XRDC / Crossroads Capital, Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

- TERMINATION OF REGISTRATION

15-12G 1 xlt-1512g010621.htm TERMINATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATE AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 000-53504 Crossroads

Financial Statements and Exhibits, Other Events - CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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) December 18, 2020 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

Crossroads Liquidating Trust 8-K

Crossroads Liquidating Trust 8-K Exhibit 99.1 December 18, 2020 RE: CROSSROADS LIQUIDATING TRUST – FINAL CASH DISTRIBUTION AND TERMINATION OF THE TRUST Dear Crossroads Liquidating Trust Beneficiary: Crossroads Liquidating Trust (the “Trust”) will pay its final cash distribution of $0.14989 per unit on or about December 18, 2020 to the holders of beneficial interests in the Liquidating Trust as of

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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) June 23, 2020 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

FIRST AMENDMENT TO LIQUIDATING TRUST AGREEMENT

EX-10.1 2 ex10-1.htm FIRST AMENDMENT TO THE LIQUIDATING TRUST AGREEMENT CROSSROADS LIQUIDATING TRUST 8-K Exhibit 10.1 FIRST AMENDMENT TO LIQUIDATING TRUST AGREEMENT THIS FIRST AMENDMENT TO LIQUIDATING TRUST AGREEMENT (“Amendment”) is dated as of June 23, 2020 (the “Effective Date”), by Crossroads Liquidating Trust, a Maryland statutory trust (the “Trust”) and Andrew Dakos, Phillip Goldstein and Ge

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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) May 15, 2020 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

Annual Report - ANNUAL REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K ☐ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504* Crossroads Liquidating Trust (Exact Name of Registrant as Specified in its Charter) Maryland 82-6403908 State or Other Jurisdiction of Incorporation or Organization I.

Crossroads Liquidating Trust 8-K

Crossroads Liquidating Trust 8-K Exhibit 99.1 May 15, 2020 RE: CROSSROADS LIQUIDATING TRUST - 2019 ANNUAL REPORT Dear Crossroads Liquidating Trust Beneficiary: We filed the Annual Report for Crossroads Liquidating Trust (the “Trust”) on Form 10-K for the year ended December 31, 2019 with the U.S. Securities and Exchange Commission on May 15, 2020. A link to the electronic version of the Form 10-K

Description of Trust Units

Crossroads Liquidating Trust 10-K Exhibit 4.1 Description of Trust Units General The following description of the Trust Units (defined below) in Crossroads Liquidating Trust (the “Trust”) is a summary and does not purport to be complete. It is subject to and qualified in its entirety by reference to the Liquidating Trust Agreement (the “Trust Agreement”), which is incorporated by reference as Exhi

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 31, 2020 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

Other Events

8-K 1 xrdc-8k010720.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 7, 2020 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other j

Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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) September 10, 2019 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

CROSSROADS LIQUIDATING TRUST ANNOUNCES CASH DISTRIBUTION

EX-99.1 2 ex99-1.htm PRESS RELEASE CROSSROADS LIQUIDATING TRUST 8-K Exhibit 99.1 FOR IMMEDIATE RELEASE CROSSROADS LIQUIDATING TRUST ANNOUNCES CASH DISTRIBUTION September 10, 2019 – LINCOLN, NE – Crossroads Liquidating Trust (the “Liquidating Trust”) today announced that it will pay a cash distribution of $0.35 per unit (the “Distribution”) on or around September 10, 2019 to the holders of benefici

Crossroads Liquidating Trust 8-K

EX-99.1 2 ex99-1.htm BENEFICIARY LETTER Crossroads Liquidating Trust 8-K Exhibit 99.1 March 28, 2019 RE: CROSSROADS LIQUIDATING TRUST - 2018 ANNUAL REPORT Dear Crossroads Liquidating Trust Beneficiary: We filed the Annual Report for Crossroads Liquidating Trust (the “Trust”) on Form 10-K for the year ended December 31, 2018 with the U.S. Securities and Exchange Commission on March 28, 2019. A link

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 28, 2019 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

Crossroads Liquidating Trust 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K ☐ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504* Crossroads Liquidating Trust (Exact Name of Registrant as Specified in its Charter) Maryland 82-6403908 (State or Other Jurisdiction of Incorporation or Organization) (I.

