Secured Convertible Bridge Note, 8% PIK, (acquired 1/20/16, maturing 6/30/20)

NPORT-P false 0000893739 XXXXXXXX 180 DEGREE CAPITAL CORP. /NY/ 811-07074 0000893739 254900RA5P574LPO7H91 7 N. WILLOW STREET SUITE 4B MONTCLAIR 07042 973-746-4500 180 DEGREE CAPITAL CORP. /NY/ N/A 2020-12-31 2020-03-31 N 67784972 1776581 66008391 0 0 0 0 0 0 0 0 0 0 185737 0 0 3599744 N ABSMaterials, Inc. N/A Secured Convertible Bridge Note, 8% PIK, (acquired 1/20/16, maturing 6/30/20) N/A 100000 PA USD 133600 0.202398510213 Long DBT CORP US Y 3 2020-06-30 Fixed 0.08 N N Y N Y N/A N/A N/A XXXX N N N ABSMaterials, Inc. N/A Secured Convertible Bridge Note, 8% PIK, (acquired 3/28/17, maturing 6/30/20) N/A 25000 PA USD 31027 0.047004630062 Long DBT CORP US Y 3 2020-06-30 Fixed 0.08 N N Y N Y N/A N/A N/A XXXX N N N ABSMaterials, Inc. N/A Series A Convertible Preferred Stock N/A 390000 NS USD 11980 0.018149207727 Long EP CORP US Y 3 N N N ABSMaterials, Inc. N/A Series B Convertible Preferred Stock N/A 1037751 NS USD 228217 0.345739377286 Long EP CORP US Y 3 N N N Accelerator IV-New York Corporation N/A Series A Common Stock N/A 833333 NS USD 180776 0.273868211694 Long EC CORP US Y N/A N N N AgBiome, LLC N/A Series A-1 Convertible Preferred Units N/A 2000000 NS USD 10151600 15.379256858419 Long EP CORP US Y 3 N N N AgBiome, LLC N/A Series A-2 Convertible Preferred Units N/A 417392 NS USD 2156461 3.266949803396 Long EP CORP US Y 3 N N N AgBiome, LLC N/A Series B Convertible Preferred Units N/A 160526 NS USD 937982 1.421004187179 Long EP CORP US Y 3 N N N Alta Equipment Group, Inc. N/A Common Stock 02128L106 421053 NS USD 1797896 2.723738562268 Long EC CORP US Y 2 N N N Alta Equipment Group, Inc. N/A Common Stock 02128L106 74507 NS USD 318145 0.481976602035 Long EC CORP US N 1 N N N Alta Equipment Group, Inc. N/A Warrants for the Purchase of Common Stock 02128L114 150000 NC USD 89805 0.136050884803 Long DE CORP US Y 2 Alta Equipment Group, Inc. N/A Call Purchased N/A N/A 150000 11.5 USD 2024-04-08 XXXX -234246 N N N Amgen, Inc. 62QBXGPJ34PQ72Z12S66 Rights to Milestone Payments from Acquisition of BioVex Group, Inc. N/A 548998 PA USD 1757676 2.662806914957 Long DE CORP US Y 3 Amgen, Inc. N/A 2500-12-31 XXXX -16422 N N N AutoTech Ventures Management I, LLC N/A LLC Interests N/A 0 OU Number of Interests USD 125000 0.189369863598 Long CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Secured Convertible Bridge Note, 8% PIK, (acquired 8/25/16, maturing 8/4/21) N/A 1278453 PA USD 241898 0.366465530117 Long DBT CORP US Y 3 2021-08-04 Fixed 0.08 N N N N Y N/A N/A N/A XXXX N N N Black Silicon Holdings, Inc. N/A Series A Convertible Preferred Stock N/A 233499 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series A-1 Convertible Preferred Stock N/A 2966667 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series A-2 Convertible Preferred Stock N/A 4207537 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series B-1 Convertible Preferred Stock N/A 1892836 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series