Series A-1 Convertible Preferred Units

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 2022-12-31 2022-03-31 N 103012792 1258233 101754559 2712065 0 0 0 0 0 0 0 0 0 3186 0 0 4605735 N AgBiome, LLC N/A Series A-1 Convertible Preferred Units N/A 2000000 OU Number of units USD 9705603 9.538248797284 Long EP CORP US Y 3 N N N AgBiome, LLC N/A Series A-2 Convertible Preferred Units N/A 417392 OU Number of units USD 2026683 1.991736802672 Long EP CORP US Y 3 N N N AgBiome, LLC N/A Series B Convertible Preferred Units N/A 160526 OU Number of units USD 791167 0.77752486746 Long EP CORP US Y 3 N N N Alta Equipment Group, Inc. N/A Common Stock 02128L106 448416 NS USD 5842860 5.742111269923 Long EC CORP US N 2 N N N Amgen, Inc. 62QBXGPJ34PQ72Z12S66 Rights to Milestone Payments from Acquisition of BioVex Group, Inc. N/A 548998 PA USD 369517 0.363145399706 Long CORP US Y 3 N N N Arena Group Holdings, Inc. N/A Common Stock 040044109 771547 NS USD 8355854 8.211773587461 Long EC CORP US N 1 N N N Armstrong Flooring, Inc. 549300GBU3OBQ2CBLJ59 Common Stock 04238R106 90383 NS USD 129248 0.127019370208 Long EC CORP US N 1 N N N AutoTech Ventures Management I, LLC N/A LLC Interests N/A 0 OU Number of Interests USD 225000 0.221120313636 Long CORP US Y 3 N N N comScore, Inc. N/A Common Stock 20564W105 1950510 NS USD 5675984 5.578112721219 Long EC CORP US N 1 N N N D-Wave Systems, Inc. N/A Class A Convertible Preferred Stock N/A 1025045.6 NS USD 6083836 5.978932108584 Long EP CORP CA Y 3 N N N EchoPixel, Inc. N/A Series A-2 Convertible Preferred Stock N/A 1471577 NS USD 223330 0.21947910953 Long EP CORP US Y 3 N N N EchoPixel, Inc. N/A Series Seed Convertible Preferred Stock N/A 4194630 NS USD 484065 0.475718242757 Long EP CORP US Y 3 N N N EchoPixel, Inc. N/A Series Seed-2 Convertible Preferred Stock N/A 1476668 NS USD 173227 0.17024003809 Long EP CORP US Y 3 N N N Eli Lilly and Company N/A Rights to Milestone Payments from Acquisition of Petra Pharma Corporation N/A 6320438 PA USD 12308806 12.096564636479 Long CORP US Y 3 N N N Enzo Biochem, Inc. 5299001N23WBO4XQ2P60 Common Stock 294100102 154459 NS USD 447931 0.440207303144 Long EC CORP US N 1 N N N Essential Health Solutions, Inc. N/A Common Stock N/A 200000 NS USD 0 0 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 0 0 Long EP CORP US Y 3 N N N Essential Health Solutions, Inc. N/A Unsecured Convertible Bridge Note, 8%, (acquired 12/19/18, matured 12/19/21) N/A 50000 PA USD 0 0 Long DBT CORP US Y 3 2021-12-19 Fixed 8 Y Y N N Y 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 Fixed 0 N N N N N N/A N/A N/A XXXX N N N HALE.life Corporation N/A Common Stock N/A 1000000 NS USD 8983 0.008828105677 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 232243 0.228238422221 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 286037 0.281104849562 Long EP CORP US Y 3 N N N Intevac, Inc. N/A Common Stock 461148108 201352 NS USD 1077233 1.058658216974 Long EC CORP US N 1 N N N Lantronix, Inc. N/A Common Stock 516548203 268859 NS USD 1795978 1.765009860639 Long EC CORP US N 1 N N N LS180 Acquisition Holdings, LLC N/A Membership Units N/A 1300000 NS USD 3250 0.003193960085 Long EC CORP US Y 3 N N N LS180 Acquisition Holdings, LLC N/A Unsecured Promissory Note, 0% (acquired 1/27/2022, maturing 12/31/22) N/A 50000 PA USD 16250 0.015969800429 Long DBT CORP US Y 3 2022-12-31 Fixed 0 N N N N N N LS180 Acquisition Holdings, LLC N/A Unsecured Promissory Note, 0% (acquired 5/10/2021, maturing 12/31/22) N/A 50000 PA USD 16250 0.015969800429 Long DBT CORP US Y 3 2022-12-31 Fixed 0 N N N N N N LS180 Acquisition Holdings, LLC N/A Unsecured Promissory Note, 0% (acquired 9/7/21, maturing 12/31/22) N/A 