814-01064
0001578620
Alcentra Capital Corp
200 PARK AVENUE
7TH FLOOR
NEW YORK
NY
10166
08/12/15
8-K
814-00161
0000941661
ALLIED CAPITAL FINANCIAL CORP
1919 PENNSYLVANIA AVE., NW
WASHINGTON
DC
20006
03/28/03
40-17F2
814-01025
0001581934
American Capital Senior Floating, Ltd.
2 BETHESDA METRO CENTER
14TH FLOOR
BETHESDA
MD
20814
08/14/15
N-2/A
814-00149
0000817473
AMERICAN CAPITAL, LTD
2 BETHESDA METRO CENTER
14TH FL
BETHESDA
MD
20814
09/11/15
8-K
814-00193
0001064015
AMERITRANS CAPITAL CORP
50 JERICHO QUADRANGLE
SUITE 109
JERICHO
NY
11753
08/20/13
EFFECT
814-00646
0001278752
Apollo Investment Corp
1301 AVENUE OF THE AMERICAS
38th Floor
NEW YORK
NY
10019
42247
N-2/A
814-00663
0001287750
ARES CAPITAL CORP
245 PARK AVENUE, 44TH FLOOR
NEW YORK
NY
10167
09/01/15
8-K
814-01154
0001633858
Audax Credit BDC Inc.
101 HUNTINGTON AVENUE
BOSTON
MA
02199
09/16/15
40-17G/A
814-00778
0001444706
BDCA VENTURE, INC.
5251 DTC PARKWAY, SUITE 1100
Greenwood Village
CO
80111
09/14/15
40-17G
814-00952
0001524542
Benefit Street Partners BDC, Inc.
9 WEST 57TH STREET
47TH FLOOR
NEW YORK
NY
10019
APP ORDR
814-00223
0001117427
BERTHEL GROWTH TRUST II
PO BOX 609
MARION
IA
52302-0609
09/22/00
N-2/A
814-00623
0001047557
BERTHEL SBIC LLC
701 TAMA ST
BLDG B
MARION
IA
52302
05/05/09
NO ACT
814-00712
0001326003
BlackRock Capital Investment Corp
40 EAST 52ND STREET
NEW YORK
NY
10022
08/13/15
8-K
814-00821
0001490927
Business Development Corp of America
405 PARK AVENUE, 14TH FLOOR
NEW YORK
NY
10022
09/22/15
SC TO-I/A
814-01083
0001606657
BUSINESS DEVELOPMENT Corp OF AMERICA II
405 PARK AVENUE
3RD FLOOR
NEW YORK
NY
10022
09/18/15
8-K
814-00061
0000017313
CAPITAL SOUTHWEST CORP
5400 LYNDON B. JOHNSON FREEWAY
SUITE 1300
DALLAS
TX
75240
09/22/15
4
814-01022
0001571329
Capitala Finance Corp.
4201 CONGRESS STREET, SUITE 360
CHARLOTTE
NC
28209
09/21/15
40-17G
814-01021
0001221483
CAPITALSOUTH PARTNERS FUND II LP
4201 CONGRESS STREET, SUITE 360
CHARLOTTE
NC
28209
09/10/15
40-APP
814-01023
0001462441
CapitalSouth Partners SBIC Fund III, L.P.
4201 CONGRESS STREET, SUITE 360
CHARLOTTE
NC
28209
09/10/15
40-APP
814-01117
0001618697
Carey Credit Income Fund
50 ROCKEFELLER PLAZA
NEW YORK
NY
10020
08/14/15
10-Q
814-01091
0001618696
Carey Credit Income Fund - I
50 ROCKEFELLER PLAZA
NEW YORK
NY
10020
09/03/15
497
814-01094
0001618694
Carey Credit Income Fund 2016 T
50 ROCKEFELLER PLAZA
NEW YORK
NY
10020
09/03/15
497
814-00995
0001544206
Carlyle GMS Finance, Inc.
520 MADISON AVENUE
41ST FLOOR
NEW YORK
NY
10022
08/12/15
10-Q
814-01125
0001595415
Champion Investments, Inc.