C Convertible Preferred Stock N/A 1674030 NS USD 0 0 Long EP CORP US Y 3 N N N D-Wave Systems, Inc. N/A Series 1 Class B Convertible Preferred Stock N/A 1144869 NS USD 274360 0.415644126214 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 1 Class C Convertible Preferred Stock N/A 450450 NS USD 107947 0.163535269326 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 1 Class D Convertible Preferred Stock N/A 855131 NS USD 204926 0.310454469341 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 1 Class E Convertible Preferred Stock N/A 269280 NS USD 64531 0.097761813342 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 1 Class F Convertible Preferred Stock N/A 258721 NS USD 62001 0.093928967303 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 1 Class H Convertible Preferred Stock N/A 460866 NS USD 110443 0.167316606762 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 2 Class D Convertible Preferred Stock N/A 678264 NS USD 162541 0.246242935992 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 2 Class E Convertible Preferred Stock N/A 513900 NS USD 123153 0.186571734493 Long EP CORP CA Y 3 N N N D-Wave Systems, Inc. N/A Series 2 Class F Convertible Preferred Stock N/A 493747 NS USD 118323 0.179254482964 Long EP CORP CA Y 3 N N N EchoPixel, Inc. N/A Series A-2 Convertible Preferred Stock N/A 1471577 NS USD 262600 0.397828209446 Long EP CORP US Y 3 N N N EchoPixel, Inc. N/A Series Seed Convertible Preferred Stock N/A 4194630 NS USD 534623 0.809931876691 Long EP CORP US Y 3 N N N EchoPixel, Inc. N/A Series Seed-2 Convertible Preferred Stock N/A 1476668 NS USD 192402 0.291481123968 Long EP CORP US Y 3 N N N Emcore Corporation 529900B9OHDEWU534K08 Common Stock 290846203 154038 NS USD 345045 0.522728996681 Long EC CORP US N 1 N N N Essential Health Solutions, Inc. N/A Common Stock N/A 200000 NS USD 140750 0.213230466411 Long EC CORP US Y 3 N N N Essential Health Solutions, Inc. N/A Series A Convertible Preferred Stock N/A 2750000 NS USD 2809899 4.256881522835 Long EP CORP US Y 3 N N N Essential Health Solutions, Inc. N/A Unsecured Convertible Bridge Note, 8%, (acquired 12/19/18, maturing 12/19/21) N/A 50000 PA USD 50000 0.075747945439 Long DBT CORP US Y 3 2021-12-19 Fixed 0.08 N N N N N N/A N/A N/A XXXX N N N Fleet Health Alliance, LLC N/A Unsecured Convertible Bridge Note, 0%, (acquired 4/22/16, no maturity date) N/A 225000 PA USD 0 0 Long DBT CORP US Y 3 2500-12-31 None 0 N N N N N N/A N/A N/A XXXX N N N Franchise Group, Inc. 549300J97LXW3AREY415 Common Stock 35180X105 264706 NS USD 2229783 3.378029620506 Long EC CORP US Y 2 N N N HALE.life Corporation N/A Common Stock N/A 1000000 NS USD 79025 0.119719627766 Long EC CORP US Y 3 N N N HALE.life Corporation N/A Series Seed-1 Convertible Preferred Stock N/A 11000000 NS USD 1077030 1.631656193528 Long EP CORP US Y 3 N N N HALE.life Corporation N/A Series Seed-2 Convertible Preferred Stock N/A 12083132 NS USD 1234162 1.869704716783 Long EP CORP US Y 3 N N N iShares Russell 2000 Call IWM Strike $144 (purchased) N/A iShares Russell 2000 ETF N/A 62500 NC USD 4063 0.006155278046 Long DE CORP US N 2 iShares Russell 2000 ETF N/A Call Purchased iShares Russell 2000 ETF Exchange Traded Fund 62500 144 USD 2020-04-17 XXXX -615001 N N N iShares Russell 2000 Call IWM Strike $152 (written) N/A iShares Russell 2000 ETF N/A 62500 NC USD -4063 -0.006155278046 Short DE CORP US N 2 iShares Russell 2000 ETF N/A Call Written iShares Russell ETF Exchange Traded Fund -62500 152 USD 2020-04-17 XXXX 319688 N N N Iteris, Inc. N/A Common Stock 46564T107 370600 NS USD 1185920 1.796620069106 Long EC CORP US N 1 N N N Lantronix, Inc. N/A Common Stock 516548203 1129402 NS USD 2207981 3.345000486377 Long EC CORP US N 1 N N N Lodo Therapeutics Corporation N/A Secured Convertible Bridge Note, 6% PIK, (acquired 6/27/19, maturing 5/7/21) N/A 474019 PA USD 495759 0.75105451366 Long DBT CORP US Y 3 2021-05-07 Fixed 0.06 N N Y N Y N/A N/A N/A XXXX N N N Lodo Therapeutics Corporation N/A Series A Convertible Preferred Stock N/A 658190 NS USD 761992 1.154386568822 Long EP CORP US Y 3 N N N Magnolia Neurosciences Corporation N/A Series A Convertible Preferred Stock N/A 862872 NS USD 665841 1.008721754784 Long EP CORP US Y 3 N N N Nanosys, Inc. N/A Series C Convertible Preferred Stock N/A 803428 NS USD 375882 0.569445784551 Long EP CORP US Y 3 N N N Nanosys, Inc. N/A Series D Convertible Preferred Stock N/A 1016950 NS USD 800146 1.212188311028 Long EP CORP US Y 3 N N N Nanosys, Inc. N/A Series E Convertible Preferred Stock N/A 433688 NS USD 462327 0.700406407421 Long EP CORP US Y 3 N N N NanoTerra, Inc. N/A Warrants for Common Stock expiring on 2/22/21 N/A 4462 NC USD 0 0 Long DE CORP US Y 3 NanoTerra, Inc. N/A Call Purchased N/A N/A 4462 16.8 USD 2021-02-22 XXXX 0 N N N NanoTerra, Inc. N/A Warrants for Series A-3 Preferred Stock expiring on 11/15/22 N/A 47508 NC USD 0 0 Long DE CORP US Y 3 NanoTerra, Inc. N/A Call Purchased N/A N/A 47508 2.1049 USD 2022-11-15 XXXX 0 N N N OpGen, Inc. 549300ZOCQGHZ50BYX61 Warrants for the Purchase of Common Stock expiring 5/8/20 68373L133 602 NC USD 7318 0.011086469294 Long DE CORP US N 2 OpGen, Inc. N/A Call Purchased N/A N/A 602 3300 USD 2020-05-08 XXXX 3168 N N N OpGen, Inc. 549300ZOCQGHZ50BYX61 Warrants for the Purchase of Common Stock expiring 2/17/25 N/A 62 NC USD 47 0.000071203068 Long DE CORP US N 3 OpGen, Inc. N/A Call Purchased N/A N/A 62 3300 USD 2025-02-17 XXXX 44 N N N ORIG3N, Inc. N/A Series 1 Convertible Preferred Stock N/A 1195315 NS USD 812361 1.230693534099 Long EP CORP US Y 3 N N N ORIG3N, Inc. N/A Series A Convertible Preferred Stock N/A 1364666 NS USD 972879 1.473871708219 Long EP CORP US Y 3 N N N ORIG3N, Inc. N/A Series A-2 Convertible Preferred Stock N/A 176386 NS USD 134284 0.203434742107 Long EP CORP US Y 3 N N N Petra Pharma Corporation N/A Secured Convertible Bridge Note, 7% PIK, (acquired 4/11/19, maturing 6/30/20) N/A 116601 PA USD 93421 0.141528976217 Long DBT CORP US Y 3 2020-06-30 Fixed 0.07 N N Y N Y N/A N/A N/A XXXX N N N Petra Pharma