# EDGAR Filing Document

**Accession Number:** 0000893739
**File Stem:** 0001398344-23-005012
**Filing Date:** 2023-2
**Character Count:** 15796
**Document Hash:** 622771201ac2617807948ba4444bc33c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-005012.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-005012

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230227

**PERIOD START**: 20221231

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** 180 DEGREE CAPITAL CORP. /NY/
- **CENTRAL INDEX KEY:** 0000893739
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTORS, NEC [6799]
- **IRS NUMBER:** 133119827
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-07074
- **FILM NUMBER:** 23676062

**BUSINESS ADDRESS:**
- **STREET 1:** 7 N. WILLOW STREET
- **STREET 2:** SUITE 4B
- **CITY:** MONTCLAIR
- **STATE:** NJ
- **ZIP:** 07042
- **BUSINESS PHONE:** 973-746-4500

**MAIL ADDRESS:**
- **STREET 1:** 7 N. WILLOW STREET
- **STREET 2:** SUITE 4B
- **CITY:** MONTCLAIR
- **STATE:** NJ
- **ZIP:** 07042

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HARRIS & HARRIS GROUP INC /NY/
- **DATE OF NAME CHANGE:** 19930714

## Form NPORT-P: Monthly Portfolio Investments Report

### NPORT-P: Part A: General Information

**Item A.1. Information about the Registrant.**

- **a. Name of Registrant:** 180 DEGREE CAPITAL CORP. /NY/

- **b. Investment Company Act file number:** 811-07074

- **c. CIK number of Registrant:** 0000893739

- **d. LEI of Registrant:** 254900RA5P574LPO7H91

- **e. Address and telephone number of Registrant.**

  - **Street Address 1:** 7 N. WILLOW STREET

  - **City:** MONTCLAIR

  - **State:** NJ

  - **Foreign country:** US

  - **Zip / Postal Code:** 07042

  - **Telephone number:** 973-746-4500

**Item A.2. Information about the Series.**

- **a. Name of Series:** 180 DEGREE CAPITAL CORP. /NY/

- **c. LEI of Series:** N/A

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2022-12-31

- **b. Date as of which information is reported:** 2022-12-31

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $66952608.00

**Total Liabilities:** $1407459.00

**Net Assets:** $65545149.00

**Assets Attributable to Miscellaneous Securities:** $3291.00

**Delayed Delivery Securities:** $180971.00

**Cash Not Reported:** $655459.00

**Monthly Return Information**

| Class        | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID N/A | -4.17%               | -1.78%               | 2.19%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-2026181.00             | $-14170288.00                              |
| Month 2  | $384678.00               | $458000.00                                 |
| Month 3  | $-181698.00              | $-2271633.00                               |

