Основная статистика
| LEI | 254900RA5P574LPO7H91 |
| CIK | 893739 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to 180 Degree Capital Corp.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 18, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: August 18, 2025 180 DEGREE CAPITAL CORP. AND MOUNT LOGAN CAPITAL INC. ANNOUNCE REVISED TERMS OF BUSINESS COMBINATION IN RESPO |
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| August 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 3) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defi |
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| August 18, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: August 18, 2025 180 DEGREE CAPITAL CORP. AND MOUNT LOGAN CAPITAL INC. ANNOUNCE REVISED TERMS OF BUSINESS COMBINATION IN RESPONSE |
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| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant [ ] Filed by a Party Other than the Registrant [X] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| August 11, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: August 11, 2025 The following is a transcript of a conference call regarding the conference call hosted by Mount Logan Capital In |
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| August 11, 2025 |
Proskauer Rose LLP 1001 Pennsylvania Avenue, NW, Suite 600 South, Washington, DC 20004-2533 John J. |
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| August 11, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: August 11, 2025 The following is a transcript of a conference call regarding the conference call hosted by Mount Logan Capita |
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| July 30, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 30, 2025 A LEADING INDEPENDENT PROXY ADVISORY FIRM, GLASS LEWIS, RECOMMENDS SHAREHOLDERS VOTE IN FAVOR OF THE PROPOSED MERGE |
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| July 30, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 30, 2025 A LEADING INDEPENDENT PROXY ADVISORY FIRM, GLASS LEWIS, RECOMMENDS SHAREHOLDERS VOTE IN FAVOR OF THE PROPOSED M |
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| July 28, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 28, 2025 180 DEGREE CAPITAL CORP. NOTES ITS PORTFOLIO COMPANY, SYNCHRONOSS TECHNOLOGIES, INC., ANNOUNCED RECEIPT OF CARES AC |
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| July 28, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 28, 2025 180 DEGREE CAPITAL CORP. NOTES ITS PORTFOLIO COMPANY, SYNCHRONOSS TECHNOLOGIES, INC., ANNOUNCED RECEIPT OF CARE |
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| July 25, 2025 |
A MESSAGE FROM 180 DEGREE CAPITAL CORP. Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 25, 2025 A MESSAGE FROM 180 DEGREE CAPITAL CORP. WE NEED YOUR VOTE. Dear Valued Shareholder, Thank you for being an inve |
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| July 25, 2025 |
A MESSAGE FROM 180 DEGREE CAPITAL CORP. Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 25, 2025 A MESSAGE FROM 180 DEGREE CAPITAL CORP. WE NEED YOUR VOTE. Dear Valued Shareholder, Thank you for being an investor |
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| July 16, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 15, 2025 On July 15, 2025, 180 Degree Capital Corp. held a shareholder update call that included discussion of slides that a |
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| July 16, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 15, 2025 On July 15, 2025, 180 Degree Capital Corp. held a shareholder update call that included discussion of slides th |
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| July 15, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 15, 2025 INVESTOR PRESENTATION Shareholder Update Call Supplemental Deck July 15, 2025 2 Disclaimer & Forward-Looking St |
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| July 15, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 15, 2025 INVESTOR PRESENTATION Shareholder Update Call Supplemental Deck July 15, 2025 2 Disclaimer & Forward-Looking Statem |
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| July 14, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 10, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF DEFINITIVE MATERIALS FOR PROPOSED BUSINESS COMBINATION WITH MOUNT LOGAN CA |
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| July 14, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 14, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF DEFINITIVE MATERIALS FOR PROPOSED BUSINESS COMBINATION WITH MOUNT LOGA |
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| July 11, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 3) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| July 10, 2025 |
180 DEGREE CAPITAL CORP. NOTES BUSINESS AND MERGER-RELATED UPDATES INCLUDING: Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 10, 2025 180 DEGREE CAPITAL CORP. NOTES BUSINESS AND MERGER-RELATED UPDATES INCLUDING: •PRELIMINARY NET ASSET VALUE PER |
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| July 10, 2025 |
180 DEGREE CAPITAL CORP. NOTES BUSINESS AND MERGER-RELATED UPDATES INCLUDING: Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 10, 2025 180 DEGREE CAPITAL CORP. NOTES BUSINESS AND MERGER-RELATED UPDATES INCLUDING: •PRELIMINARY NET ASSET VALUE PER SHAR |
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| July 9, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 9, 2025 STRATEGIC COMBINATION J U LY 2025 Disclaimer and Caution About Forward-Looking Statements CAUTIONARY NOTE REGARDING |
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| July 9, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 3) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| July 9, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: July 9, 2025 STRATEGIC COMBINATION J U LY 2025 Disclaimer and Caution About Forward-Looking Statements CAUTIONARY NOTE REGARD |
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| July 1, 2025 |
Exhibit 99.1 |
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| July 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant [ ] Filed by a Party Other than the Registrant [X] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| June 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| June 27, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 27, 2025 180 DEGREE CAPITAL CORP. AMENDS ELECTION OF DIRECTOR SPECIAL MEETING DATE PURSUANT TO SHAREHOLDER DEMAND UNDER |
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| June 27, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 27, 2025 180 DEGREE CAPITAL CORP. AMENDS ELECTION OF DIRECTOR SPECIAL MEETING DATE PURSUANT TO SHAREHOLDER DEMAND UNDER NEW |
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| June 23, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 23, 2025 180 DEGREE CAPITAL CORP. SETS ELECTION OF DIRECTOR SPECIAL MEETING DATE PURSUANT TO SHAREHOLDER DEMAND UNDER NE |
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| June 23, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 23, 2025 180 DEGREE CAPITAL CORP. SETS ELECTION OF DIRECTOR SPECIAL MEETING DATE PURSUANT TO SHAREHOLDER DEMAND UNDER NEW YO |
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| June 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| June 17, 2025 |
ITEM 2: MATERIALS PUBLISHED ON X.COM Exhibit 99.1 ITEM 2: MATERIALS PUBLISHED ON X.COM |
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| June 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant [ ] Filed by a Party Other than the Registrant [X] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| June 13, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 13, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF UPDATED PRELIMINARY JOINT PROXY STATEMENT/PROSPECTUS FOR PROPOSED BUSI |
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| June 13, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 13, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF UPDATED PRELIMINARY JOINT PROXY STATEMENT/PROSPECTUS FOR PROPOSED BUSINESS |
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| June 12, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 2) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| June 5, 2025 |