Corporation N/A Secured Convertible Bridge Note, 7% PIK, (acquired 7/18/19, maturing 6/30/20) N/A 143903 PA USD 113267 0.171594850721 Long DBT CORP US Y 3 2020-06-30 Fixed 0.07 N N Y N Y N/A N/A N/A XXXX N N N Petra Pharma Corporation N/A Secured Convertible Bridge Note, 7% PIK, (acquired 8/30/18, maturing 6/30/20) N/A 369748 PA USD 308157 0.466845192454 Long DBT CORP US Y 3 2020-06-30 Fixed 0.07 N N Y N Y N/A N/A N/A XXXX N N N Petra Pharma Corporation N/A Series A Convertible Preferred Stock N/A 1894798 NS USD 1642681 2.488594215241 Long EP CORP US Y 3 N N N Phylagen, Inc. N/A Series A Convertible Preferred Stock N/A 548031 NS USD 374689 0.567638438573 Long EP CORP US Y 3 N N N Potbelly Corporation 54930027NUULUR2P5W11 Common Stock 73754Y100 1420000 NS USD 4387800 6.647336699965 Long EC CORP US N 1 N N N Produced Water Absorbents, Inc. N/A Common Stock N/A 50243350 NS USD 0 0 Long EC CORP US Y 3 N N N Produced Water Absorbents, Inc. N/A Senior Secured Debt, 15% commencing on 4/1/16, matured on 12/31/19 (acquired 4/1/16) N/A 2533766 PA USD 0 0 Long ABS-CBDO CORP US Y 3 2019-12-31 Fixed 0.15 Y N N N N N Produced Water Absorbents, Inc. N/A Warrants for Common Stock expiring upon liquidation event N/A 450000 NC USD 0 0 Long DE CORP US Y 3 Produced Water Absorbents, Inc. N/A Call Purchased N/A N/A 450000 0 USD 2500-12-31 XXXX 0 N N N Quantum Corporation 5493007210175UIK7S88 Common Stock 747906501 1501120 NS USD 4428304 6.708698595607 Long EC CORP US N 1 N N N Synacor, Inc. 549300NABUC7MPI2X462 Common Stock 871561106 1708501 NS USD 1742671 2.64007495653 Long EC CORP US N 1 N N N Synacor, Inc. 549300NABUC7MPI2X462 Restricted Stock Units N/A 12387 NS USD 12635 0.019141505812 Long CORP US Y 2 N N N Synacor, Inc. 549300NABUC7MPI2X462 Stock Options for Common Stock Expiring 2/28/29 N/A 50000 NS USD 28428 0.043067251858 Long CORP US Y 3 N N N Synacor, Inc. 549300NABUC7MPI2X462 Stock Options for Common Stock Expiring 5/16/29 N/A 15000 NS USD 8760 0.01327104004 Long CORP US Y 3 N N N TARA Biosystems, Inc. N/A Common Stock N/A 2000000 NS USD 538304 0.815508440434 Long EC CORP US Y 3 N N N TARA Biosystems, Inc. N/A Series A Convertible Preferred Stock N/A 6878572 NS USD 2437477 3.692677496108 Long EP CORP US Y 3 N N N TARA Biosystems, Inc. N/A Series A-2 Convertible Preferred Stock N/A 208577 NS USD 77974 0.118127405953 Long EP CORP US Y 3 N N N TheMaven, Inc. N/A Series H Convertible Preferred Stock N/A 1320 NS USD 2429008 3.679847309109 Long EP CORP US Y 2 N N N TheMaven, Inc. N/A Series I Convertible Preferred Stock N/A 5000 NS USD 6069548 9.195115814896 Long EP CORP US Y 2 N N N TheMaven, Inc. N/A Series J Convertible Preferred Stock N/A 1000 NS USD 824206 1.248638222373 Long EP CORP US Y 2 N N N Xenio Holdings, Inc. N/A Rights to Payments from the Merger with Xenio Systems, Inc. N/A 0 PA USD 0 0 Long DE CORP US Y 3 Xenio Holdings, Inc. N/A 2500-12-31 XXXX 0 N N N 2020-05-05 180 DEGREE CAPITAL CORP. /NY/ /s/ Daniel B. Wolfe Daniel B. Wolfe President and Chief Financial Officer XXXX