holdings Corp. (2)(5)(12)

 

Internet and Media

 

Common Stock

  18,405   240   155 

Decisyon, Inc. (12)

 

Software

 

Preferred and Common Stock

  72,638,663   230   120 

Total Non-Affiliate Equity

      479   358 

Total Non-Affiliate Portfolio Investment Assets

     $452,387  $458,075 

Controlled Affiliate Investments — 0.0% (8)

                

Controlled Affiliate Other Investments — Biotechnology — 0.0% (8)

            

HESP LLC (12)(14)

 

Biotechnology

 

Other Investment

     $1,450  $ 

Total Controlled Affiliate Other Investments

      1,450    

Total Controlled Affiliate Portfolio Investment Assets

     $1,450  $ 

Total Portfolio Investment Assets — 186.7% (8)

     $453,837  $458,075 
                 

Short Term Investments — Unrestricted Investments — 3.2% (8)

                

US Bank Money Market Deposit Account

     $7,868  $7,868 

Total Short Term Investments — Unrestricted Investments

     $7,868  $7,868 
                 

Short Term Investments — Restricted Investments — 0.6% (8)

                

US Bank Money Market Deposit Account

     $1,359  $1,359 

Total Short Term Investments — Restricted Investments

     $1,359  $1,359