180 DEGREE CAPITAL CORP. PROVIDES PROCESS UPDATE ON PROPOSED MERGER WITH MOUNT LOGAN CAPITAL INC. Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 5, 2025 180 DEGREE CAPITAL CORP. PROVIDES PROCESS UPDATE ON PROPOSED MERGER WITH MOUNT LOGAN CAPITAL INC. Montclair, NJ – Ju |
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| June 5, 2025 |
180 DEGREE CAPITAL CORP. PROVIDES PROCESS UPDATE ON PROPOSED MERGER WITH MOUNT LOGAN CAPITAL INC. Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: June 5, 2025 180 DEGREE CAPITAL CORP. PROVIDES PROCESS UPDATE ON PROPOSED MERGER WITH MOUNT LOGAN CAPITAL INC. Montclair, NJ |
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| June 3, 2025 |
ITEM 2: MATERIALS PUBLISHED ON X.COM June 3, 2025 Exhibit 99.1 ITEM 2: MATERIALS PUBLISHED ON X.COM June 3, 2025 |
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| June 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant [ ] Filed by a Party Other than the Registrant [X] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| May 19, 2025 |
180 DEGREE CAPITAL CORP. ISSUES Q1 2025 SHAREHOLDER LETTER Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: May 19, 2025 180 DEGREE CAPITAL CORP. ISSUES Q1 2025 SHAREHOLDER LETTER May 19, 2025 – Montclair, NJ – 180 Degree Capital Cor |
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| May 19, 2025 |
180 DEGREE CAPITAL CORP. ISSUES Q1 2025 SHAREHOLDER LETTER Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: May 19, 2025 180 DEGREE CAPITAL CORP. ISSUES Q1 2025 SHAREHOLDER LETTER May 19, 2025 – Montclair, NJ – 180 Degree Capital Corp. ( |
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| May 16, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: May 16, 2025 The following is a transcript of a conference call regarding the conference call hosted by Mount Logan Capital I |
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| May 16, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: May 16, 2025 The following is a transcript of a conference call regarding the conference call hosted by Mount Logan Capital Inc. |
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| May 6, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: May 6, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF UPDATED PRELIMINARY JOINT PROXY STATEMENT/PROSPECTUS FOR PROPOSED BUSINESS C |
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| May 6, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| May 6, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: May 6, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF UPDATED PRELIMINARY JOINT PROXY STATEMENT/PROSPECTUS FOR PROPOSED BUSINE |
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| April 14, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: April 14, 2025 180 DEGREE CAPITAL CORP. NOTES PRELIMINARY NET ASSET VALUE PER SHARE OF $4.42 AS OF MARCH 31, 2025, AND PORTFO |
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| April 14, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: April 14, 2025 180 DEGREE CAPITAL CORP. NOTES PRELIMINARY NET ASSET VALUE PER SHARE OF $4.42 AS OF MARCH 31, 2025, AND PORTFOLIO |
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| March 24, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: March 24, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF PRELIMINARY JOINT PROXY STATEMENT/PROSPECTUS FOR PROPOSED BUSINESS COMBIN |
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| March 24, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 24, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: March 24, 2025 180 DEGREE CAPITAL CORP. NOTES FILING OF PRELIMINARY JOINT PROXY STATEMENT/PROSPECTUS FOR PROPOSED BUSINESS CO |
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| March 14, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: March 14, 2025 The following is a transcript of a conference call regarding the conference call hosted by Mount Logan Capital Inc |
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| March 14, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: March 14, 2025 The following is a transcript of a conference call regarding the conference call hosted by Mount Logan Capital |
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| February 14, 2025 |
180 DEGREE CAPITAL CORP. REPORTS NET ASSET VALUE PER SHARE (“NAV”) OF $4.64 AS OF DECEMBER 31, 2024 Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: February 14, 2025 Exhibits Exhibit A: 180 Degree Capital Corp. Press Release Exhibit B: Q4 2024 Letter to Shareholders EXHIBIT A |
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| February 14, 2025 |
180 DEGREE CAPITAL CORP. REPORTS NET ASSET VALUE PER SHARE (“NAV”) OF $4.64 AS OF DECEMBER 31, 2024 Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: February 14, 2025 Exhibits Exhibit A: 180 Degree Capital Corp. Press Release Exhibit B: Q4 2024 Letter to Shareholders EXHIBI |
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| February 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant [ ] Filed by a Party Other than the Registrant [X] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| February 5, 2025 |
Filing under Rule 425 under the Securities Act of 1933 Filing under Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Filing by: Source Capital Subject Company: 180 Degree Capital Corp. |
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| January 29, 2025 |
180 Degree Capital Corp. Responds to Non-Binding Proposal from Source Capital Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: January 29, 2025 180 Degree Capital Corp. Responds to Non-Binding Proposal from Source Capital January 29, 2025 - Montclair, NJ - |
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| January 29, 2025 |
180 Degree Capital Corp. Responds to Non-Binding Proposal from Source Capital Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: January 29, 2025 180 Degree Capital Corp. Responds to Non-Binding Proposal from Source Capital January 29, 2025 - Montclair, |
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| January 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant [ ] Filed by a Party Other than the Registrant [X] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| January 24, 2025 |
Filing under Rule 425 under the Securities Act of 1933 Filing under Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Filing by: Source Capital Subject Company: 180 Degree Capital Corp. |
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| January 17, 2025 |
Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: January 17, 2025 On January 17, 2025, 180 Degree Capital Corp., a corporation organized under the Laws of the State of New Yo |
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| January 17, 2025 |
425 1 scriptformlcturnmergercall.htm 425 Filed by 180 Degree Capital Corp. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: 180 Degree Capital Corp. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: January 17, 2025 The following is a transcript of a conference call regarding the pr |
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| January 17, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: January 17, 2025 On January 17, 2025, 180 Degree Capital Corp., a corporation organized under the Laws of the State of New York ( |
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| January 17, 2025 |
Filed by Yukon New Parent, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Filer: Yukon New Parent, Inc. Subject Company: 180 Degree Capital Corp. SEC File No.: 811-07074 Date: January 17, 2025 The following is a transcript of a conference call regarding the proposed merger between 180 Degree Capital Corp |
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| December 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| December 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant [ ] Filed by a Party Other than the Registrant [X] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| November 29, 2024 |
PBPB / Potbelly Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| September 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| May 6, 2024 |
Proskauer Rose LLP 1001 Pennsylvania Avenue, NW Suite 600 South Washington, DC 20004-2533 May 6, 2024 VIA EDGAR Mr. |
