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Name and Address of
Portfolio Company
(1)
|
|
Sector
|
|
Type of
Investment
(3)
(4)
(7)
|
|
Principal
Amount
|
|
Cost of
Investment
(6)
|
|
Fair
Value
|
Debt Investments Technology
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Avalanche Technology, Inc.
(2)
48371 Fremont Blvd., Suite 101
Fremont, CA 94538
|
|
|
Semiconductors
|
|
|
|
Term Loan (10.00% cash, 2.00% ETP, Due 7/1/16
|
)
|
|
|
4,000
|
|
|
|
3,866
|
|
|
|
3,866
|
|
Luxtera, Inc.
(2)
2320 Camino Vida Roble
Carlsbad, CA 92011
|
|
|
Semiconductors
|
|
|
|
Term Loan (10.25% cash, 8.00% ETP, Due 12/1/15
|
)
|
|
|
3,333
|
|
|
|
3,290
|
|
|
|
3,290
|
|
|
|
|
|
|
|
Term Loan (10.25% cash, 8.00% ETP, Due 3/1/16
|
)
|
|
|
1,667
|
|
|
|
1,642
|
|
|
|
1,642
|
|
Newport Media, Inc.
(2)
1 Spectrum Point Drive, Suite 225
Lake Forest, CA 92630
|
|
|
Semiconductors
|
|
|
|
Term Loan (11.00% cash, 2.14% ETP, Due 1/1/16
|
)
|
|
|
3,500
|
|
|
|
3,445
|
|
|
|
3,445
|
|
|
|
|
|
|
|
Term Loan (11.00% cash, 2.14% ETP, Due 1/1/16
|
)
|
|
|
3,500
|
|
|
|
3,445
|
|
|
|
3,445
|
|
Xtera Communications, Inc.
(2)
500 W. Bethany Drive, Suite 100
Allen, TX 75013
|
|
|
Semiconductors
|
|
|
|
Term Loan (11.50% cash, Due 12/1/14
|
)
|
|
|
8,222
|
|
|
|
8,136
|
|
|
|
8,136
|
|
|
|
|
|
|
|
Term Loan (11.50% cash, Due 7/1/15
|
)
|
|
|
2,000
|
|
|
|
1,972
|
|
|
|
1,972
|
|
Grab Networks, Inc.
(2)
21000 Atlantic Boulevard
Dulles, VA 20166
|
|
|
Internet and Media
|
|
|
|
Term Loan (12.00% cash, Due 1/1/16
|
)
|
|
|
2,500
|
|
|
|
2,387
|
|
|
|
2,387
|
|
Optaros, Inc.
(2)
10 Milk Street
Boston, MA 02108
|
|
|
Internet and Media
|
|
|
|
Term Loan (11.95% cash, 3.00% ETP, Due 10/1/15
|
)
|
|
|
2,000
|
|
|
|
1,976
|
|
|
|
1,976
|
|
|
|
|
|
|
|
Term Loan (11.95% cash, 3.00% ETP, Due 3/1/16
|
)
|
|
|
500
|
|
|
|
495
|
|
|
|
495
|
|
SimpleTuition, Inc.
(2)
268 Summer Street, Suite 502
Boston, MA 02210
|
|
|
Internet and Media
|
|
|
|
Term Loan (11.75% cash, Due 3/1/16
|
)
|
|
|
5,000
|
|
|
|
4,905
|
|
|
|
4,905
|
|
Construction Software
Technologies, Inc.
(2)
4500 Lake Forest Drive, Suite 502
Cincinnati, OH 45202
|
|
|
Software
|
|
|
|
Term Loan (11.75% cash, 5.00% ETP, Due 10/1/16
|
)
|
|
|
4,200
|
|
|
|
4,156
|
|
|
|
4,156
|
|
|
|
|
|
|
|
Term Loan (11.75% cash, 5.00% ETP, Due 10/1/16
|
)
|
|
|
4,200
|
|
|
|
4,156
|
|
|
|
4,156
|
|
Courion Corporation
(2)
1900 West Park Drive, 1st Floor
Westborough, MA 01581
|
|
|
Software
|
|
|
|
Term Loan (11.45% cash, Due 10/1/15
|
)
|
|
|
3,500
|
|
|
|
3,481
|
|
|
|
3,481
|
|
|
|
|
|
|
|
Term Loan (11.45% cash, Due 10/1/15
|
)
|
|
|
3,500
|
|
|
|
3,481
|
|
|
|
3,481
|
|
Fiberlink Communications Corporation
(2)
1787 Sentry Parkway West Building 18th Suite 200
Blue Bell, PA 19422
|
|
|
Software
|
|
|
|
Term Loan (11.50% cash, 5.00% ETP, Due 7/1/16
|
)
|
|
|
5,000
|
|
|
|
4,920
|
|
|
|
4,920
|
|
Kontera Technologies, Inc.
