SEC FILINGS CORPORATE GOVERNANCE PRIVACY POLICY TERMS OF USE CONTACT US HOME ABOUT US INVESTMENT PORTFOLIO NEWSROOM INVESTOR LOGIN FORMS FORMS > Quarterly Repurchase Offer The most recent quarterly repurchase offer expired on 6/29/21 > SIC Trustee Certification > SIC Transfer on Death > SIC Account Update > SIC Application for Transfer > SIC Death and Disability Request Form > SIC Advisory Fee

SEC FILINGS CORPORATE GOVERNANCE PRIVACY POLICY TERMS OF USE CONTACT US HOME ABOUT US INVESTMENT PORTFOLIO NEWSROOM INVESTOR LOGIN FORMS DISTRIBUTION HISTORY TAX INFORMATION MANAGEMENT TEAM MANAGEMENT TEAM DEAN CROWE Dean Crowe is Chief Executive Officer, President and a Director of the Company. He is also the President of Medley Management Inc. (NYSE: MDLY). Prior to joining Medley, Mr. Crowe was a Portfolio Manager with UBS O’Connor, the Alternative Investment subsidiary of UBS Asset Management, where he managed corporate credit investments and the O’Connor Credit Arbitrage Fund. Before joining UBS, Mr. Crowe held various positions at Merrill Lynch in New York, where he managed proprietary credit trading. Mr. Crowe began his career with Salomon Brothers in New York, where he traded and invested in privately placed corporate debt. Mr. Crowe received a BBA in Accounting from James Madison University. RICHARD ALLORTO, CPA Richard Allorto is the Chief Financial Officer, Secretary, and Treasurer of the Company. He also serves as Chief Financial Officer of Medley Management Inc. (NYSE: MDLY) Mr. Allorto previously served as Chief Financial Officer, Secretary, and Treasurer of the Company from April 2012 to November 2016. Prior to joining Medley, Mr. Allorto held various positions at GSC Group, Inc., a registered investment advisor, including, most recently as Chief Financial Officer of GSC Investment Corp, a business development company that was externally managed by GSC Group. Mr. Allorto started his career at Arthur Andersen in their audit and assurance practice. Mr. Allorto is a licensed CPA and received a BS in Accounting from Seton Hall University. JOHN FREDERICKS John Fredericks is the Chief Compliance Officer of the Company. Mr. Fredericks previously served as General Counsel of Medley Management Inc. (NYSE: MDLY) and Chief Compliance Officer of Medley’s various registered investment advisers. Prior to joining Medley, Mr. Fredericks was a partner with Winston & Strawn, LLP, where he was a member of the firm’s restructuring and insolvency and corporate lending groups. Before joining Winston & Strawn, LLP, Mr. Fredericks was a partner with Murphy Sheneman Julian & Rogers and an associate at Murphy, Weir & Butler. Mr. Fredericks was admitted to the California State Bar. Mr. Fredericks received a BA from the University of California Santa Cruz and a JD from University of San Francisco.

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