SEC Info - 180 Degree Capital Corp./NY - ‘N-CEN’ for 12/31/19

EDGAR Submission

Schema Version: X0201

Header Data:

Submission Type: N-CEN

Filer Info:

Live-Test Flag: LIVE

Filer:

Issuer Credentials:

CIK: 893739

CCC: XXXXXXXX

Flags:

Return Copy Flag? No

Override Internet Flag? No

Confirming Copy Flag? No

Investment Company Type: N-2

Form Data:

General Info

Registrant Info:

Registrant Full Name: 180 DEGREE CAPITAL CORP. /NY/

Investment Comp File No.: 811-07074

Registrant CIK: 893739

Registrant Lei: 254900RA5P574LPO7H91

Registrantstreet 1: 7 N. Willow Street

Registrantstreet 2: Suite 4B

Registrantcity: Montclair

Registrantzip Code: 07042

Registrantstate: US-NJ

Registrantcountry: US

Registrantphone Number: 973-746-4500

Websites:

Website: www.180degreecapital.com

Location Books Records:

Location Books Record:

Office Name: 180 Degree Capital Corp.

Office Address 1: 7 N. Willow Street

Office Address 2: Suite 4B

Office City: Montclair

Office State Country

Office Records ZIP Code: 07042

Office Phone: 973-746-4500

Books Records Desc: All physical books and records as required by Section 31(a) of the Act not maintained by other service providers.

Location Books Record:

Office Name: American Stock Transfer & Trust, LLC

Office Address 1: 6201 15th Avenue

Office City: Brooklyn

Office State Country

Office Records ZIP Code: 11219

Office Phone: 718-921-8300

Books Records Desc: Transfer Agent

Location Books Record:

Office Name: U.S. Bank

Office Address 1: 1555 N. River Center Drive

Office Address 2: Suite 302

Office City: Milwaukee

Office State Country

Office Records ZIP Code: 53212

Office Phone: 513-629-8278

Books Records Desc: Investment securities

Is Registrant First Filing? No

Is Registrant Last Filing? No

Is Registrant Family Inv Comp? No

Registrant Classification Type: N-2

Is Securities Act Registration? Yes

Directors:

Director:

Director Name: Kevin M. Rendino

CRD Number: N/A

Is Director Interested Person? Yes

File Numbers:

File Number Info: N/A

Director:

Director Name: Daniel B. Wolfe

CRD Number: N/A

Is Director Interested Person? Yes

File Numbers:

File Number Info: N/A

Director:

Director Name: Stacy R. Brandom

CRD Number: N/A

Is Director Interested Person? No

File Numbers:

File Number Info: N/A

Director:

Director Name: Parker A. Weil

CRD Number: 001518568

Is Director Interested Person? No

File Numbers:

File Number Info: N/A

Director:

Director Name: Charles E. Ramsey

CRD Number: N/A

Is Director Interested Person? No

File Numbers:

File Number Info: N/A

Director:

Director Name: Richard P. Shanley

CRD Number: N/A

Is Director Interested Person? No

File Numbers:

File Number Info: N/A

Chief Compliance Officers:

Chief Compliance Officer:

CCO Name: Daniel B. Wolfe

CRD Number: N/A

CCO Street 1: 7 N. Willow Street

CCO Street 2: Suite 4B

CCO City: Montclair

CCO State Country

CCO ZIP Code: 07042

CCO Phone: XXXXXX

Is CCO Changed Since Last Filing? No

CCO Employers:

CCO Employer

Security Matter Series Info: Y

Is Previous Legal Proceeding? No

Is Previous Proceeding Terminated? No

Is Claim Filed? No

Covered by Insurance Policy

Is Financial Support During Period? No

Is Exemption From Act? No

Is Underwriter Hired or Terminated? No

Public Accountants:

Public Accountant:

Public Accountant Name: PricewaterhouseCoopers, LLP

Pcaob Number: 238

Public Accountant Lei: N/A

Public Accountant State Country

Is Public Accountant Changed? No

Is Material Weakness? No

Is Opinion Offered? No

Is Material Change? No

Is Accounting Principle Change? No

Is Payment Dividend? No

Management Investment Question Series Info:

Management Investment Question:

Mgmt Inv Fund Name: 180 Degree Capital Corp.