5850 SAN FELIPE STREET
SUITE 111
HOUSTON
TX
77057-3012
05/19/15
N-2/A
814-00941
0001534254
CION Investment Corp
3 PARK AVENUE
36TH FLOOR
NEW YORK
NY
10016
09/18/15
497
814-01054
0001578348
CM Finance Inc
601 LEXINGTON AVENUE
26TH FLOOR SUITE C
NEW YORK
NY
10022
09/18/15
DEF 14A
814-01108
0001617896
Corporate Capital Trust II
450 SO. ORANGE AVENUE
ORLANDO
FL
32801
08/31/15
N-2/A
814-01106
0001617893
Corporate Capital Trust II - A
450 SO. ORANGE AVENUE
ORLANDO
FL
32801
11/26/14
N-2/A
814-00827
0001494538
Corporate Capital Trust, Inc.
450 S. ORANGE AVENUE
ORLANDO
FL
32801
09/18/15
SC TO-I/A
814-01102
0001619239
Credit Suisse Park View BDC, Inc.
ONE MADISON AVENUE
NEW YORK
NY
10010
09/09/15
40-APP/A
814-01132
0001633336
Crescent Capital BDC, Inc.
11100 SANTA MONICA BLVD.
SUITE 2000
LOS ANGELES
CA
90025
09/22/15
8-K
814-00152
0000926242
EDVEST ENTREPRENEURIAL GROWTH FUND INC
3800 W 80TH ST
STE 1400
MINNEAPOLIS
MN
55431
06/02/95
POS AMI
814-00177
0000723108
ELK ASSOCIATES FUNDING CORP
747 THIRD AVE
4TH FLOOR
NEW YORK
NY
10017
11/30/99
40-6C/A
814-00094
0000869682
EQUUS INVESTMENTS INCORPORATED
2929 ALLEN PKWY STE 2500
HOUSTON TEXAS
TX
77019
05/23/01
424B
814-00098
0000878932
EQUUS TOTAL RETURN, INC.
EIGHT GREENWAY PLAZA
SUITE 930
HOUSTON
TX
77046
08/13/15
8-K
814-00655
0001286685
EVERCORE INVESTMENT CORP
100 WILSHIRE BLVD
SUITE 1230
SANTA MONICA
CA
90401
08/23/04
RW
814-00861
0001513363
FIDUS INVESTMENT Corp
1603 ORRINGTON AVENUE
SUITE 820
EVANSTON
IL
60201
08/06/15
497
814-00862
0001404641
FIDUS MEZZANINE CAPITAL LP
190 S. LASALLE STREET
SUITE 2140
CHICAGO
IL
60603
07/13/15
40-17G
814-00755
0001414932
Fifth Street Finance Corp.
777 WEST PUTNAM AVENUE
3RD FLOOR
GREENWICH
CT
06830
08/21/15
8-K
814-01013
0001577791
Fifth Street Senior Floating Rate Corp.
777 WEST PUTNAM AVENUE
3RD FLOOR
GREENWICH
CT
06830
08/10/15
10-Q
814-00830
0001495584
Firsthand Technology Value Fund, Inc.