50000 PA USD 16250 0.015969800429 Long DBT CORP US Y 3 2022-12-31 Fixed 0 N N N N N N Magnolia Neurosciences Corporation N/A Series A Convertible Preferred Stock N/A 862872 NS USD 151002 0.148398264887 Long EP CORP US Y 3 N N N Magnolia Neurosciences Corporation N/A Warrants for the Purchase of Common Stock expiring 8/3/28 N/A 138059 OU Number of contracts/warrants USD 0 0 Long DE CORP US Y 3 Magnolia Neurosciences Corporation N/A Call Purchased MAGNOLIA NEUROSCIENCES CORP MAGNOLIA NEUROSCIENCES CORP COM 138059 0.0003 USD 2028-08-03 XXXX -54666 N N N Nanosys, Inc. N/A Series A-1 Convertible Preferred Stock N/A 496572 NS USD 261607 0.257096097286 Long EP CORP US Y 3 N N N Nanosys, Inc. N/A Series A-2 Convertible Preferred Stock N/A 2232001 NS USD 1070150 1.051697349501 Long EP CORP US Y 3 N N N NanoTerra, Inc. N/A Warrants for Series A-3 Preferred Stock expiring on 11/15/22 N/A 47508 OU Number of contracts/warrants USD 0 0 Long DE CORP US Y 3 NanoTerra, Inc. N/A Call Purchased NANOTERRA, INC. NANOTERRA, INC. SERIES A-3 PREFERRED 47508 2.1049 USD 2022-11-15 XXXX 0 N N N OpGen, Inc. 549300ZOCQGHZ50BYX61 Warrants for the Purchase of Common Stock expiring 2/17/25 68373L133 62 OU Number of contracts/warrants USD 0 0 Long DE CORP US N 3 OpGen, Inc. N/A Call Purchased OPGEN INC. OPGEN INC. COM 62 3300 USD 2025-02-17 XXXX 0 N N N Parabellum Acquisition Holdings, LLC N/A Membership Units N/A 693151 NS USD 6125598 6.019974004309 Long EC CORP US Y 3 N N N Phylagen, Inc. N/A Series A Convertible Preferred Stock N/A 548031 NS USD 776992 0.763594287701 Long EP CORP US Y 3 N N N Potbelly Corporation 54930027NUULUR2P5W11 Common Stock 73754Y100 1518671 NS USD 10175096 9.999646305773 Long EC CORP US N 1 N N N Potbelly Corporation 54930027NUULUR2P5W11 Warrants for the Purchase of Common Stock expiring 2/12/26 N/A 80605 OU Number of contracts/warrants USD 303145 0.297917855454 Long DE CORP US N 3 Potbelly Corporation N/A Call Purchased POTBELLY CORP POTBELLY CORP COM 80605 5.45 USD 2026-02-12 XXXX 96581 N N N Quantum Corporation 5493007210175UIK7S88 Common Stock 747906501 1889666 NS USD 4289542 4.215577210648 Long EC CORP US N 1 N N N Quantum Corporation N/A Non-Transferrable Rights to Purchase Common Stock @ 2.25/Share Expiring 4/18/22 N/A 1889666 OU Number of Rights USD 15970 0.015694628483 Long DE CORP US Y 2 Quantum Corporation N/A QUANTUM CORP QUANTUM CORP COM 2022-04-18 XXXX 15970 N N N Ravenna Pharmaceuticals, Inc. N/A Common Stock N/A 2785274 NS USD 16414 0.016130972569 Long EC CORP US Y 3 N N N RF Industries, Ltd. 529900MVE73NJ5FHP926 Common Stock 749552105 213480 NS USD 1539191 1.512650651849 Long EC CORP US N 1 N N N Seaport Diagnostics, Inc. N/A Series 1 Convertible Preferred Stock N/A 1195315 NS USD 0 0 Long EP CORP US Y 3 N N N Seaport Diagnostics, Inc. N/A Series A Convertible Preferred Stock N/A 1364666 NS USD 0 0 Long EP CORP US Y 3 N N N Seaport Diagnostics, Inc. N/A Series A-2 Convertible Preferred Stock N/A 176386 NS USD 0 0 Long EP CORP US Y 3 N N N Synalloy Corporation 549300U2S5125001TS43 Common Stock 871565107 179014 NS USD 2873175 2.823632698363 Long EC CORP US N 1 N N N Synchronoss Technologies, Inc. 5493007Z5J8Z2TA76376 Common Stock 87157B103 4695676 NS USD 8123519 7.9834447516 Long EC CORP US N 1 N N N TARA Biosystems, Inc. N/A Common Stock N/A 2000000 NS USD 560756 0.55108685597 Long EC CORP US Y 3 N N N TARA Biosystems, Inc. N/A Series A Convertible Preferred Stock N/A 6878572 NS USD 2445201 2.40303827566 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 74145 0.07286651402 Long EP CORP US Y 3 N N N 2022-05-11 180 DEGREE CAPITAL CORP. /NY/ /s/ Daniel B. Wolfe Daniel B. Wolfe President and Chief Financial Officer XXXX