Mgmt Inv Lei: 254900RA5P574LPO7H91

Is First Filing by Fund? No

Fund Type: N/A

Is Non-Diversified Company? Yes

Is Foreign Subsidiary? No

Is Fund Securities Lending? Yes

Did Fund Lend Securities? No

Payment to Agent Manager Type: N/A

Avg Portfolio Securities Value: N/A

Net Income Securities Lending: N/A

Rely on Rule Type: N/A

Is Expense Limitation in Place? No

Is Expense Reduced or Waived? No

Is Fees Waived Recoupable? No

Is Expense Waived Recoupable? No

Transfer Agents:

Transfer Agent:

Transfer Agent Name: American Stock Transfer & Trust, LLC

Transfer Agent File No.: 084-00416

Transfer Agent Lei: 254900TS5EWP83BEOU02

Transfer Agent State Country

Is Transfer Agent Affiliated? No

Is Transfer Agent Sub-Agent? No

Is Transfer Agent Hired or Terminated? No

Is Pricing Service Hired or Terminated? No

Custodians:

Custodian:

Custodian Name: US Bank, N.A.

Custodian Lei: 5493001WC5CQQI9L9G80

Custodian State Country

Is Custodian Affiliated? No

Is Sub-Custodian? No

Custody Type: Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

Is Custodian Hired or Terminated? Yes

Is Shareholder Service Hired Terminated? No

Is Admin Hired or Terminated? No

Broker Dealers:

Broker Dealer:

Broker Dealer Name: 180 Degree Capital BD, LLC

Broker Dealer File No.: 008-70044

Broker Dealer CRD No.: 000290955

Broker Dealer Lei: N/A

Broker Dealer State Country

Broker Dealer Commission: 0

Brokers:

Broker:

Broker Name: Lake Street Capital Markets, LLC

Broker File No.: 008-69101

Broker CRD No.: 000164447

Broker Lei: N/A

Broker State Country

Gross Commission: 17,107.6

Broker:

Broker Name: Raymond James & Associates, Inc.

Broker File No.: 008-10999

Broker CRD No.: 000000705

Broker Lei: U4ONQX15J3RO8XCKE979

Broker State Country

Gross Commission: 2,817.17

Broker:

Broker Name: J.P. Morgan Securities, LLC

Broker File No.: 008-35008

Broker CRD No.: 000000079

Broker Lei: ZBUT11V806EZRVTWT807

Broker State Country

Gross Commission: 13200

Broker:

Broker Name: The Benchmark Company, LLC

Broker File No.: 008-40081

Broker CRD No.: 000022982

Broker Lei: 254900WNB33E53292541

Broker State Country

Gross Commission: 4,073.73

Broker:

Broker Name: Arcadia Securities, LLC

Broker File No.: 008-50764

Broker CRD No.: 000044656

Broker Lei: N/A

Broker State Country

Gross Commission: 2,411.57

Broker:

Broker Name: Goldman Sachs & Co., LLC

Broker File No.: 008-00129

Broker CRD No.: 000000361

Broker Lei: FOR8UP27PHTHYVLBNG30

Broker State Country

Gross Commission: 40,316.83

Broker:

Broker Name: B. Riley FBR, Inc.

Broker File No.: 008-41426

Broker CRD No.: 000025027

Broker Lei: 2549005CLOSQO0MJEA57

Broker State Country

Gross Commission: 56,134.4

Broker:

Broker Name: JonesTrading Institutional Services, Inc.

Broker File No.: 008-26089

Broker CRD No.: 000006888

Broker Lei: 2138008JJ5PA8H5UIL69

Broker State Country

Gross Commission: 44,243.34

Broker:

Broker Name: Needham & Company, LLC

Broker File No.: 008-33772

Broker CRD No.: 000016360

Broker Lei: 254900J2GFQ4J4NK1J89

Broker State Country

Gross Commission: 4,812.24

Broker:

Broker Name: Monness, Crespi, Hardt & Co., Inc.

Broker File No.: 008-21380

Broker CRD No.: 000007424

Broker Lei: 54930082M4TGAELJ8Y15

Broker State Country

Gross Commission: 4,100.74

Aggregate Commission: 191,476.35

Principal Transactions:

Principal Transaction:

Principal Name: B. Riley FBR, Inc.

Principal File No.: 008-41426

Principal CRD No.: 000025027

Principal Lei: 2549005CLOSQO0MJEA57

Principal State Country

Principal Total Purchase Sale: 8,361,277.46

Principal Transaction:

Principal Name: JonesTrading Institutional Service, Inc.

Principal File No.: 008-26089

Principal CRD No.: 000006888

Principal Lei: 2138008JJ5PA8H5UIL69

Principal State Country

Principal Total Purchase Sale: 6,646,316.77

Principal Transaction:

Principal Name: Goldman, Sachs & Co, LLC.