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| May 3, 2024 |
Proskauer Rose LLP 1001 Pennsylvania Avenue, NW Suite 600 South Washington, DC 20004-2533 May 3, 2024 VIA EDGAR Mr. |
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| April 18, 2024 |
EX-99.1 2 scoraprilnominationwithdra.htm EX-99.1 180 DEGREE CAPITAL CORP. NOTES INCLUSION OF MATTHEW F. MCLAUGHLIN AS A NOMINEE FOR THE BOARD OF DIRECTORS OF COMSCORE, INC. April 18, 2024 – Montclair, NJ – 180 Degree Capital Corp. (NASDAQ: TURN) (“180 Degree Capital”) today noted the filing of a proxy statement by comScore, Inc. (“SCOR”) that includes Matthew F. McLaughlin as a nominee for electio |
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| April 18, 2024 |
SCOR / comScore, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| March 26, 2024 |
SCOR / comScore, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| March 26, 2024 |
180 DEGREE CAPITAL CORP. NOTES SUPPORT OF ITS BOARD NOMINEE, MATTHEW F. MCLAUGHLIN, BY BOARD OF DIRECTORS OF COMSCORE, INC. March 26, 2024 – Montclair, NJ – 180 Degree Capital Corp. (NASDAQ: TURN) (“180 Degree Capital”) today noted the announcement by comScore, Inc. (“SCOR”) that SCOR’s Nominating Committee and Board of Directors will support the addition of 180 Degree Capital’s nominee, Matthew F |
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| March 26, 2024 |
EX-99.1 2 scormarchmattnominationnote.htm EX-99.1 180 DEGREE CAPITAL CORP. NOTES SUPPORT OF ITS BOARD NOMINEE, MATTHEW F. MCLAUGHLIN, BY BOARD OF DIRECTORS OF COMSCORE, INC. March 26, 2024 – Montclair, NJ – 180 Degree Capital Corp. (NASDAQ: TURN) (“180 Degree Capital”) today noted the announcement by comScore, Inc. (“SCOR”) that SCOR’s Nominating Committee and Board of Directors will support the a |
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| March 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide |
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| March 11, 2024 |
SCOR / comScore, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 scor-13daxmar72024ownershi.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 11)1 Comscore, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) |
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| March 11, 2024 |
PBPB / Potbelly Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 pbpb-13daxmar112024.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 5)1 Potbelly Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 73 |
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| March 8, 2024 |
PBPB / Potbelly Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| March 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide |
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| March 4, 2024 |
180 DEGREE CAPITAL CORP. NOTES AVERAGE DISCOUNT OF NET ASSET VALUE PER SHARE TO STOCK PRICE FOR SECOND MONTH OF INITIAL MEASUREMENT PERIOD OF ITS DISCOUNT MANAGEMENT PROGRAM Montclair, NJ – March 1, 2024 – 180 Degree Capital Corp. (“180 Degree Capital”) (NASDAQ: TURN), noted today that the average discount between its estimated daily net asset value per share (“NAV”) and its daily closing stock pr |
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| March 4, 2024 |
EX-99.1 2 a20240301-secondquarterdis.htm EX-99.1 180 DEGREE CAPITAL CORP. NOTES AVERAGE DISCOUNT OF NET ASSET VALUE PER SHARE TO STOCK PRICE FOR SECOND MONTH OF INITIAL MEASUREMENT PERIOD OF ITS DISCOUNT MANAGEMENT PROGRAM Montclair, NJ – March 1, 2024 – 180 Degree Capital Corp. (“180 Degree Capital”) (NASDAQ: TURN), noted today that the average discount between its estimated daily net asset value |
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| March 4, 2024 |
SCOR / comScore, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| March 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| February 22, 2024 |
EX-99.1 2 a20240220-q42023financialr.htm EX-99.1 180 DEGREE CAPITAL CORP. REPORTS NET ASSET VALUE PER SHARE (“NAV”) OF $5.02, COMPRISED OF 99% CASH AND PUBLIC SECURITIES1, AS OF DECEMBER 31, 2023 MONTCLAIR, NJ – February 20, 2024 – 180 Degree Capital Corp. (NASDAQ:TURN) (“180 Degree Capital” and the “Company”), today reported its financial results as of December 31, 2023, and noted additional deve |
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| February 22, 2024 |
EX-99.2 7 q42023shareholderletter.htm EX-99.2 Q4 2023 Shareholder Letter Fellow Shareholders: This “recession," which has been one of the drivers of capital away from risk assets to perceived safer assets, has been the most fun and awesome one ever. Persistent predictions of a return to arguably more normal interest rates have not led to an economic calamity. Instead, GDP rose 3.1%, wages and sala |
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| February 22, 2024 |
SCOR / comScore, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 scor-13daxfeb202024pressre.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 9)1 Comscore, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) |
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| February 22, 2024 |
Q4 2023 Shareholder Letter Fellow Shareholders: This “recession," which has been one of the drivers of capital away from risk assets to perceived safer assets, has been the most fun and awesome one ever. |
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| February 22, 2024 |
180 DEGREE CAPITAL CORP. REPORTS NET ASSET VALUE PER SHARE (“NAV”) OF $5.02, COMPRISED OF 99% CASH AND PUBLIC SECURITIES1, AS OF DECEMBER 31, 2023 MONTCLAIR, NJ – February 20, 2024 – 180 Degree Capital Corp. (NASDAQ:TURN) (“180 Degree Capital” and the “Company”), today reported its financial results as of December 31, 2023, and noted additional developments from the first quarter of 2024. The Comp |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide |
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| February 14, 2024 |
TURN / 180 Degree Capital Corp. / PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 3)* 180 Degree Capital Corp. (Name of Issuer) Common (Title of Class of Securities) 68235B208 (CUSIP Number) December 31, 2023 (Date of Event Which Requires |
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| February 14, 2024 |
AREN / The Arena Group Holdings, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 2)* ARENA GROUP HOLDINGS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 040044109 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Stre |
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| February 1, 2024 |
EX-99.1 2 a20240201-firstquarterdisc.htm EX-99.1 180 DEGREE CAPITAL CORP. NOTES AVERAGE DISCOUNT OF NET ASSET VALUE PER SHARE TO STOCK PRICE FOR FIRST MONTH OF INITIAL MEASUREMENT PERIOD OF ITS DISCOUNT MANAGEMENT PROGRAM Montclair, NJ – February 1, 2024 – 180 Degree Capital Corp. (“180 Degree Capital”) (NASDAQ: TURN), noted today that the average discount between its estimated daily net asset val |
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| February 1, 2024 |
SCOR / comScore, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 scor-13daxfeb12024pressrel.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 8)1 Comscore, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) |
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| February 1, 2024 |
180 DEGREE CAPITAL CORP. NOTES AVERAGE DISCOUNT OF NET ASSET VALUE PER SHARE TO STOCK PRICE FOR FIRST MONTH OF INITIAL MEASUREMENT PERIOD OF ITS DISCOUNT MANAGEMENT PROGRAM Montclair, NJ – February 1, 2024 – 180 Degree Capital Corp. (“180 Degree Capital”) (NASDAQ: TURN), noted today that the average discount between its estimated daily net asset value per share (“NAV”) and its daily closing stock |
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| February 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide |
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| January 29, 2024 |
180 DEGREE CAPITAL CORP. NOMINATES MATTHEW F. MCLAUGHLIN FOR ELECTION TO THE BOARD OF COMSCORE, INC. EX-99.1 2 a20240129-mclaughlinnomina.htm EX-99.1 180 DEGREE CAPITAL CORP. NOMINATES MATTHEW F. MCLAUGHLIN FOR ELECTION TO THE BOARD OF COMSCORE, INC. Montclair, NJ – January 29, 2024 – 180 Degree Capital Corp. (“180 Degree Capital” or "we") (NASDAQ:TURN), today announced that on January 25, 2024, it delivered a formal letter to comScore, Inc. (“SCOR” or the "Company") notifying it of its intention |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide |
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| January 29, 2024 |
180 DEGREE CAPITAL CORP. 7 N. Willow Street, Suite 4B Montclair, NJ 07042 EX-99.2 3 scor-indemnificationagreem.htm EX-99.2 180 DEGREE CAPITAL CORP. 7 N. Willow Street, Suite 4B Montclair, NJ 07042 January 25, 2024 Matthew F. McLaughlin 53 Gideon Garth Severna Park, MD 21146 Re: comScore, Inc. Dear Mr. McLaughlin: Thank you for agreeing to serve as a nominee for election to the board of directors of comScore, Inc. (the “Company”) in connection with the proxy solicitation |
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| January 29, 2024 |
EX-99.3 4 scor-poamclaughlinxfinal.htm EX-99.3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Daniel B. Wolfe the undersigned’s true and lawful attorney-in-fact to take any and all action in connection with (i) the undersigned’s beneficial ownership of, or participation in a group with respect to, securities of comScore, Inc., a Delaware corporat |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| January 29, 2024 |
180 DEGREE CAPITAL CORP. NOMINATES MATTHEW F. MCLAUGHLIN FOR ELECTION TO THE BOARD OF COMSCORE, INC. 180 DEGREE CAPITAL CORP. NOMINATES MATTHEW F. MCLAUGHLIN FOR ELECTION TO THE BOARD OF COMSCORE, INC. Montclair, NJ – January 29, 2024 – 180 Degree Capital Corp. (“180 Degree Capital” or "we") (NASDAQ:TURN), today announced that on January 25, 2024, it delivered a formal letter to comScore, Inc. (“SCOR” or the "Company") notifying it of its intention to nominate Matthew F. McLaughlin for election t |
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| January 29, 2024 |
SCOR / comScore, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 scor-13daxjanuarynominatio.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 7)1 Comscore, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) |
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| January 29, 2024 |
POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Daniel B. |
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| January 29, 2024 |
180 DEGREE CAPITAL CORP. 7 N. Willow Street, Suite 4B Montclair, NJ 07042 180 DEGREE CAPITAL CORP. 7 N. Willow Street, Suite 4B Montclair, NJ 07042 January 25, 2024 Matthew F. McLaughlin 53 Gideon Garth Severna Park, MD 21146 Re: comScore, Inc. Dear Mr. McLaughlin: Thank you for agreeing to serve as a nominee for election to the board of directors of comScore, Inc. (the “Company”) in connection with the proxy solicitation that 180 Degree Capital Corp. and certain of its |
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| January 16, 2024 |
PBPB / Potbelly Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 pbpb-13daxjan162024.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3)1 Potbelly Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 73 |
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| January 3, 2024 |
TURN / 180 Degree Capital Corp. / Rendino Kevin - SC 13D/A Activist Investment SC 13D/A 1 kmr-13daxjan2024.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2) 180 Degree Capital Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 68 |
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| December 19, 2023 |
SNCR / Synchronoss Technologies, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 sncr-13daxdec182023.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)1 Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Se |
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| December 19, 2023 |
EX-99.1 2 sncr13da121823jfa.htm EX-99.1 Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of Synchronoss Technologies, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. Dated: December 19, 2023 180 Degree Capital Corp. By: |
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| December 18, 2023 |
SNCR / Synchronoss Technologies, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 sncr-13daxdec2023.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1)1 Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Secu |
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| December 18, 2023 |
EX-99.1 2 sncr13dajfa.htm EX-99.1 Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of Synchronoss Technologies, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. Dated: December 18, 2023 180 Degree Capital Corp. By: /s/ Da |
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| December 18, 2023 |
ASSIGNMENT AND ASSUMPTION AGREEMENT EX-99.2 3 sncrkmrboardcomp-assignmen.htm EX-99.2 Exhibit 2 ASSIGNMENT AND ASSUMPTION AGREEMENT This Assignment and Assumption Agreement (this “Agreement”) is made and entered into as of December 4, 2023, by and between Kevin M. Rendino (the “Assignor”) and 180 Degree Capital Corp., a New York corporation (the “Assignee”). RECITALS WHEREAS, the Assignor is the owner of 30,000 stock options for the |
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| December 11, 2023 |
SCOR / Comscore Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 scor-13daxdecemberdeclassi.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 6)1 comScore, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) |
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| December 11, 2023 |
7 N. Willow Street, Suite 4B Montclair, NJ 07042 P: 973-746-4500 F: 973-746-4508 EX-99.1 2 draft-14ax8proposalfordecl.htm EX-99.1 7 N. Willow Street, Suite 4B Montclair, NJ 07042 P: 973-746-4500 F: 973-746-4508 December 11, 2023 Via Electronic Mail and Courier comScore, Inc. 11950 Democracy Drive, Suite 600 Reston, Virginia 20190 Attn: Ashley Wright General Counsel and Secretary Re: Submission of Proposal pursuant to Rule 14a-8 of the Securities Exchange Act of 1934, as amende |
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| December 4, 2023 |
SNCR / Synchronoss Technologies Inc / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| November 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Information Required in Proxy Statement Schedule 14a Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide |
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| November 30, 2023 |
SCOR / Comscore Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| November 30, 2023 |
EX-99.1 2 scornov2023groupagreement.htm EX-99.1 GROUP AGREEMENT WHEREAS, the undersigned are stockholders, direct or beneficial, of Comscore, Inc., a Delaware corporation (the “Company”); and WHEREAS, 180 Degree Capital Corp. (“180 Degree Capital”), Kevin M. Rendino, and Matthew F. McLaughlin wish to form a group for the purpose of (i) seeking representation on the Board of Directors of the Compan |
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| June 12, 2023 |
SCOR / Comscore Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 scor-13dxjune82023.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 4)1 Comscore, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 20564W105 |
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| June 1, 2023 |
SCOR / Comscore Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| May 11, 2023 |
SCOR / Comscore Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment SC 13D/A 1 scor-13dxmay2023.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)1 Comscore, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 20564W105 ( |
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| May 11, 2023 |
NPORT-EX 2 fp0083119-1nportex.htm 180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF MARCH 31, 2023 (UNAUDITED) Method of Valuation (1) Industry Shares/Units Cost Value Investments in Unaffiliated Equity and Equity-Related Securities (2) - 52.9% of net assets at value Unaffiliated Publicly Traded Equity and Equity-Related Securities - 39.2% of net assets at value Alta Equipment Gr |
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| April 20, 2023 |
SCOR / Comscore Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| March 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| March 10, 2023 |
TURN / 180 Degree Capital Corp / Rendino Kevin - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| March 6, 2023 |
SCOR / Comscore Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| February 14, 2023 |