150 ALMADEN BLVD.
SUITE 1250
SAN JOSE
CA
95113
09/14/15
8-K
814-00949
0001544789
FoundationsAmerica Strategic Income Corp
6200 THE CORNERS PARKWAY
SUITE 250
NORCROSS
GA
30092
01/10/13
RW
814-01137
0001617572
Freedom Capital Corp/MD
2000 14 STREET NORTH, SUITE 300
ARLINGTON
VA
22201
09/21/15
POS EX
814-00189
0000818897
FRESHSTART VENTURE CAPITAL CORP
24-25 JACKSON AVENUE
LONG ISLAND CITY
NY
11101
06/17/02
40-17F2
814-00841
0001501729
FS Energy & Power Fund
201 ROUSE BOULEVARD
PHILADELPHIA
PA
19112
09/22/15
497
814-01066
0001599750
FS Energy & Power Fund II
201 ROUSE BOULEVARD
PHILADELPHIA
PA
19112
08/14/15
10-Q
814-00757
0001422183
FS Investment CORP
201 ROUSE BOULEVARD
PHILADELPHIA
PA
19112
09/22/15
8-K
814-00926
0001525759
FS Investment Corp II
201 ROUSE BOULEVARD
PHILADELPHIA
PA
19112
08/25/15
SC TO-I
814-01047
0001579412
FS Investment Corp III
201 ROUSE BOULEVARD
PHILADELPHIA
PA
19112
09/14/15
8-K
814-01151
0001637417
FS Investment Corp IV
201 ROUSE BOULEVARD
PHILADELPHIA
PA
19112
09/22/15
N-2/A
814-00809
0001490013
Full Circle Capital Corp
102 GREENWICH AVENUE
2ND FLOOR
GREENWICH
CT
06830
09/14/15
10-K
814-00878
0001509892
Garrison Capital Inc.
1290 AVENUE OF THE AMERICAS
SUITE 914
NEW YORK
NY
10014
09/18/15
8-K
814-00237
0001143513
GLADSTONE CAPITAL CORP
1521 WESTBRANCH DRIVE
SUITE 100
MCLEAN
VA
22102
08/21/15
497
814-00704
0001321741
GLADSTONE INVESTMENT CORPORATION\DE
1521 WESTBRANCH DRIVE
SUITE 100
MCLEAN
VA
22102
08/11/15
8-K
814-00816
0001490310
GLADSTONE LENDING Corp
1521 WESTBRANCH DRIVE
SUITE 100
MCLEAN
VA
22102
10/17/12
RW
814-00998
0001572694
Goldman Sachs BDC, Inc.
200 WEST STREET
NEW YORK
NY
10282
08/06/15
8-K
814-00794
0001476765
Golub Capital BDC, Inc.
150 SOUTH WACKER DRIVE
SUITE 800
CHICAGO
IL
60606
08/28/15
POS EX
814-01128
0001627515
Golub Capital Investment Corp
150 SOUTH WACKER DRIVE, SUITE 800
CHICAGO
IL
60606
07/14/15
D/A
814-01080
0001609336
Griffin-Benefit Street Partners BDC Corp.
GRIFFIN CAPITAL PLAZA
1520 GRAND AVENUE
EL SEGUNDO
CA
90245
08/19/15
497
814-00852
0001509470
GSV Capital Corp.
2925 WOODSIDE ROAD
WOODSIDE
CA
94062
08/28/15
40-17G
814-00176
0000893739
HARRIS & HARRIS GROUP INC /NY/
1450 BROADWAY
FLOOR 24
NEW YORK
NY
10018
08/10/15
8-K
814-00985
0001559909
Harvest Capital Credit Corp
767 THIRD AVENUE
25TH FLOOR
New York
NY
10017
08/27/15
EFFECT
814-00911
0001521962
Hercules Energy Technology & Resource Management, Inc.
400 HAMILTON AVENUE
SUITE 310
PALO ALTO
CA
94301
04/22/14
40-APP
814-00702
0001280784
HERCULES TECHNOLOGY GROWTH CAPITAL INC
400 HAMILTON AVE
SUITE 310
PALO ALTO
CA
94301
09/17/15
8-K
814-01164
0001649971
Hill Capital Corp
80 4TH STREET WEST
SAINT PAUL
MN
55102
08/19/15
1-E
814-00939
0001535778
HMS INCOME FUND, INC.
2800 POST OAK BOULEVARD, SUITE 5000
HOUSTON
TX
77056-6118
09/14/15
497AD
814-00802
0001487428
Horizon Technology Finance Corp
312 FARMINGTON AVENUE
FARMINGTON
CT
06032
08/31/15
EFFECT
814-01113
0001598893
Integrity Capital Income Fund, Inc.