Crossroads Liquidating Trust 8-K

EX-99.1 2 ex99-1.htm BENEFICIARY LETTER DATED MARCH 28, 2018 Crossroads Liquidating Trust 8-K Exhibit 99.1 March 28, 2018 RE: CROSSROADS LIQUIDATING TRUST - 2017 ANNUAL REPORT Dear Crossroads Liquidating Trust Beneficiary: We filed Crossroad’s Liquidating Trust’s Annual Report on Form 10-K for the year ended December 31, 2017 with the U.S. Securities and Exchange Commission on March 28, 2018. A li

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 xrdc-8k032818.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 28, 2018 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other ju

Crossroads Liquidating Trust 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K ☐ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504* Crossroads Liquidating Trust (Exact Name of Registrant as Specified in its Charter) Maryland 82-6403908 (State or Other Jurisdiction of Incorporation or Organization) (I.

BDCV / BDCA Venture, Inc. / RIVERNORTH CAPITAL MANAGEMENT, LLC - SCHEDULE 13 G/A (AMENDMENT NO. 2) Passive Investment

SC 13G/A 1 sc13ga021318.htm SCHEDULE 13 G/A (AMENDMENT NO. 2) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Crossroads Capital, Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 227656105 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check

BDCV / BDCA Venture, Inc. / Yakira Capital Management, Inc. - 13G_XRDC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CROSSROADS CAPITAL, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 227656105 (CUSIP Number) DECEMBER 29, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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) December 22, 2017 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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) June 29, 2017 CROSSROADS LIQUIDATING TRUST (Exact name of registrant as specified in its chapter) Maryland 000-53504 82-6403908 (State or other jurisdiction Of incorporation) (Commission File Number) (IRS Employer Identification No.

CROSSROADS LIQUIDATING TRUST ANNOUNCES CASH DISTRIBUTION

Crossroads Liquidating Trust 8-K Exhibit 99.1 FOR IMMEDIATE RELEASE CROSSROADS LIQUIDATING TRUST ANNOUNCES CASH DISTRIBUTION June 30, 2017 – LINCOLN, NE – Crossroads Liquidating Trust (the “Liquidating Trust”) today announced that it will pay a cash distribution of $1.60 per unit (the “Distribution”) to the holders of beneficial interests in the Liquidating Trust on or around July 12, 2017. Liquid

CROSSROADS CAPITAL ANNOUNCES RESULTS OF SPECIAL MEETING & CONVERSION TO LIQUIDATING TRUST

EX-99.1 6 ex99-1.htm PRESS RELEASE Crossroads Capital, Inc. 8-K Exhibit 99.1 FOR IMMEDIATE RELEASE CROSSROADS CAPITAL ANNOUNCES RESULTS OF SPECIAL MEETING & CONVERSION TO LIQUIDATING TRUST June 23, 2017 – LINCOLN, NE – Crossroads Capital, Inc. (the “Company”) announced the results of its reconvened special meeting held on June 23, 2017. The Company’s special meeting of stockholders was convened on

Articles of Conversion, as filed with the State Department of Assessments and Taxation of the State of Maryland on June 23, 2017

EX-3.1 3 ex3-1.htm ARTICLES OF CONVERSION Crossroads Capital, Inc. 8-K Exhibit 3.1 ARTICLES OF CONVERSION CONVERTING CROSSROADS CAPITAL, INC. TO CROSSROADS LIQUIDATING TRUST Pursuant to the provisions of §3-903 of the Maryland General Corporation law, Crossroads Capital, Inc., a Maryland Corporation, hereby certifies as follows: Article I The name of the Maryland Corporation is Crossroads Capital,

Liquidating Trust Agreement, dated June 23, 2017

EX-10.1 5 ex10-1.htm LIQUIDATING TRUST AGREEMENT Crossroads Capital, Inc. 8-K Exhibit 10.1 LIQUIDATING TRUST AGREEMENT THIS LIQUIDATING TRUST AGREEMENT (this “Agreement”) is dated as of June 23, 2017 (the “Effective Date”), by and among Crossroads Capital, Inc. (the ”Company”), and Andrew Dakos, Phillip Goldstein and Gerald Hellerman (collectively, and including any successors thereto, the “Truste

Plan of Liquidation, dated May 3, 2016

EX-2.1 2 ex2-1.htm PLAN OF LIQUIDATION Crossroads Capital, Inc. 8-K Exhibit 2.1 PLAN OF LIQUIDATION This Plan of Liquidation (the “Plan”), dated as of May 3, 2016, of Crossroads Capital, Inc., a Maryland corporation (the “Company”), is intended to accomplish the complete liquidation and conversion of the Company in accordance with the Maryland General Corporation Law. RECITALS WHEREAS, the Company

Certificate of Trust, as filed with the State Department of Assessments and Taxation of the State of Maryland on June 23, 2017