SC 13G/A 1 aren-13gx2x14x23.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 1)* ARENA GROUP HOLDINGS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 040044109 (CUSIP Number) |
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| February 14, 2023 |
SNCR / Synchronoss Technologies, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G/A Passive Investment SC 13G/A 1 sncr-13gx2x14x23.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 1)* SYNCHRONOSS TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 87157B103 (CUSIP Numb |
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| February 14, 2023 |
SYNL / Synalloy Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G/A Passive Investment SC 13G/A 1 acnt-13gx2x14x23.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 1)* ASCENT INDUSTRIES CO. (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) 180 D |
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| February 14, 2023 |
SCOR / COMSCORE, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G Passive Investment SC 13G 1 scor-13gx2x14x23.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. )* COMSCORE, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 20564W105 (CUSIP Number) 180 Degree Capita |
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| February 13, 2023 |
TURN / 180 Degree Capital Corp / PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Passive Investment SC 13G/A 1 fp0082241-14sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 2)* 180 Degree Capital Corp. (Name of Issuer) Common (Title of Class of Securities) 68235B109 (CUSIP Number) December 31, 2 |
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| November 7, 2022 |
NPORT-EX 2 fp0080333-1nportex.htm 180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF SEPTEMBER 30, 2022 (UNAUDITED) Method of Valuation (1) Industry Shares/Principal Cost Value Investments in Unaffiliated Equity and Equity-Related Securities (2) - 61.0% of net assets at value Unaffiliated Publicly Traded Equity and Equity-Related Securities - 44.6% of net assets at value Alta Equi |
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| September 21, 2022 |
TURN / 180 Degree Capital Corp / Rendino Kevin - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| May 11, 2022 |
180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF MARCH 31, 2022 (UNAUDITED) Method of Valuation (1) Industry Shares/Principal Cost Value Investments in Unaffiliated Equity and Equity-Related Securities (2) - 46.7% of net assets at value Unaffiliated Publicly Traded Equity and Equity-Related Securities - 25.9% of net assets at value Alta Equipment Group, Inc. (3) Trading Companie |
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| March 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| February 14, 2022 |
SNCR / Synchronoss Technologies, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. )* SYNCHRONOSS TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 87157B103 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow S |
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| February 14, 2022 |
SYNL / Synalloy Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. )* SYNALLOY CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Sui |
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| February 14, 2022 |
QMCO / Quantum Corp / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. 1)* QUANTUM CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 747906501 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Sui |
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| February 14, 2022 |
AFI / Armstrong Flooring Inc / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. )* ARMSTRONG FLOORING, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 04238R106 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, |
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| February 14, 2022 |
TURN / 180 Degree Capital Corp / PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* 180 Degree Capital Corp. (Name of Issuer) Common (Title of Class of Securities) 68235B109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires |
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| January 5, 2022 |
MVEN / Themaven Inc / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G Passive Investment SC 13G 1 mven-13gx1x4x22.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. )* THEMAVEN, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 88339B102 (CUSIP Number) 180 Degree Capital |
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| November 9, 2021 |
180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF SEPTEMBER 30, 2021 (UNAUDITED) Method of Valuation (1) Industry Shares/Principal Cost Value Investments in Unaffiliated Securities (2) - 51.5% of net assets at value Privately Held Securities (Illiquid) - 22.0% of net assets at value AgBiome, LLC (3)(4) Fertilizers & Agricultural Chemicals Develops agricultural products that reduc |
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| July 9, 2021 |
SONM / Sonim Technologies Inc / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. 1)* SONIM TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 83548F101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street |
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| May 11, 2021 |
180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF MARCH 31, 2021 (UNAUDITED) Method of Valuation (1) Industry Shares/Principal Cost Value Investments in Unaffiliated Companies (2) - 49.1% of net assets at value Privately Held Companies (Illiquid) - 18.9% of net assets at value AgBiome, LLC (3)(4) Fertilizers & Agricultural Chemicals Develops agricultural products that reduce risk |
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| April 20, 2021 |
John Mahon 202.729.7477 Writer's E-mail Address [email protected] April 20, 2021 VIA EDGAR Ms. Megan Miller Division of Investment Management U.S. Securities and Exchange Commission 200 Vesey Street, Suite 400 New York, NY 10281 Re: 180 Degree Capital Corp. Certified Shareholder Report on Form N-CSR For the Fiscal Year ended December 31, 2020 (File No. 811-07074) Dear Ms. Miller: On behalf of 180 |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| March 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| March 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. )* SONIM TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 83548F101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. )* 180 Degree Capital Corp. (Name of Issuer) Common (Title of Class of Securities) 68235B109 (CUSIP Number) December 31, 2020 (Date of Event Which Requires F |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| January 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. )* QUANTUM CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 747906501 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suit |
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| January 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| December 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN CONSENT STATEMENT SCHEDULE 14A INFORMATION Consent Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☒ Preliminary Consent Statement ☐ Confidential, for |
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| November 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN CONSENT STATEMENT SCHEDULE 14A INFORMATION Consent Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Consent Statement ☐ C |
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| November 27, 2020 |
Voting Agreement, by and among 180 Degree Capital Corp., James Heckman and Robert Scott, dated From: The Purchasers of TheMaven, Inc., Series J Convertible Preferred Stock To: James Heckman and Robert Scott, jointly and severally I hereby give to James Heckman and Robert Scott, jointly and severally, with full right of substitution, the right to vote all shares of TheMaven, Inc. (“MVEN”) voting stock, including the Series J Preferred Stock of the MVEN over which I have voting control to vot |
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| November 27, 2020 |
GROUP AGREEMENT WHEREAS, the undersigned are stockholders, direct or beneficial, of TheMaven, Inc. |
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| November 27, 2020 |