13540 MEADOWGRASS DRIVE, STE. 100
COLORADO SPRINGS
CO
80921
09/18/15
8-K
814-00963
0001095133
ISA INTERNATIONALE INC
2560 RICE STREET
ST. PAUL
MN
55113
09/02/15
10-Q
814-00735
0001372807
KCAP Financial, Inc.
295 MADISON AVENUE
6TH FLOOR
NEW YORK
NY
10017
08/19/15
8-K
814-00654
0001286738
KKR BDC INC
9 WEST 57TH STREET
NEW YORK
NY
10019
02/16/06
RW
814-00961
0001550913
MacKenzie Realty Capital, Inc.
1640 SCHOOL STREET
MORAGA
CA
94556
09/22/15
8-K/A
814-00746
0001396440
Main Street Capital CORP
1300 POST OAK BOULEVARD
SUITE 800
HOUSTON
TX
77056
08/07/15
10-Q
814-01110
0001622495
mBloom Business Development Co LLC
77 HO'OKELE STREET, SUITE 101
KAHULUI
HI
96732
12/30/14
N-2/A
814-00188
0001000209
MEDALLION FINANCIAL CORP
437 MADISON AVE 38 TH FLOOR
NEW YORK
NY
10022
09/16/15
8-K
814-00818
0001490349
Medley Capital Corp
375 PARK AVENUE
SUITE 3304
NEW YORK
NY
10152
08/10/15
10-Q
814-00215
0001115583
MEVC DELTA LIFE SCIENCES FUND I INC
991 FOLSOM STREET SUITE 301
SAN FRANCISCO
CA
94107
07/21/00
N-2/A
814-00213
0001104463
MGI2 INC
9821 KATY FREEWAY
SUITE 500
HOUSTON
TX
77024
04/18/00
CERTAMX
814-00991
0001425355
Mill City Ventures III, Ltd
328 BARRY AVENUE
SUITE 210
WAYZATA
MN
55391
08/17/15
8-K
814-00866
0001512931
MONROE CAPITAL Corp
311 SOUTH WACKER DRIVE
SUITE 6400
CHICAGO
IL
60606
09/01/15
8-K
814-00724
0001133901
Morris Business Development Co
413 AVENUE G, #1
REDONDO BEACH
CA
90277
08/21/14
10-K
814-00201
0001099941
MVC CAPITAL, INC.
RIVERVIEW AT PURCHASE
287 BOWMAN AVENUE, 3RD FLOOR
PURCHASE
NY
10577
09/09/15
NT 10-Q
814-00832
0001496099
New Mountain Finance Corp
787 SEVENTH AVENUE, 48TH FLOOR
NEW YORK
NY
10019
09/22/15
POS EX
814-00982
0001565126
NEW SOURCE MEDIA CAPITAL, INC.
9200 SUNSET BLVD.
SUITE 600
LOS ANGELES
CA
90069
04/24/13
DRS/A
814-01035
0001587987
Newtek Business Services Corp.
212 W. 35TH STREET 2ND FLOOR
NEW YORK
NY
10001
09/21/15
8-A12B
814-01074
0001588272
NexPoint Capital, Inc.
300 CRESCENT COURT, SUITE 700
DALLAS
TX
75201
09/02/15
8-K
814-01004
0001561528
NF Investment Corp.
520 MADISON AVENUE
41ST FLOOR
NEW YORK
NY
10022
08/12/15
10-Q
814-00890
0001517424
Oaktree Finance, LLC
C/O OAKTREE CAPITAL MANAGEMENT, L.P.
333 SOUTH GRAND AVENUE, 28TH FLOOR
LOS ANGELES
CA
90071
07/19/12
APP WD/A
814-00813
0001487918
OFS Capital Corp
10 SOUTH WACKER DRIVE
SUITE 2500
CHICAGO
IL
60606
08/07/15
10-Q
814-00672
0001297704
OHA Investment Corp
1114 AVENUE OF THE AMERICAS
27TH FLOOR
NEW YORK
NY
10036
09/17/15
8-K
814-01140
0001626899
Parkview Capital Credit, Inc.