Crossroads Capital, Inc. 8-K Exhibit 3.2 CERTIFICATE OF TRUST THIS IS TO CERTIFY THAT: The undersigned trustees hereby form a statutory trust pursuant to the laws of the State of Maryland. 1. Trust Name. The name of the statutory trust is Crossroads Liquidating Trust. 2. Resident Agent. The name and address of the Resident Agent of the Trust are The Corporation Trust Incorporated, 351 West Camden

Material Modification to Rights of Security Holders, Entry into a Material Definitive Agreement, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Submission of Matters to a Vote of Security Holders, Other Events, Financial Statements and Exhibits

8-K 1 xrdc-8k062317.htm CURRENT REPORT 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): June 23, 2017 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other juri

Crossroads Capital NOTICE OF WITHDRAWAL

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 election

Crossroads Capital NOTIFICAITON OF WITHDRAWAL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 000-53504 Crossroads Capital, Inc., Nasdaq Capital Market (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 128 N

CROSSROADS CAPITAL ANNOUNCES RESULTS OF ANNUAL AND SPECIAL MEETINGS, DELISTING OF COMMON STOCK

EX-99.1 2 ex99-1.htm PRESS RELEASE CROSSROADS CAPITAL, INC. 8-K Exhibit 99.1 FOR IMMEDIATE RELEASE CROSSROADS CAPITAL ANNOUNCES RESULTS OF ANNUAL AND SPECIAL MEETINGS, DELISTING OF COMMON STOCK June 2, 2017 – LINCOLN, NE – Crossroads Capital, Inc. (the “Company”) (NASDAQ: XRDC) announced the results of its annual and special meetings of stockholders, both held on June 2, 2017. At the special meeti

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Submission of Matters to a Vote of Security Holders, Financial Statements and Exhibits

8-K 1 xrdc-8k060217.htm CURRENT REPORT 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): June 2, 2017 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other juris

Crossroads Capital ADDITIONAL MATERIAL

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 ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240.

Regulation FD Disclosure, Financial Statements and Exhibits

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): May 11, 2017 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission F

Crossroads Capital Announces Extension of Stock Repurchase Program and Filing of Quarterly Report on Form 10-Q

EX-99.1 2 ex99-1.htm PRESS RELEASE CROSSROADS CAPITAL, INC. 8-K Exhibit 99.1 FOR IMMEDIATE RELEASE Crossroads Capital Announces Extension of Stock Repurchase Program and Filing of Quarterly Report on Form 10-Q May 11, 2017 – Lincoln, NE – The Board of Directors of Crossroads Capital, Inc. (Nasdaq: XRDC) (the “Company”) has authorized a further extension of the Company’s stock repurchase program fo

Crossroads Capital, Inc 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 Crossroads Capital, Inc.

Crossroads Capital DEFINITIVE ADDITIONAL MATERIALS

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 ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240.

Crossroads Capital DEFINITIVE PROXY STATMENT

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 ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240.

Crossroads Capital DEFINITIVE PROXY STATEMENT

DEF 14A 1 xrdc-def14a042417.htm DEFINITIVE PROXY STATEMENT 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 ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only

Crossroads Capital ESP

CROSSROADS CAPITAL, INC. 128 N. 13th Street, Suite 1100 Lincoln, NE 68508 April 17, 2017 VIA EDGAR AND EMAIL Mr. Edward P. Bartz, Esq. Senior Counsel U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Crossroads Capital, Inc. (the ?Company?) Amended Preliminary Proxy Statement on Form PRER14A Filed on April 5, 2017 (File No. 814-

Crossroads Capital ESP

CROSSROADS CAPITAL, INC. 128 N. 13th Street, Suite 1100 Lincoln, NE 68508 April 14, 2017 VIA EDGAR AND EMAIL Mr. Ken Ellington U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review Office 100 F Street, N.E. Washington, D.C. 20549 [email protected] Re: Crossroads Capital, Inc. (the “Company”) Financial Statement Review for the period ended December 31, 2015 F

Crossroads Capital AMENDED PRELIMINARY PROXY STATEMENT

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 ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240.

Crossroads Capital ESP

CROSSROADS CAPITAL, INC. 128 N. 13th Street, Suite 1100 Lincoln, NE 68508 April 5, 2017 VIA EDGAR AND FEDERAL EXPRESS Mr. Ed. Bartz U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Crossroads Capital, Inc. (the ?Company?) Preliminary Proxy Statement on Schedule 14A File No. 814-00778 Dear Mr. Bartz: On behalf of the Company, se

Crossroads Capital Announces Filing of Its Annual Report on Form 10-K

Crossroads Capital, Inc. 8-K Exhibit 99.1 FOR IMMEDIATE RELEASE Crossroads Capital Announces Filing of Its Annual Report on Form 10-K March 31, 2017 ? Lincoln, NE ? Crossroads Capital, Inc. (Nasdaq: XRDC) has filed its Annual Report on Form 10-K for the year ended December 31, 2016 with the U.S. Securities and Exchange Commission. A copy of the Annual Report on Form 10-K is available at www.xroads