Voting Agreement, by and among 180 Degree Capital Corp., Ross Levinsohn and Robert Scott From: The Purchasers of TheMaven, Inc., Series J Convertible Preferred Stock – September 4, 2020 Financing To: Ross Levinsohn and Robert Scott, jointly and severally I hereby give to James Heckman and Robert Scott, jointly and severally, with full right of substitution, the right to vote all shares of TheMaven, Inc. (“MVEN”) voting stock, including the Series J Preferred Stock of the MVEN over whi |
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| November 27, 2020 |
Voting Agreement, by and among 180 Degree Capital Corp., James Heckman and Robert Scott From: The Purchasers of TheMaven, Inc., Series I Convertible Preferred Stock To: James Heckman and Robert Scott, jointly and severally I hereby give to James Heckman and Robert Scott, jointly and severally, with full right of substitution, the right to vote all shares of TheMaven, Inc. (“MVEN”) voting stock, including the Series I Preferred Stock of the MVEN over which I have voting control to vot |
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| November 27, 2020 |
Letter to the Board of Directors of the Issuer, from 180 Degree Capital November 24, 2020 theMaven, Inc. 225 Liberty Street, 27th Floor New York, NY 10281 Attention: Board of Directors Ladies and Gentlemen, As has been discussed with a number of you, the company and many of its stockholders, including the undersigned, believe that it is time for the company to pursue a new direction. While we appreciate the time and dedication of the Board of Directors over the years, |
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| November 27, 2020 |
MVEN / theMaven, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| November 18, 2020 |
180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF MARCH 31, 2020 (UNAUDITED) Method of Valuation (1) Industry Shares/Principal Cost Value Investments in Unaffiliated Companies (2) - 50.9% of net assets at value Privately Held Companies (Illiquid) - 31.4% of net assets at value AgBiome, LLC (3)(4) Fertilizers & Agricultural Chemicals Providing early-stage research and discovery fo |
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| November 18, 2020 |
180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF SEPTEMBER 30, 2020 (UNAUDITED) Method of Valuation (1) Industry Shares/Principal Cost Value Investments in Unaffiliated Companies (2) - 35.1% of net assets at value Privately Held Companies (Illiquid) - 21.0% of net assets at value AgBiome, LLC (3)(4) Fertilizers & Agricultural Chemicals Develops agricultural products that reduce |
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| September 21, 2020 |
SONM / Sonim Technologies, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| September 21, 2020 |
September 17, 2020 180 Degree Capital Corp. Mr. Kevin M. Rendino Mr. Daniel B. Wolfe 7 N. Willow Street, Suite 4B Montclair, NJ 07042 Re: Sonim Technologies, Inc. Dear 180 Degree Capital Corp., Mr. Rendino and Mr. Wolfe: In connection with the invitations to Kevin M. Rendino (“Rendino”) and Daniel B. Wolfe (“Wolfe”) as representatives of 180 Degree Capital Corp. (“180”, and, together with Rendino |
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| September 8, 2020 |
SONM / Sonim Technologies, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| August 31, 2020 |
MVEN / theMaven, Inc. / 180 DEGREE CAPITAL CORP. /NY/ - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| July 6, 2020 |
SONM / Sonim Technologies, Inc. / HARRIS & HARRIS GROUP INC /NY/ - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. )* SONIM TECHNOLOGIES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 83548F101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street |
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| June 29, 2020 |
PBPB / Potbelly Corp / HARRIS & HARRIS GROUP INC /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| May 5, 2020 |
180 DEGREE CAPITAL CORP. CONSOLIDATED SCHEDULE OF INVESTMENTS AS OF MARCH 31, 2020 (UNAUDITED) Method of Valuation (1) Industry Shares/Principal Cost Value Investments in Unaffiliated Companies (2) - 50.9% of net assets at value Privately Held Companies (Illiquid) - 31.4% of net assets at value AgBiome, LLC (3)(4) Fertilizers & Agricultural Chemicals Providing early-stage research and discovery fo |
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| March 25, 2020 |
TURN / 180 Degree Capital Corp. DEF 14A - - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| March 19, 2020 |
901 Fifteenth Street, NW, Suite 800 Washington, DC 20005 202.729.7470 202.730.4520 fax John Mahon 202.729.7477 Writer's E-mail Address [email protected] March 19, 2020 VIA EDGAR Mr. Christopher Bellacicco Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: 180 Degree Capital Corp. Preliminary Proxy Statement (File No. 811-07074) Dear |
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| March 3, 2020 |
TURN / 180 Degree Capital Corp. PRE 14A - - PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| February 13, 2020 |
SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of February 11, 2020 by and between Qumu Corporation, a Minnesota corporation (“Qumu”), and the undersigned stockholder (“Shareholder”) of Synacor, Inc. |
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| February 13, 2020 |
SYNC / Synacor, Inc. / HARRIS & HARRIS GROUP INC /NY/ - 180 AMENDED 13D Activist Investment SC 13D/A 1 sync13da21120.htm 180 AMENDED 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)1 Synacor, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 87156110 |
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| February 13, 2020 |
Agreement, by and among 180 Degree Capital Corp. and SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of February 11, 2020 by and between Qumu Corporation, a Minnesota corporation (“Qumu”), and the undersigned stockholder (“Shareholder”) of Synacor, Inc. |
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| January 28, 2020 |
PBPB / Potbelly Corp / HARRIS & HARRIS GROUP INC /NY/ - 180 PBPB 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| November 7, 2019 |
TURN / 180 Degree Capital Corp. N-Q - Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07074 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in Its Charter) 7 N. Willow Street, Suite 4B, Montclair NJ 07042 (Address of Principal Executive Offices) (Zip Code) Daniel B |
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| November 7, 2019 |
Exhibit 99.CERT Rule 30a-2(a) Certification I, Kevin M. Rendino, certify that: 1. I have reviewed this report on Form N-Q of 180 Degree Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadin |
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| August 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| June 12, 2019 |
STOCKHOLDER VOTING AGREEMENT STOCKHOLDER VOTING AGREEMENT (this “Agreement”), dated as of June 11, 2019, by and among TheMaven, Inc. |
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| June 12, 2019 |
TST / TheStreet, Inc. / HARRIS & HARRIS GROUP INC /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| May 1, 2019 |
TURN / 180 Degree Capital Corp. N-Q Quarterly Schedule of Portfolio Holdings N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07074 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in Its Charter) 7 N. Willow Street, Suite 4B, Montclair NJ 07042 (Address of Principal Executive Offices) (Zip Code) Daniel B |
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| May 1, 2019 |
Exhibit 99.CERT Rule 30a-2(a) Certification I, Kevin M. Rendino, certify that: 1. I have reviewed this report on Form N-Q of 180 Degree Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadin |
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| April 29, 2019 |
TURN / 180 Degree Capital Corp. DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| March 5, 2019 |
SYNC / Synacor, Inc. / HARRIS & HARRIS GROUP INC /NY/ - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| November 26, 2018 |
SYNC / Synacor, Inc. / HARRIS & HARRIS GROUP INC /NY/ - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* SYNACOR, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 871561106 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, NJ 07042 Attention: Daniel B. Wolfe Telephone: 973-746-4500 (Na |