10106 MEADOW LAKE LANE
HOUSTON
TX
77042
08/11/15
10-12G/A
814-00891
0001504619
PennantPark Floating Rate Capital Ltd.
590 MADISON AVENUE
15TH FLOOR
NEW YORK
NY
10022
09/02/15
8-K
814-00736
0001383414
PENNANTPARK INVESTMENT CORP
590 MADISON AVENUE
15TH FLOOR
NEW YORK
NY
10022
09/02/15
8-K
814-01038
0001514183
Point Capital, Inc.
285 GRAND AVENUE, BUILDING 5
FLOOR 2
ENGLEWOOD
NJ
07631
08/14/15
10-Q
814-01062
0001600458
Poliwogg Regenerative Medicine Fund, Inc.
733 THIRD AVENUE, 15TH FLOOR
NEW YORK
NY
10017
12/01/14
CERTNAS
814-00657
0001286881
PORTICOES CAPITAL CORP
712 FIFTH AVENUE
NEW YORK
NY
10019
07/22/04
RW
814-00710
0000845385
PRINCETON CAPITAL CORP
ONE RIVERWAY
SUITE 2020
HOUSTON
TX
77056
09/18/15
SC 13D
814-00750
0001410646
Principal Mortgage Fund Inc.
1805 N. CARSON #188
CARSON CITY
NV
89701
10/29/07
40-17G
814-00748
0001396950
Principal Structure Fund, Inc.
11088 MILL PARK DR. #128
MARYLAND HEIGHTS
MO
63043
07/26/07
N-54A
814-01036
0001588188
ProCap Funding, Inc.
228 PARK AVE SOUTH
SUITE
NEW YORK
NY
90767
10/01/13
N-6F
814-00659
0001287032
PROSPECT CAPITAL CORP
10 EAST 40TH STREET 44TH FL
NEW YORK
NY
10016
09/21/15
497
814-00085
0000858793
RALLY VENTURES LTD
2825 SANTA MONICA BLVD #200
SANTA MONICA
CA
90404
08/12/93
8-K
814-00235
0000081955
RAND CAPITAL CORP
2200 RAND BUILDING
BUFFALO
NY
14203
08/04/15
10-Q
814-00955
0001455656
Rand Capital SBIC, Inc.
2200 RAND BUILDING
BUFFALO
NY
14203
03/28/12
N-54A
814-00732
0001377936
SARATOGA INVESTMENT CORP.
535 MADISON AVENUE
NEW YORK
NY
10022
09/17/15
DEFA14A
814-00924
0001523526
Sierra Income Corp
375 PARK AVENUE
SUITE 3304
NEW YORK
NY
10152
09/14/15
497
814-00034
0000731812
SIERRA RESOURCES CORP
629 J STREET
SUITE 202
SACRAMENTO
CA
95814
12/30/96
15
814-01157
0001614173
SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC
825 THIRD AVENUE, FLOOR 10
NEW YORK
NY
10022
07/01/15
N-54A
814-00754
0001418076
Solar Capital Ltd.
500 PARK AVENUE
3RD FLOOR
NEW YORK
NY
10022
08/05/15
8-K
814-00849
0001508171
Solar Senior Capital Ltd.
500 PARK AVENUE
NEW YORK
NY
10022
09/10/15
8-K
814-00897
0001370754
Special Value Continuation Partners, LP
2951 28TH STREET
SUITE 1000
SANTA MONICA
CA
90405
09/16/15
40-17G
814-00971
0001551901
Stellus Capital Investment Corp
4400 POST OAK PARKWAY
SUITE 2200
HOUSTON
TX
77027
08/07/15
10-Q
814-01143
0001641137
SumuFund, Inc.
1275 KINNEAR RD
COLUMBUS
OH
43212
05/04/15
N-2
814-00730
0001376724
Superior Community Capital CORP
89 DELTA AVENUE - SUITE 102
P.O. BOX 309
CLARKSDALE
MS
38614
09/28/06
N-54A
814-00899
0001370755
TCP Capital Corp.