Regulation FD Disclosure, Financial Statements and Exhibits

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 31, 2017 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

STOCK PURCHASE AGREEMENT

Crossroads Capital, Inc. 10-K Exhibit 10.11 EXECUTION VERSION STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made and entered into as of December 7, 2016 by and among Novirian Pacific, LP and Novirian Palomar, LP (together, the “Buyers” and each, a “Buyer”), Crossroads Capital, Inc., formerly known as Keating Capital, Inc. (“Seller”), and for purposes of Section 4 only

SECURITIES TRANSFER AGREEMENT

EX-10.13 4 ex10-13.htm SECURITIES TRANSFER AGREEMENT, DATED MARCH [], 2017 Crossroads Capital, Inc. 10-K Exhibit 10.13 SECURITIES TRANSFER AGREEMENT THIS SECURITIES TRANSFER AGREEMENT (this “Agreement”) is made as of March [], 2017 (the “Effective Date”), by and among Crossroads Capital, Inc., a Maryland corporation (“Seller”), the persons and entities set forth on the Schedule of Purchasers attac

Crossroads Capital, Inc. 10-K

10-K 1 xrdc-10k123116.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K ☐ 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 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 Crossroads Capital, I

REPURCHASE AGREEMENT

EX-10.12 3 ex10-12.htm REPURCHASE AGREEMENT, DATED NOVEMBER 29, 2016 Crossroads Capital, Inc. 10-K Exhibit 10.12 REPURCHASE AGREEMENT This Repurchase Agreement (the “Agreement”) is entered into as of November 29, 2016 (the “Effective Date”) by and between Metabolon, Inc., a Delaware corporation (the “Company”), and the undersigned stockholder of the Company (the “Seller”). RECITALS WHEREAS, the Se

BDCV / BDCA Venture, Inc. / RIVERNORTH CAPITAL MANAGEMENT, LLC - SCHEDULE 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Crossroads Capital, Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 227656105 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

8-K 1 v4567558k.htm FORM 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): January 6, 2017 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): December 7, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commissi

Crossroads Capital Announces Disposition of Shares in Centrify Corporation

EX-99.1 2 v454626ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Crossroads Capital Announces Disposition of Shares in Centrify Corporation LINCOLN, Neb., Dec. 8, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) (the "Company") has announced the sale of its entire position in Centrify Corporation ("Centrify"). On December 7, 2016, the Company sold its entire position of 1,084,873 shares of Centrif

Crossroads Capital Announces Disposition of Shares in Metabolon, Inc.

EX-99.1 2 v454454ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Crossroads Capital Announces Disposition of Shares in Metabolon, Inc. LINCOLN, Neb., Dec. 5, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) (the "Company") has announced the disposition of a portion of its position in Metabolon, Inc. ("Metabolon"). On November 29, 2016, the Company sold 1,338,302 shares of Metabolon Series D prefer

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): November 29, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commiss

Regulation FD Disclosure, Financial Statements and Exhibits

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): November 10, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commiss

Crossroads Capital Announces Filing of Its Quarterly Report and Extension of Stock Repurchase Program

Exhibit 99.1 Crossroads Capital Announces Filing of Its Quarterly Report and Extension of Stock Repurchase Program LINCOLN, Neb., Nov. 10, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) has filed its Quarterly Report on Form 10-Q for the quarter ended September 30, 2016 with the U.S. Securities and Exchange Commission. A copy of the Quarterly Report on Form 10-Q is available at www.xr

Crossroads Capital FORM 10-Q (Quarterly Report)

10-Q 1 v45260710q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 Crossroad

Regulation FD Disclosure, Financial Statements and Exhibits

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): September 21, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commis

Crossroads Capital Announces Portfolio Company Shutdown

Exhibit 99.1 Crossroads Capital Announces Portfolio Company Shutdown LINCOLN, Neb., Sept. 21, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) (the "Company") has announced that Mode Media Corporation ("Mode Media"), a Crossroads Capital portfolio company, ceased operations on September 15, 2016. The fair value of the Company's investment in Mode Media as of June 30, 2016, was $1,410,00

Crossroads Capital Announces Engagement of Setter Capital

Exhibit 99.1 Crossroads Capital Announces Engagement of Setter Capital LINCOLN, Neb., Aug. 25, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) (the "Company") has announced the engagement of Setter Capital, a Toronto-based secondary market advisory firm, to assist the Company in identifying prospective buyers for the Company's portfolio investments. The Company's Board of Directors (th