(2)
1940 Bryant Street
San Francisco, CA 94103
|
|
|
Software
|
|
|
|
Term Loan (11.50% cash, 3.00% ETP, Due 10/1/16
|
)
|
|
|
4,000
|
|
|
|
3,917
|
|
|
|
3,917
|
|
|
|
|
|
|
|
Term Loan (11.50% cash, 3.00% ETP, Due 10/1/16
|
)
|
|
|
4,000
|
|
|
|
3,917
|
|
|
|
3,917
|
|
Netuitive, Inc.
(2)
12700 Sunrise Valley Drive
Reston, VA 20191
|
|
|
Software
|
|
|
|
Term Loan (11.75% cash, Due 1/1/16
|
)
|
|
|
3,000
|
|
|
|
2,939
|
|
|
|
2,939
|
|
Seapass Solutions, Inc.
(2)
90 Park Avenue, Suite 1720
New York, NY 10016
|
|
|
Software
|
|
|
|
Term Loan (11.65% cash, 4.00% ETP, Due 5/1/16
|
)
|
|
|
5,000
|
|
|
|
4,933
|
|
|
|
4,933
|
|
|
|
|
|
|
|
Term Loan (11.65% cash, 4.00% ETP, Due 5/1/16
|
)
|
|
|
5,000
|
|
|
|
4,933
|
|
|
|
4,933
|
|
StreamBase Systems, Inc.
(2)
181 Spring Street
Lexington, MA 02421
|
|
|
Software
|
|
|
|
Term Loan (12.51% cash, Due 11/1/13
|
)
|
|
|
1,360
|
|
|
|
1,353
|
|
|
|
1,353
|
|
|
|
|
|
|
|
Term Loan (12.50% cash, Due 6/1/14
|
)
|
|
|
558
|
|
|
|
553
|
|
|
|
553
|
|
|
|
|
|
|
|
Term Loan (12.50% cash, Due 12/1/15
|
)
|
|
|
1,500
|
|
|
|
1,477
|
|
|
|
1,477
|
|
Sys-Tech Solutions, Inc.
(2)
2540 U.S. Highway 130, Suite 128
Cranbury, NJ 08512
|
|
|
Software
|
|
|
|
Term Loan (11.65% cash, Due 6/1/16
|
)
|
|
|
7,500
|
|
|
|
7,193
|
|
|
|
7,193
|
|
Vidsys, Inc.
(2)
8219 Leesburg Pike, Ste. 250
Vienna, VA 22182
|
|
|
Software
|
|
|
|
Term Loan (11.00% cash, 5.00% ETP, Due 6/1/16
|
)
|
|
|
3,000
|
|
|
|
2,948
|
|
|
|
2,948
|
|
Aquion Energy, Inc.
(2)
32 39th Street
Pittsburph, PA 15201
|
|
|
Power Management
|
|
|
|
Term Loan (10.25% cash, 4.00% ETP, Due 3/1/16
|
)
|
|
|
3,333
|
|
|
|
3,312
|
|
|
|
3,312
|
|
|
|
|
|
|
|
Term Loan (10.25% cash, 4.00% ETP, Due 3/1/16
|
)
|
|
|
3,333
|
|
|
|
3,312
|
|
|
|
3,312
|
|
|
|
|
|
|
|
Term Loan (10.25% cash, 4.00% ETP, Due 6/1/16
|
)
|
|
|
3,333
|
|
|
|
3,309
|
|
|
|
3,309
|
|
Xtreme Power, Inc.
(2)
1120 Goforth Road
Kyle, TX 78640
|
|
|
Power Management
|
|
|
|
Term Loan (10.75% cash, 3.50% ETP, Due 5/1/16
|
)
|
|
|
6,000
|
|
|
|
5,859
|
|
|
|
5,859
|
|
Total Debt Investments Technology
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
105,708
|
|
|
|
105,708
|
|
Debt Investments Cleantech
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Renmatix, Inc.
(2)
660 Allendale Road
King of Prussia, PA 19406
|
|
|
Alternative Energy
|
|
|
|
Term Loan (10.25% cash, 3.00% ETP, Due 2/1/16
|
)
|
|
|
2,500
|
|
|
|
2,402
|
|
|
|
2,402
|
|
|
|
|
|
|
|
Term Loan (10.25% cash, 3.00% ETP, Due 2/1/16
|
)
|
|
|
2,500
|
|
|
|
2,473
|
|
|
|
2,473
|
|
Semprius, Inc.
(2)
4915 Prospectus Drive, Suite C
Durham, NC 27713
|
|
|
Alternative Energy
|
|
|
|
Term Loan (10.25% cash, 2.50% ETP, Due 6/1/16
|
)
|
|
|
3,750
|
|
|
|
3,712
|
|
|
|
3,712
|
|