Exact name of registrant.
Name of state under the laws of which registrant was organized or created and the date of such organization or creation.
Form of organization of registrant (for example, corporation, partnership, trust, joint stock company, association, fund).
Classification of registrant (face-amount certificate company, unit investment trust, or management company).
The Company is classified as a management company.
If registrant is a management company:
(a) state whether registrant is a “closed-end” company or an “open-end” company;
The Company is a “closed-end” company.
(b) state whether registrant is registering as a “diversified” or a “non-diversified” company.
The Company is classified as a “non-diversified” company.
Name and address of each investment adviser of registrant.
Not applicable. The Company is internally managed and does not have an investment adviser.
If registrant is an investment company having a board of directors, state the name and address of each officer and director of registrant.
The address for all of the following directors and officers of the Company is: 7 N. Willow Street, Suite 4B, Montclair, NJ 07042
The directors of the Company are:
The officers of the Company are:
(a) State whether registrant is currently issuing and offering its securities directly to the public (yes or no).
(b) If registrant is currently issuing and offering its securities to the public through an underwriter, state the name and address of each underwriter.
(c) If the answer to Item 9(a) is “no” and the answer to Item 9(b) is “not applicable,” state whether registrant presently proposes to make a public offering of its securities (yes or no).
(d) State whether registrant has any securities currently issued and outstanding (yes or no).
Approximately 10,000 beneficial owners hold the Company's 31,121,562 common shares outstanding.
Ariel Investments, LLC owns 4,786,704 shares, or 15.4 percent, of the Company's outstanding shares of common stock based on information obtained in a Schedule 13F filed on May 14, 2018. Ariel Investments, LLC has sole dispositive power for these shares and sole power to vote 3,414,785 of these shares.
State the current value of the registrant’s total assets.
$84,482,004 as of March 31, 2018.
State whether registrant has applied or intends to apply for a license to operate as a small business investment company under the Small Business Investment Act of 1958 (yes or no).
Attach as an exhibit a copy of the registrant’s last regular periodic report to its security holders, if any.
Attached, as Exhibit 99.A.
180 Degree Capital Corp.
/s/ Kevin M. Rendino
Name: Kevin M. Rendino
Title: Chairman of the Board of Directors
and Chief Executive Officer
/s/ Daniel B. Wolfe
Name: Daniel B. Wolfe
Title: President, Chief Financial Officer, and Chief Compliance Officer