PORTFOLIO
COMPANY
(% OF NET
ASSETS)
AND INDUSTRY

TYPE OF
INVESTMENT

ACQUISITION
DATE

SHARES/PAR
VALUE ($)

COST BASIS

VALUE

UCT COATINGS, INC.
((32.3%))
Advanced Materials

Common Stock ^*(1)(3)(4)

4/18/2011

1,500,000

662,235

143,560

WRIGHTSPEED, INC.

(0.0%)
Automotive

Common Stock ^*(1)(2)(4)

6/7/2019

69,102

7,460,850

0

Preferred Stock ^*(1)(2)(4)

7/20/2020

60,733,693

17,355,887

0

0

INVESTMENT COMPANY
((0.5%))

Fidelity Investments Money Market Treasury Portfolio - Class I 3.55% ⁽⁵⁾⁽⁷⁾

Various

2,116

2,116

2,116

TOTAL INVESTMENTS
(Cost $89,860,375)
— (33.0%)

146,430

OTHER LIABILITIES IN EXCESS OF OTHER ASSETS — 133.0%

(590,487

NET ASSETS — 100.0%

(444,057

PORTFOLIO
COMPANY
(% OF NET
ASSETS)
AND INDUSTRY

TYPE OF
INVESTMENT

MATURITY DATE

INTEREST RATE

ACQUISITION
DATE

SHARES/PAR
VALUE ($)

COST BASIS

VALUE

INTRAOP MEDICAL CORP.

((0.6%))
Medical Devices

Convertible Note ^(1)(2)(4)(6)

15

%

10/11/2019

500,000

$

500,000

$

27

Convertible Note ^(1)(2)(4)(6)

15

%

10/22/2021

1,000,000

1,000,000

55

Convertible Note ^(1)(2)(4)(6)

15

%

10/29/2019

500,000

500,000

28

Convertible Note ^(1)(2)(4)(6)

15

%

10/6/2021

500,000

500,000

27

Convertible Note ^(1)(2)(4)(6)

15

%

11/12/2021

500,000

500,000

27

Convertible Note ^(1)(2)(4)(6)

15

%

11/29/2021

500,000

500,000

27

Convertible Note ^(1)(2)(4)(6)

15

%

12/31/2018

10,961,129

10,961,129

600

Convertible Note ^(1)(2)(4)(6)

15

%

2/27/2020

1,000,000

1,000,000

55

Convertible Note ^(1)(2)(4)(6)

15

%

2/28/2022

200,000

200,000

11

Convertible Note ^(1)(2)(4)(6)

15

%

3/25/2020

500,000

500,000

28

Convertible Note ^(1)(2)(4)(6)

15

%

3/30/2022

150,000

150,000

8

Convertible Note ^(1)(2)(4)(6)

15

%

3/8/2020

400,000

400,000

22

Convertible Note ^(1)(2)(4)(6)

15

%

4/20/2021

1,000,000

1,000,000

55

Convertible Note ^(1)(2)(4)(6)

15

%

4/6/2022

350,000

350,000

19

PORTFOLIO
COMPANY
(% OF NET
ASSETS)
AND INDUSTRY

TYPE OF
INVESTMENT

MATURITY DATE

INTEREST RATE

ACQUISITION
DATE

SHARES/PAR
VALUE ($)

COST BASIS

VALUE

INTRAOP MEDICAL CORP. (continued)

Convertible Note ^(1)(2)(4)(6)

15

%

6/10/2021

500,000

$

500,000

$

28

Convertible Note ^(1)(2)(4)(6)

15

%

6/10/2022

700,000

700,000

38

Convertible Note ^(1)(2)(4)(6)

15

%

7/12/2019

1,300,000

1,300,000

71

Convertible Note ^(1)(2)(4)(6)

15

%

7/16/2021

500,000

500,000

27

Convertible Note ^(1)(2)(4)(6)

15

%

7/31/2020

500,000

500,000

28

Convertible Note ^(1)(2)(4)(6)

15

%

8/28/2020

750,000

750,000

41

Convertible Note ^(1)(2)(4)(6)

15

%

9/22/2021

500,000

500,000

27

Preferred Stock - Series C ^*(1)(2)(4)

7/12/2013

26,856,187

26,299,939

0

Term Note ^(1)(2)(4)(6)

8

%

2/10/2017

2,000,000

2,000,000

110

Term Note ^(1)(2)(4)(6)

8

%

2/28/2014

3,000,000

3,000,000

164

1,523

LYNCEAN TECHNOLOGIES, INC.
(0.0%)
Semiconductor Equipment

Preferred Stock - Series B ^*(1)(4)

7/3/2018

869,792

1,000,000

0

REVASUM, INC.
(0.0%)
Semiconductor Equipment

CDIs ^*(2)(4)

10/3/2022

39,774,889

9,268,218

0

PORTFOLIO
COMPANY
(% OF NET
ASSETS)
AND INDUSTRY

TYPE OF
INVESTMENT

ACQUISITION
DATE

SHARES/PAR
VALUE ($)

COST BASIS

VALUE

UCT COATINGS, INC.
((71.3%))
Advanced Materials

Common Stock ^*(1)(3)(4)

4/18/2011

1,500,000

$

662,235

$

167,642

WRIGHTSPEED, INC.

(0.0%)
Automotive

Common Stock ^*(1)(2)(4)

6/7/2019

69,102

7,460,851

0

Preferred Stock - Series AA ^*(1)(2)(4)

 7/20/2020

60,733,693

17,355,887

0

0

INVESTMENT COMPANY
((23.9%))

Fidelity Investments Money Market Treasury Portfolio - Class I 3.66%⁽⁵⁾⁽⁷⁾

Various

56,271

56,271

56,271

TOTAL INVESTMENTS
(Cost $89,914,530)
— (95.8%)

225,436

OTHER LIABILITIES IN EXCESS OF OTHER ASSETS — 195.8%

(460,564

)

NET ASSETS — 100.0%

$

(235,128

)