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

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): August 23, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commissio

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

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): August 23, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commissio

Crossroads Capital Announces Engagement of Setter Capital

Exhibit 99.1 Crossroads Capital Announces Engagement of Setter Capital LINCOLN, Neb., Aug. 25, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) (the "Company") has announced the engagement of Setter Capital, a Toronto-based secondary market advisory firm, to assist the Company in identifying prospective buyers for the Company's portfolio investments. The Company's Board of Directors (th

Regulation FD Disclosure, Financial Statements and Exhibits

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): August 12, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commissio

Crossroads Capital Announces Filing of Its Quarterly Report on Form 10-Q

Exhibit 99.1 Crossroads Capital Announces Filing of Its Quarterly Report on Form 10-Q LINCOLN, Neb., Aug. 12, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) has filed its Quarterly Report on Form 10-Q for the quarter ended June 30, 2016 with the U.S. Securities and Exchange Commission. A copy of the Quarterly Report on Form 10-Q is available at www.xroadscap.com within the Investor Re

Crossroads Capital 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 Crossroads Capital, Inc.

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): June 30, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

Crossroads Capital Announces Appointment of New Director

EX-99.1 2 v443713ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Crossroads Capital Announces Appointment of New Director LINCOLN, Neb., July 6, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) announced today that it has appointed Phillip Goldstein to serve on its Board of Directors (the "Board") to fill a vacancy created by the resignation of Richard Cohen. On June 30, 2016, Mr. Cohen notified t

Crossroads Capital PRER14A

SCHEDULE 14A INFORMATION 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: x Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240.

Crossroads Capital Announces Filing of Its Quarterly Report on Form 10-Q

EX-99.1 2 v440006ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Crossroads Capital Announces Filing of Its Quarterly Report on Form 10-Q LINCOLN, Neb., May 16, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) has filed its Quarterly Report on Form 10-Q for the quarter ended March 31, 2016 with the U.S. Securities and Exchange Commission. A copy of the Quarterly Report on Form 10-Q is available at

Regulation FD Disclosure, Financial Statements and Exhibits

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): May 16, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission F

XRDC / Crossroads Capital, Inc. 10-Q - Quarterly Report - FORM 10-Q

10-Q 1 v43974410q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 Crossroads Ca

Crossroads Capital PRE 14A

SCHEDULE 14A INFORMATION 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: x Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240.

Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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): May 3, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fi

April 27, 2016

EX-16.1 2 v438776ex16-1.htm EXHIBIT 16.1 Exhibit 16.1 April 27, 2016 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, N. E. Washington, D.C. 20549 Ladies and Gentlemen: We have read the comments made regarding us in Item 4.01 of Form 8-K of Crossroads Capital, Inc. dated April 27, 2016, and we agree with such statements, except that we are not in a position to agree

XRDC / Crossroads Capital, Inc. 10-K/A - Annual Report - FORM 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A Amendment No.

Custodial Agreement

Exhibit 10.5 Custodial Agreement You, the undersigned, enter into this Custodial Agreement (this “Agreement”) with Frontier Bank, a Nebraska banking corporation (“we” or “us”). 1. Pursuant to this Agreement, you authorize us (as your “Relationship Institution”) to hold and act as your custodian with respect to all deposit accounts, including all time deposits, money market deposit accounts, and de

Regulation FD Disclosure, Financial Statements and Exhibits

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 29, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

XRDC / Crossroads Capital, Inc. 10-K - Annual Report - FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 Crossroads Capital, Inc.

Crossroads Capital Announces Filing of Its Annual Report on Form 10-K

EX-99.1 2 v435515ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Crossroads Capital Announces Filing of Its Annual Report on Form 10-K LINCOLN, Neb., March 29, 2016 /PRNewswire/ - Crossroads Capital, Inc. (Nasdaq: XRDC) has filed its Annual Report on Form 10-K for the year ended December 31, 2015 with the U.S. Securities and Exchange Commission. A copy of the Annual Report on Form 10-K is available at www.xr

BDCV / BDCA Venture, Inc. / RIVERNORTH CAPITAL MANAGEMENT, LLC - SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Crossroads Capital, Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 227656105 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi

Crossroads Capital Announces Plan Intended to Maximize Shareholder Value Company to Pursue the Sale of Its Portfolio Investments Board Approves Amendment to Stock Repurchase Program

EX-99.1 2 a51265357ex991.htm EXHIBIT 99.1 Exhibit 99.1 Crossroads Capital Announces Plan Intended to Maximize Shareholder Value Company to Pursue the Sale of Its Portfolio Investments Board Approves Amendment to Stock Repurchase Program LINCOLN, Neb.-(BUSINESS WIRE)-January 25, 2016-Crossroads Capital (Nasdaq: XRDC) announced today it will pursue the sale of its existing portfolio investments with