2951 28TH STREET
SUITE 1000
SANTA MONICA
CA
90405
09/16/15
40-17G
814-01069
0001603480
TCW Direct Lending LLC
200 CLARENDON STREET
BOSTON
MA
02116
09/14/15
8-K
814-01136
0001577134
Terra Income Fund 6, Inc.
805 THIRD AVENUE
8TH FLOOR
NEW YORK
NY
10022
09/22/15
497
814-01029
0001581012
THL Credit Secured Floating Rate Debt, Ltd.
100 FEDERAL STREET
31ST FLOOR
BOSTON
MA
02110
09/30/14
RW
814-00789
0001464963
THL Credit, Inc.
100 FEDERAL STREET
31ST FLOOR
BOSTON
MA
02110
09/11/15
40-APP/A
814-00664
0001287243
THL INVESTMENT CAPITAL CORP
C/O THOMAS H LEE PARTNERS LP
100 FEDERAL STREET 35TH FLOOR
BOSTON
MA
02110
10/25/04
RW
814-00638
0001259429
TICC Capital Corp.
8 SOUND SHORE DR
SUITE 255
GREENWICH
CT
06830
09/21/15
DFAN14A
814-00787
0001464791
Trian Capital Corp
280 PARK AVENUE, 41ST FLOOR
NEW YORK
NY
10017
07/22/09
N-2/A
814-00733
0001379785
Triangle Capital CORP
3700 GLENWOOD AVENUE
SUITE 530
RALEIGH
NC
27612
08/05/15
8-K
814-00738
0001190711
TRIANGLE MEZZANINE FUND LLLP
3600 GLENWOOD AVENUE
SUITE 104
RALEIGH
NC
27612
02/27/15
40-17G
814-00661
0001287684
TRIARC DEERFIELD INVESTMENT CORP
TRIARC COMPANIES INC
280 PARK AVE
NEW YORK
NY
10017
11/04/04
RW
814-01044
0001580345
TriplePoint Venture Growth BDC Corp.
2755 SAND HILL ROAD
SUITE 150
MENLO PARK
CA
94025
08/11/15
10-Q
814-00908
0001521945
Triton Pacific Investment Corporation, Inc.
10877 WILSHIRE BLVD., 12TH FLOOR
LOS ANGELES
CA
90024
09/16/15
8-K
814-00221
0001117212
VCVILLAGE COM OPPORTUNITY FUND LLC
325 W 38TH ST
STE 1504
NEW YORK
NY
10018
10/25/00
N-2/A
814-00799
0001482199
Venture Lending & Leasing VI, Inc.
104 LA MESA DRIVE
SUITE 102
PORTOLA VALLEY
CA
94028
08/13/15
10-Q
814-00969
0001557424
Venture Lending & Leasing VII, Inc.
104 LA MESA DRIVE
SUITE 102
PORTOLA VALLEY
CA
94028
08/13/15
10-Q
814-01162
0001642862
Venture Lending & Leasing VIII, Inc.
104 LA MESA DRIVE, SUITE 102
PORTOLA VALLEY
CA
94028
09/10/15
40-17G
814-00932
0001527385
VII Peaks Co-Optivist Income BDC II, Inc.
PINE GROVE FINANCIAL CENTER
4 ORINDA WAY, SUITE 125A
ORINDA
CA
94563
09/04/15
POS 8C
814-00011
0000701571
WESTERN CAPITAL CORP
1750 WEST FRONT STREET
BOISE
ID
83702
09/15/14
D
814-00053
0000821472
WESTFORD TECHNOLOGY VENTURES LP
17 ACADEMY ST 5TH FLOOR
NEWARK
NJ
07102-2905
01/28/04
NO ACT
814-00967
0001552198
WhiteHorse Finance, Inc.
1450 Brickell Avenue, 31st Floor
Miami
FL
33131
08/27/15
EFFECT
814-01060
0001601855
Yorke Capital Corp
222 SOUTH MAIN ST., SUITE 500
SALT LAKE CITY
UT
84101
02/17/15
N-2/A