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| October 29, 2018 |
Exhibit 99.CERT Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Kevin M. Rendino, certify that: 1. I have reviewed this report on Form N-Q of 180 Degree Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were ma |
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| October 29, 2018 |
TURN / 180 Degree Capital Corp. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07074 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in Its Charter) 7 N. Willow Street, Suite 4B, Montclair NJ 07042 (Address of Principal Executive Offices) (Zip Code) Daniel B |
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| August 16, 2018 |
TURN / 180 Degree Capital Corp. CORRESP John Mahon 202.729.7477 Writer's E-mail Address [email protected] August 16, 2018 VIA EDGAR Ms. Megan Miller Division of Investment Management U.S. Securities and Exchange Commission 200 Vesey Street, Suite 400 New York, NY 10281 Re: 180 Degree Capital Corp. Certified Shareholder Report on Form N-CSR For the Fiscal Year ended December 31, 2017 (File No. 811-07074) Dear Ms. Miller: On behalf of 18 |
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| July 2, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07074 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in Its Charter) 7 N. Willow Street, Suite 4B, Montclair NJ 07042 (Address of Principal Executive Offices) (Zip Code) Daniel B |
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| July 2, 2018 |
TURN / 180 Degree Capital Corp. N-8A/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT to FORM N-8A AMENDMENT TO NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company (the "Company") hereby notifies the Securities and Exchange Commission that it is amending its Notification of Registration on Form N-8A (the "Form N-8A"), for |
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| May 21, 2018 |
SC 13D/A 1 iots-13dx5x21x18.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* ADESTO TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00687D101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, N |
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| May 21, 2018 |
Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of Adesto Technologies Corporation shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. |
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| May 7, 2018 |
TURN / 180 Degree Capital Corp. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07074 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in Its Charter) 7 N. Willow Street, Suite 4B, Montclair NJ 07042 (Address of Principal Executive Offices) (Zip Code) Daniel B |
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| May 7, 2018 |
Exhibit 99.CERT Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Kevin M. Rendino, certify that: 1. I have reviewed this report on Form N-Q of 180 Degree Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were ma |
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| April 30, 2018 |
TURN / 180 Degree Capital Corp. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| April 20, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* ADESTO TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00687D101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, New Jersey 07042 Attention: Daniel B. Wolf |
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| April 20, 2018 |
EX-99.1 2 iots-13daxjfax4x20x18.htm EXHIBIT 99.1 Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of Adesto Technologies Corporation shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. Dated: April 20, 2018 180 DEGREE CAPITAL COR |
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| November 17, 2017 |
Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of Adesto Technologies Corporation shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. |
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| November 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* ADESTO TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00687D101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, New Jersey 07042 Attention: Daniel B. Wolf |
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| November 14, 2017 |
Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of TheStreet, Inc. |
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| November 14, 2017 |
TST / TheStreet, Inc. / HARRIS & HARRIS GROUP INC /NY/ - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* THESTREET, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 88368Q103 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, New Jersey 07042 Attention: Daniel B. Wolfe Telephone: 973-74 |
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| November 1, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07074 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in Its Charter) 7 N. Willow Street, Suite 4B, Montclair NJ 07042 (Address of Principal Executive Offices) (Zip Code) |
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| November 1, 2017 |
Exhibit 99.CERT Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Kevin M. Rendino, certify that: 1. I have reviewed this report on Form N-Q of 180 Degree Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were ma |
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| October 3, 2017 |
POWER OF ATTORNEY The undersigned, being a person required to file a statement under Section 16(a)of the Securities Exchange Act of 1934 (the "1934 Act") with respect to 180 Degree Capital Corp. |
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| August 15, 2017 |
POWER OF ATTORNEY The undersigned, being a person required to file a statement under Section 16(a)of the Securities Exchange Act of 1934 (the "1934 Act") with respect to 180 Degree Capital Corp. |
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| August 15, 2017 |
EX-99.1 2 enumeral13da-8x15x17xjfa.htm EXHIBIT 99.1 Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock and Warrants for Common Stock of Enumeral Biomedical Holdings, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. Dated: A |
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| August 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 SCHEDULE 13D Under the Securities Exchange Act of 1934 Enumeral Biomedical Holdings, Inc. (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 294017108 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, New Jersey 07042 Attention: Daniel B. Wolfe |
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| August 2, 2017 |
POWER OF ATTORNEY The undersigned, being a person required to file a statement under Section 16(a)of the Securities Exchange Act of 1934 (the "1934 Act") with respect to 180 Degree Capital Corp. |
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| August 1, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 SCHEDULE 13D Under the Securities Exchange Act of 1934 Enumeral Biomedical Holdings, Inc. (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 294017108 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, New Jersey 07042 Attention: Daniel B. Wolfe |
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| August 1, 2017 |
EX-99.1 2 enumeral-8x1x17x13daxjfa.htm EXHIBIT 99.1 Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock and Warrants for Common Stock of Enumeral Biomedical Holdings, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. Dated: A |
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| June 15, 2017 |
Exhibit 1 Joint Filing Agreement The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of Adesto Technologies Corporation shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. |
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| June 15, 2017 |
Adesto Technologies SC 13D/A (Activist Acquisition of More Than 5% of Shares) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* ADESTO TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00687D101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, New Jersey 07042 Attention: Danie |
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| June 15, 2017 | ||
| June 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* ADESTO TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00687D101 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Suite 4B Montclair, New Jersey 07042 Attention: Daniel B. Wolf |