Crossroads Capital CROSSROADS CAPITAL, INC. 8-K (Current Report/Significant Event)

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 22, 2016 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commissi

BDCA VENTURE, INC. AMENDMENT TO AMENDED AND RESTATED BYLAWS

EX-3.2 3 a51235984ex32.htm EXHIBIT 3.2 Exhibit 3.2 BDCA VENTURE, INC. AMENDMENT TO AMENDED AND RESTATED BYLAWS WHEREAS, the Board of Directors has previously approved an Articles of Amendment to the change in the name of BDCA Venture, Inc. (the “Company”) to Crossroads Capital, Inc. (the “Charter Amendment”); and WHEREAS, in connection with the Charter Amendment, the Board of Directors believes th

Crossroads Capital CROSSROADS CAPITAL, INC. 8-K (Current Report/Significant Event)

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): December 2, 2015 CROSSROADS CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commissi

BDCA Venture Announces Changes in Name and Ticker Symbol Board Also Announces Appointment of New Officers

EX-99.1 4 a51235984ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Announces Changes in Name and Ticker Symbol Board Also Announces Appointment of New Officers LINCOLN, Neb.-(BUSINESS WIRE)-December 2, 2015-BDCA Venture, Inc. (“BDCA Venture” or the “Company”) (Nasdaq: BDCV), a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 19

BDCA VENTURE, INC. ARTICLES OF AMENDMENT

EX-3.1 2 a51235984ex31.htm EXHIBIT 3.1 Exhibit 3.1 BDCA VENTURE, INC. ARTICLES OF AMENDMENT BDCA Venture, Inc., a Maryland corporation (the “Company”), having its principal office in the State of Maryland, hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”) that: FIRST: The Company desires to, and does hereby, amend its charter (the “Charter”) as cur

ADMINISTRATION SERVICING AGREEMENT

EX-10.1 2 a51225583ex101.htm EXHIBIT 10.1 Exhibit 10.1 ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 10th day of November, 2015, by and between BDCA VENTURE, INC., a Maryland corporation (the “Fund”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”). WHEREAS, the Fund is a closed-end management investment company that has

FUND ACCOUNTING SERVICING AGREEMENT

EX-10.2 3 a51225583ex102.htm EXHIBIT 10.2 Exhibit 10.2 FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 10th day of November, 2015, by and between BDCA VENTURE, INC., a Maryland corporation (the “Fund”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”). WHEREAS, the Fund is a closed-end management investment company that has

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

a51225583.htm 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): November 10, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation)

ADMINISTRATOR CONSULTING AGREEMENT

EX-10.3 4 a51225583ex103.htm EXHIBIT 10.3 Exhibit 10.3 ADMINISTRATOR CONSULTING AGREEMENT THIS AGREEMENT is made as of this 13th day of November, 2015, by and between BDCA Venture, Inc. (the “Fund”), a Maryland corporation, and 1100 Capital Consulting, LLC (the “Administrator”), a Nebraska limited liability company. WHEREAS, the Fund is a closed-end investment company that has elected to be regula

BDCA Venture Reports Q3 2015 Results

EX-99.1 2 a51223032ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Reports Q3 2015 Results GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-November 12, 2015-BDCA Venture, Inc. (“BDCA Venture” or the “Company”) (Nasdaq: BDCV), a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (the “1940 Act”), announced today operatin

Regulation FD Disclosure, Financial Statements and Exhibits

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): November 12, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 BDCA Venture, Inc.

Other Events

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): October 15, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

BDCA Venture Announces Termination of Investment Advisory Agreement Board Implements Plan to Become Internally Managed

Exhibit 99.1 BDCA Venture Announces Termination of Investment Advisory Agreement Board Implements Plan to Become Internally Managed NEW YORK-(BUSINESS WIRE)-October 7, 2015-BDCA Venture, Inc. (?BDCA Venture? or the ?Company?) (Nasdaq: BDCV), a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (the ?1940 Act?), an

Regulation FD Disclosure, Termination of a Material Definitive Agreement, Financial Statements and Exhibits

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): October 5, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

INDEMNIFICATION AGREEMENT

EX-10.3 2 bdcaventure-exhibit103xind.htm EXHIBIT 10.3 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into as of this day of , 201, by and between BDCA Venture, Inc., a Maryland corporation (the “Company”), and the undersigned (“Indemnitee”). WHEREAS, at the request of the Company, Indemnitee currently serves as an executive officer and/or director o

Regulation FD Disclosure, Financial Statements and Exhibits

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): August 12, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 BDCA Venture, Inc.