### Schedule of Portfolio Investments

| Name                                 | Title                                                                  | Identifiers                                   | Payoff Profile   | Asset Category   | Issuer Category   | Country   |   Balance | Units   | Value (USD)   | % of Net Assets   | Maturity Date   | Coupon Type   | Annualized Rate (%)   | Restricted?   |   Fair Value Level | Lending Status   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| AgBiome, LLC                         | Series A-1 Convertible Preferred Units                                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |   2000000 | OU      | $4372191.00   | 6.67%             |  |  |  | Yes           |                  3 | On Loan: No      |
| AgBiome, LLC                         | Series B Convertible Preferred Units                                   | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |    160526 | OU      | $364581.00    | 0.56%             |  |  |  | Yes           |                  3 | On Loan: No      |
| AgBiome, LLC                         | Series A-2 Convertible Preferred Units                                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |    417392 | OU      | $913762.00    | 1.39%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Alta Equipment Group, Inc.           | Common Stock                                                           | CUSIP: 02128L106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    445064 | NS      | $5870394.00   | 8.96%             |  |  |  | No            |                  1 | On Loan: No      |
| Amgen, Inc.                          | Rights to Milestone Payments from Acquisition of BioVex Group, Inc.    | CUSIP: N/A<br>LEI: 62QBXGPJ34PQ72Z12S66       | Long             |  | CORP              | US        |    548998 | PA      | $0.00         | 0.00%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Arena Group Holdings, Inc.           | Common Stock                                                           | CUSIP: 040044109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    767869 | NS      | $8147090.00   | 12.43%            |  |  |  | No            |                  1 | On Loan: No      |
| Ascent Industries Co.                | Common Stock                                                           | CUSIP: 871565107<br>LEI: 549300U2S5125001TS43 | Long             | EC               | CORP              | US        |    278057 | NS      | $2410754.00   | 3.68%             |  |  |  | No            |                  1 | On Loan: No      |
| AutoTech Ventures Management I, LLC  | LLC Interests                                                          | CUSIP: N/A<br>LEI: N/A                        | Long             |  | CORP              | US        |         0 | OU      | $218534.00    | 0.33%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Commercial Vehicle Group, Inc.       | Common Stock                                                           | CUSIP: 202608105<br>LEI: 5493006OG8I91X0K7Q22 | Long             | EC               | CORP              | US        |    553629 | NS      | $3770213.00   | 5.75%             |  |  |  | No            |                  1 | On Loan: No      |
| Comscore, Inc.                       | Common Stock                                                           | CUSIP: 20564W105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |   3909475 | NS      | $4534991.00   | 6.92%             |  |  |  | No            |                  1 | On Loan: No      |
| D-Wave Quantum, Inc.                 | Common Stock                                                           | CUSIP: 26740W109<br>LEI: 5493001U37G4PRD4GW95 | Long             | EC               | CORP              | CA        |    911938 | NS      | $1313191.00   | 2.00%             |  |  |  | No            |                  1 | On Loan: No      |
| EchoPixel, Inc.                      | Series Seed-2 Convertible Preferred Stock                              | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |   1476668 | NS      | $28553.00     | 0.04%             |  |  |  | Yes           |                  3 | On Loan: No      |
| EchoPixel, Inc.                      | Series A-2 Convertible Preferred Stock                                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |   1471577 | NS      | $51340.00     | 0.08%             |  |  |  | Yes           |                  3 | On Loan: No      |
| EchoPixel, Inc.                      | Series Seed Convertible Preferred Stock                                | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |   4194630 | NS      | $78993.00     | 0.12%             |  |  |  | Yes           |                  3 | On Loan: No      |
| HALE.life Corporation                | Series Seed-2 Convertible Preferred Stock                              | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |  12083132 | NS      | $0.00         | 0.00%             |  |  |  | Yes           |                  3 | On Loan: No      |
| HALE.life Corporation                | Common Stock                                                           | CUSIP: N/A<br>LEI: N/A                        | Long             | EC               | CORP              | US        |   1000000 | NS      | $0.00         | 0.00%             |  |  |  | Yes           |                  3 | On Loan: No      |
| HALE.life Corporation                | Series Seed-1 Convertible Preferred Stock                              | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |  11000000 | NS      | $0.00         | 0.00%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Intevac, Inc.                        | Common Stock                                                           | CUSIP: 461148108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |   1100572 | NS      | $7120701.00   | 10.86%            |  |  |  | No            |                  1 | On Loan: No      |
| Jerash Holdings US, Inc.             | Common Stock                                                           | CUSIP: 482738101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    135617 | NS      | $527550.00    | 0.80%             |  |  |  | No            |                  1 | On Loan: No      |
| Lantronix, Inc.                      | Common Stock                                                           | CUSIP: 516548203<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    514132 | NS      | $2221050.00   | 3.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Magnolia Neurosciences Corporation   | Series A Convertible Preferred Stock                                   | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |    862872 | NS      | $121576.00    | 0.19%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Magnolia Neurosciences Corporation   | Warrants for the Purchase of Common Stock expiring 8/3/28              | CUSIP: N/A<br>LEI: N/A                        | Long             | DE               | CORP              | US        |    138059 | OU      | $0.00         | 0.00%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Nanosys, Inc.                        | Series A-1 Convertible Preferred Stock                                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |    496572 | NS      | $110708.00    | 0.17%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Nanosys, Inc.                        | Series A-2 Convertible Preferred Stock                                 | CUSIP: N/A<br>LEI: N/A                        | Long             | EP               | CORP              | US        |   2232001 | NS      | $394221.00    | 0.60%             |  |  |  | Yes           |                  3 | On Loan: No      |
| OpGen, Inc.                          | Warrants for the Purchase of Common Stock expiring 2/17/25             | CUSIP: 68373L133<br>LEI: N/A                  | Long             | DE               | CORP              | US        |        62 | OU      | $0.00         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Parabellum Acquisition Partners, LLC | Membership Units                                                       | CUSIP: N/A<br>LEI: N/A                        | Long             | EC               | CORP              | US        |    693151 | NS      | $2706572.00   | 4.13%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Phylagen, Inc.                       | Series A Convertible Preferred Stock                                   | CUSIP: N/A<br>LEI: 54930027NUULUR2P5W11       | Long             | EP               | CORP              | US        |    548031 | NS      | $0.00         | 0.00%             |  |  |  | Yes           |                  3 | On Loan: No      |
| Potbelly Corporation                 | Warrants for the Purchase of Common Stock expiring 2/12/26             | CUSIP: N/A<br>LEI: 5493007210175UIK7S88       | Long             | DE               | CORP              | US        |     80605 | OU      | $215631.00    | 0.33%             |  |  |  | No            |                  3 | On Loan: No      |
| Potbelly Corporation                 | Common Stock                                                           | CUSIP: 73754Y100<br>LEI: 54930027NUULUR2P5W11 | Long             | EC               | CORP              | US        |   1587769 | NS      | $8843873.00   | 13.49%            |  |  |  | No            |                  1 | On Loan: No      |
| Quantum Corporation                  | Common Stock                                                           | CUSIP: 747906501<br>LEI: N/A                  | Long             | EC               | CORP              | US        |   3102812 | NS      | $3382065.00   | 5.16%             |  |  |  | No            |                  1 | On Loan: No      |
| Ravenna Pharmaceuticals, Inc.        | Common Stock                                                           | CUSIP: N/A<br>LEI: 529900MVE73NJ5FHP926       | Long             | EC               | CORP              | US        |   2785274 | NS      | $16414.00     | 0.03%             |  |  |  | Yes           |                  3 | On Loan: No      |
| RF Industries, Ltd.                  | Common Stock                                                           | CUSIP: 749552105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    336470 | NS      | $1729456.00   | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Synchronoss Technologies, Inc.       | Common Stock                                                           | CUSIP: 87157B103<br>LEI: N/A                  | Long             | EC               | CORP              | US        |   5467081 | NS      | $3379203.00   | 5.16%             |  |  |  | No            |                  1 | On Loan: No      |
| Valo Health LLC                      | Rights to Milestone Payments from Acquisition of TARA Biosystems, Inc. | CUSIP: N/A<br>LEI: N/A                        | Long             |  | CORP              | US        |   2771540 | PA      | $2842814.00   | 4.34%             |  |  |  | Yes           |                  3 | On Loan: No      |

### Signature

**Date Signed:** 2023-02-27

**Name of Applicant:** 180 DEGREE CAPITAL CORP. /NY/

**Signature:** /s/ Daniel B. Wolfe

**Name of Signer:** Daniel B. Wolfe

**Title:** President and Chief Financial Officer