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| May 30, 2017 |
POWER OF ATTORNEY The undersigned, being a person required to file a statement under Section 16(a)of the Securities Exchange Act of 1934 (the "1934 Act") with respect to 180 Degree Capital Corp. |
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| May 19, 2017 |
POWER OF ATTORNEY The undersigned, being a person required to file a statement under Section 16(a) of the Securities Exchange Act of 1934 (the "1934 Act") with respect to 180 Degree Capital Corp. |
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| May 1, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07074 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in Its Charter) 7 N. Willow Street, Suite 4B, Montclair NJ 07042 (Address of Principal Executive Offices) (Zip Code) Daniel B |
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| May 1, 2017 |
Exhibit 12(a)(2) Rule 30a-2(a) Certification I, Kevin M. Rendino, certify that: 1. I have reviewed this report on Form N-Q of 180 Degree Capital Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| April 28, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by R |
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| March 30, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-54C NOTIFICATION OF WITHDRAWAL OF ELECTION TO BE SUBJECT TO SECTIONS 55 THROUGH 65 OF THE INVESTMENT COMPANY ACT OF 1940 FILED PURSUANT TO SECTION 54(c) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned business development company hereby notifies the Securities and Exchange Commission that it withdraws its |
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| March 27, 2017 |
HARRIS & HARRIS GROUP, INC. CHANGE IN CONTROL AND SEVERANCE AGREEMENT Exhibit HARRIS & HARRIS GROUP, INC. CHANGE IN CONTROL AND SEVERANCE AGREEMENT This Change in Control and Severance Agreement (the ? Agreement ?) is made and entered into by and between [ ] (? Executive ?) and 180 Degree Capital Corp., a New York corporation (the ? Company ?), effective as of [ ] (the ? Effective Date ?). RECITALS 1. The Company?s Board of Directors (the ? Board ?) believes that it |
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| March 27, 2017 |
8-K 1 a8-kmarch272017xdocument.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 27, 2017 (March 24, 2017) 180 DEGREE CAPITAL CORP. (Exact Name of Registrant as Specified in its Charter) New York 0-11576 13-3119827 (Sta |
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| March 27, 2017 |
BY-LAWS OF 180 DEGREE CAPTIAL CORP. (as amended and restated as of March 27, 2017) ARTICLE I EX-3.1 2 amendedbylaws-180degreex3x.htm EXHIBIT 3.1 - AMENDED BY LAWS BY-LAWS OF 180 DEGREE CAPTIAL CORP. (as amended and restated as of March 27, 2017) ARTICLE I OFFICES SECTION 1. PRINCIPAL OFFICE. The principal office of the corporation shall be located in the City, County and State of New York or any other location as shall be determined by the directors. SECTION 2. OTHER OFFICES. The corporat |
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| March 24, 2017 |
EX-99.1 3 specialmeetingpressrelease.htm EXHIBIT 99.1 - PRESS RELEASE PRESS RELEASE FOR IMMEDIATE RELEASE HARRIS & HARRIS GROUP, INC. ® 1450 BROADWAY - 24TH FLOOR NEW YORK, NEW YORK 10018 HARRIS & HARRIS GROUP ANNOUNCES CHANGE IN CORPORATE NAME TO 180 DEGREE CAPITAL CORP. AND TICKER SYMBOL TO "TURN" NEW YORK, NY - March 24, 2017 - Harris & Harris Group, Inc. (NASDAQ: TINY) (the "Company") reported |
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| March 24, 2017 |
8-K 1 a8-kmarch242017xdocument.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 24, 2017 HARRIS & HARRIS GROUP, INC. (Exact Name of Registrant as Specified in its Charter) New York 0-11576 13-3119827 (State or other ju |
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| March 24, 2017 |
Exhibit CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF Harris & Harris Group, Inc. |
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| March 15, 2017 |
Exhibit 32.01 Certification of CEO and CFO Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report on Form 10-K of Harris & Harris Group, Inc. (the "Company") for the year ended December 31, 2016, as filed with the Securities and Exchange Commission on the date hereof (the "Report"), Douglas W. Jamison, as Chief |
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| March 15, 2017 |
CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF HARRIS & HARRIS GROUP, INC. |
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| March 15, 2017 |
TINY / Harris & Harris Group, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K ý Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| March 15, 2017 |
Certification of Chief Financial Officer Pursuant to Exchange Act Rule 13a-14(a) or 15d-14(a) Exhibit 31.02 Certification of Chief Financial Officer Pursuant to Exchange Act Rule 13a-14(a) or 15d-14(a) I, Daniel B. Wolfe, certify that: 1. I have reviewed this Annual Report on Form 10-K of Harris & Harris Group, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light |
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| March 15, 2017 |
Certification of Chief Executive Officer Pursuant to Exchange Act Rule 13a-14(a) or 15d-14(a) Exhibit 31.01 Certification of Chief Executive Officer Pursuant to Exchange Act Rule 13a-14(a) or 15d-14(a) I, Douglas W. Jamison, certify that: 1. I have reviewed this Annual Report on Form 10-K of Harris & Harris Group, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| February 13, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by R |
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| February 13, 2017 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Harris & Harris Group, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 413833104 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 10, 2017 |
TURN / 180 Degree Capital Corp. CORRESP - - 1152 Fifteenth Street, NW, Suite 850 Washington, DC 20005 202.729.7470 202.730.4520 fax John Mahon 202.729.7477 Writer's E-mail Address [email protected] February 9, 2017 VIA EDGAR Dominic Minore, Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Harris & Harris Group, Inc. Preliminary Proxy Statement on Schedule |
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| February 6, 2017 |
TURN / 180 Degree Capital Corp. CORRESP - - 1152 Fifteenth Street, NW, Suite 850 Washington, DC 20005 202.729.7470 202.730.4520 fax John Mahon 202.729.7477 Writer's E-mail Address [email protected] February 6, 2017 VIA EDGAR Dominic Minore, Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Harris & Harris Group, Inc. Preliminary Proxy Statement on Schedule |
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| January 23, 2017 |
Exhibit HARRIS & HARRIS GROUP ANNOUNCES THE FILING OF PRELIMINARY PROXY MATERIALS DETAILING ITS PROPOSED CONVERSION FROM A BDC TO A REGISTERED CLOSED-END FUND NEW YORK, NEW YORK - January 23, 2017 - Harris & Harris Group, Inc. |
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| January 23, 2017 |
Exhibit |
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| January 23, 2017 |
Harris & Harris Group 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 23, 2017 (January 23, 2017) HARRIS & HARRIS GROUP, INC. (Exact Name of Registrant as Specified in its Charter) New York 0-11576 13-3119827 (State or other jurisdictio |
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| January 23, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: x Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by R |
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| January 9, 2017 |
HARRIS & HARRIS GROUP ISSUES REMINDER FOR SHAREHOLDER UPDATE CALL ON JANUARY 10, 2017 Exhibit HARRIS & HARRIS GROUP ISSUES REMINDER FOR SHAREHOLDER UPDATE CALL ON JANUARY 10, 2017 NEW YORK, NY? January 9, 2017 ? Harris & Harris Group, Inc. |
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| January 9, 2017 |
Exhibit |
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| January 9, 2017 |
Harris & Harris Group 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 9, 2017 (January 9, 2017) HARRIS & HARRIS GROUP, INC. (Exact Name of Registrant as Specified in its Charter) New York 0-11576 13-3119827 (State or other jurisdiction |