BDCA Venture Reports Q2 2015 Results

Exhibit 99.1 BDCA Venture Reports Q2 2015 Results GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-August 12, 2015-BDCA Venture, Inc. (“BDCA Venture” or the “Company”) (Nasdaq: BDCV), a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (the “1940 Act”), announced today operating and financial results for the three and si

July 31, 2015

SUTHERLAND ASBILL & BRENNAN LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 202.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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: July 28, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identifica

BDCA Venture, Inc. Announces Final Voting Results from 2015 Annual Meeting

EX-99.1 2 a51146833ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture, Inc. Announces Final Voting Results from 2015 Annual Meeting GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-July 22, 2015-BDCA Venture, Inc. (the “Company”) announced that it received final voting results for the 2015 Annual Meeting of Stockholders held on July 9, 2015 (“Annual Meeting”). On July 21, 2015, IVS Associates, Inc., the ind

Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 22, 2015 (July 9, 2015) BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (

BDCA Venture, Inc. Announces Election of New Directors and Results on Other Proposals Presented at 2015 Annual Meeting

EX-99.1 2 a51141782ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture, Inc. Announces Election of New Directors and Results on Other Proposals Presented at 2015 Annual Meeting GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-July 14, 2015-At the 2015 Annual Meeting of Stockholders of BDCA Venture, Inc. (the “Company”) held on July 9, 2015, the Company’s stockholders elected four directors to serve until the

Crossroads Capital BDCA VENTURE, INC. 8-K (Current Report/Significant Event)

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): July 9, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Nu

Crossroads Capital BDCA VENTURE, INC DEFA14A

a51136819.htm 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA14A

a51134548.htm 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA 14 A

a51132500.htm 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA 14A

a51132501.htm 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 þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA14A

a51131777.htm 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 R Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA14A

a51129761.htm 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA14A

a51129371.htm 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA14A

a51128236.htm 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA14A

a51127782.htm 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: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEFA14A

a51126153.htm 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital BDCA VENTURE, INC. DEF 14A

a51112798.htm 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 þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Crossroads Capital ESP

a51104835.htm SUTHERLAND ASBILL & BRENNAN LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 202.383.0100 Fax 202.637.3593 www.sutherland.com CYNTHIA M. KRUS DIRECT LINE: 202.383.0218 E-mail: [email protected] May 18, 2015 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: BDCA Venture, Inc. ? Preliminary Proxy Statement on Schedule 1

Q1 2015 Investor Presentation Nasdaq: BDCV www.BDCV.com BDCA Venture, Inc.

EX-99.2 3 a51102289ex992.htm EXHIBIT 99.2 Exhibit 99.2 Q1 2015 Investor Presentation Nasdaq: BDCV www.BDCV.com BDCA Venture, Inc. Disclaimer 2 BDCA Venture, Inc. (“BDCA Venture”), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. BDCA Venture Adviser, LLC is an SEC registered investm

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 a51102289.htm BDCA VENTURE, INC. 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): May 14, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdi

BDCA Venture Reports Q1 2015 Results

EX-99.1 2 a51102289ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Reports Q1 2015 Results GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 14, 2015-BDCA Venture, Inc., a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (“BDCA Venture” or the “Company”) (Nasdaq: BDCV), announced today operating and financial result

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 BDCA Venture, Inc.

Crossroads Capital BDCA VENTURE, INC. PRE 14A

a51100567.htm 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 o Check the appropriate box: ? Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(

Business Development Corporation of America, Business Development Corporation of America II and BDCA Venture, Inc. Jointly Announce Issuance of SEC Notice on Application for Co-Investment Exemptive Relief

EX-99.1 2 a51102439ex991.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Business Development Corporation of America, Business Development Corporation of America II and BDCA Venture, Inc. Jointly Announce Issuance of SEC Notice on Application for Co-Investment Exemptive Relief New York, New York, May 13, 2015 ˗ Business Development Corporation of America (“BDCA”), Business Development Corporat

Crossroads Capital BDCA VENTURE, INC 8-K (Current Report/Significant Event)

a51102439.htm 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): May 11, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Comm

Crossroads Capital BDCA VENTURE, INC. 8-K (Current Report/Significant Event)

a51099476.htm 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: May 8, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employe

[BDCV Venture Letterhead] May 8, 2015

a51099476ex991.htm Exhibit 99.1 [BDCV Venture Letterhead] May 8, 2015 VIA FEDERAL EXPRESS Phillip Goldstein Full Value Partners L.P. 250 Pehle Ave, Suite 708 Saddle Brook, NJ 07663 Re: BDCA Venture, Inc. Dear Mr. Goldstein: We are in receipt of your letter, dated May 1, 2015 (the ?May Letter), submitted on behalf of the Bulldog Investors group. In the May Letter, you state that you intend to set f