Principal File No.: 008-00129

Principal CRD No.: 000000361

Principal Lei: FOR8UP27PHTHYVLBNG30

Principal State Country

Principal Total Purchase Sale: 24,057,357.19

Principal Transaction:

Principal Name: J.P.Morgan Securities, LLC

Principal File No.: 008-35008

Principal CRD No.: 000000079

Principal Lei: ZBUT11V806EZRVTWT807

Principal State Country

Principal Total Purchase Sale: 15,345,098.73

Principal Transaction:

Principal Name: Raymond James & Associates, Inc.

Principal File No.: 008-10999

Principal CRD No.: 000000705

Principal Lei: U4ONQX15J3RO8XCKE979

Principal State Country

Principal Total Purchase Sale: 9,502,321.08

Principal Transaction:

Principal Name: Lake Street Capital Markets, LLC

Principal File No.: 008-69101

Principal CRD No.: 000164447

Principal Lei: N/A

Principal State Country

Principal Total Purchase Sale: 1,967,698.92

Principal Transaction:

Principal Name: The Benchmark Company LLC

Principal File No.: 008-40081

Principal CRD No.: 000022982

Principal Lei: 254900WNB33E53292541

Principal State Country

Principal Total Purchase Sale: 570,030.48

Principal Transaction:

Principal Name: Needham & Company, LLC

Principal File No.: 008-33772

Principal CRD No.: 000016360

Principal Lei: 254900J2GFQ4J4NK1J89

Principal State Country

Principal Total Purchase Sale: 566,343.92

Principal Transaction:

Principal Name: Craig-Hallum Capital Markets, LLC

Principal File No.: 008-65407

Principal CRD No.: 000121395

Principal Lei: 549300YWNPUXBR9XZW77

Principal State Country

Principal Total Purchase Sale: 381,105.14

Principal Transaction:

Principal Name: Monness, Crespi, Hardt & Co., Inc.

Principal File No.: 008-21380

Principal CRD No.: 000007424

Principal Lei: 54930082M4TGAELJ8Y15

Principal State Country

Principal Total Purchase Sale: 352,450.78

Principal Aggregate Purchase: 68,014,288.52

Is Brokerage Research Payment? No

Mnthly Avg Net Assets: 90,535,597

Closed End Management Investment:

Security Related Items:

Security Related Item:

Description: Common stock

Security Class Title: Common Stock

Common Stocks:

Common Stock

Is Rights Offering? No

Is Secondary Offering? No

Is Repurchase Security? No

Is Default Long Term Debt? No

Is Dividends in Arrears? No

Is Securities Modified? No

Management Fee: 0.0

Net Operating Expenses: 6.4

Market Price Per Share: 2.15

Net Asset Value Per Share: 3.06

Attachments Tab:

Is Legal Proceedings? No

Is Provision Financial Support? No

Is IPA Report Internal Control? Yes

Is Change Acc Principles? No

Is Info Required EO? No

Is Other Info Required? No

Is Material Amendments? No

Is Inst Defining Rights? No

Is New or Amended Inv Adv Contracts? No

Is Info Item 405? No

Is Code of Ethics? No

Signature

180 Degree Capital Corp./NY – ‘N-CEN’ for 12/31/19

On: Monday, 2/24/20, at 4:03pm ET · Effective: 2/24/20 · For: 12/31/19 · Accession #: 893739-20-12 · File #: 811-07074

Previous ‘N-CEN’: ‘N-CEN’ on 2/25/19 for 12/31/18 · Next: ‘N-CEN’ on 2/22/21 for 12/31/20 · Latest: ‘N-CEN’ on 2/20/24 for 12/31/23

Annual Report by an Investment Company — Form N-CEN
Filing Table of Contents

‘N-CEN’ — Annual Report by an Investment Company — primary_doc.xml/2.1

This ‘N-CEN’ Document is an XML Data File that may be rendered in various formats:

180 Degree Capital Corp./NY – ‘N-CEN’ for 12/31/19

On: Monday, 2/24/20, at 4:03pm ET · Effective: 2/24/20 · For: 12/31/19 · Accession #: 893739-20-12 · File #: 811-07074

Previous ‘N-CEN’: ‘N-CEN’ on 2/25/19 for 12/31/18 · Next: ‘N-CEN’ on 2/22/21 for 12/31/20 · Latest: ‘N-CEN’ on 2/20/24 for 12/31/23

Annual Report by an Investment Company — Form N-CENFiling Table of Contents

‘N-CEN’ — Annual Report by an Investment Company — primary_doc.xml/2.1

This ‘N-CEN’ Document is an XML Data File that may be rendered in various formats:

Annual Report by an Investment Company — Form N-CEN
Filing Table of Contents