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A Amendment No. 1

10-K/A 1 a51088792.htm BDCA VENTURE, INC. 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A Amendment No. 1 x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-

Crossroads Capital BDCA VENTURE, INC. 8-K (Current Report/Significant Event)

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: April 6, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identifica

Crossroads Capital BDCA VENTURE, INC. 8-K (Current Report/Significant Event)

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 26, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

Portf

Exhibit 99.2 Q4 2014 Investor Presentation Nasdaq: BDCV www.BDCV.com BDCA Venture, Inc. Disclaimer 2 BDCA Venture, Inc. (?BDCA Venture?), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. BDCA Venture Adviser, LLC is an SEC registered investment adviser and acts as the investment adv

BDCA Venture Reports 2014 Results and Announces 2015 Quarterly Distributions

EX-99.1 2 a51066729ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Reports 2014 Results and Announces 2015 Quarterly Distributions GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-March 26, 2015-BDCA Venture, Inc., a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (“BDCA Venture” or the “Company”) (Nasdaq: BDCV), anno

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 o TRANSITION REPORT PURSUANT TO SECTION

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 BDCA Venture, Inc.

Changes in Registrant's Certifying Accountant

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): February 11, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fi

BDCA Venture Announces the Resignation of Grant Thornton; Discussions Underway with Replacement Accounting Firms

EX-99.1 2 a51032784ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Announces the Resignation of Grant Thornton; Discussions Underway with Replacement Accounting Firms GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-February 4, 2015-BDCA Venture, Inc., a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (“BDCA Venture”

Regulation FD Disclosure, Financial Statements and Exhibits

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): February 4, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

Grant Thornton LLP

Exhibit 16.1 Grant Thornton LLP 175 West Jackson Boulevard, 20th Floor Chicago, IL 60604 T 312.856.0200 F 312.565.4719 www.GrantThornton.com February 3, 2015 U.S. Securities and Exchange Commission Office of the Chief Accountant 100 F Street, NE Washington, DC 20549 Re: BDCA Venture, Inc. File No. 000-53504 Dear Sir or Madam: We have read Item 4.01 of Form 8-K of BDCA Venture, Inc. dated February

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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 28, 2015 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

Financial Statements and Exhibits, Other Events

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): December 12, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fi

BDCA Venture Declares $0.395 per Share Special Dividend Fourth Quarter 2014 Dividend Payable in January

Exhibit 99.1 BDCA Venture Declares $0.395 per Share Special Dividend Fourth Quarter 2014 Dividend Payable in January GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-December 15, 2014-On December 12, 2014, the Board of Directors of BDCA Venture, Inc., a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended (“BDCA Venture” or

BDCA Venture Announces Sale of Three Portfolio Companies and Estimated Fourth Quarter Dividend Sales of TrueCar, Xtime and Stoke generate $6.4 million of net realized gains in the fourth quarter; Estimated $0.39 per share fourth quarter dividend base

EX-99.1 2 a50988970ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Announces Sale of Three Portfolio Companies and Estimated Fourth Quarter Dividend Sales of TrueCar, Xtime and Stoke generate $6.4 million of net realized gains in the fourth quarter; Estimated $0.39 per share fourth quarter dividend based on year-to-date net realized gains GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-November 20, 2014

Regulation FD Disclosure, Financial Statements and Exhibits

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): November 20, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fi

Regulation FD Disclosure

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): November 12, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation) 000-53504 (Commission File Number)

BDCA Venture Announces “Shareholder First” Initiative Payment of Base Management Fees Deferred to Realization by Company of Net Capital Gains Equal to Two Times the Base Management Fee Due Other Non-Investment Advisory Fee Operating Expenses to be Re

Exhibit 99.1 BDCA Venture Announces “Shareholder First” Initiative Payment of Base Management Fees Deferred to Realization by Company of Net Capital Gains Equal to Two Times the Base Management Fee Due Other Non-Investment Advisory Fee Operating Expenses to be Reduced by at Least 25% in 2015 GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-November 6, 2014-BDCA Venture, Inc., a closed-end fund that has el

Regulation FD Disclosure, Financial Statements and Exhibits

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): November 6, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

Regulation FD Disclosure, Financial Statements and Exhibits

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): October 29, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

Q3 2014 Investor Presentation Nasdaq: BDCV www.BDCV.com BDCV Venture, Inc. Disclaimer BDCA Venture, Inc. (“BDCA Venture”), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under the Inves

EX-99.1 2 a50971822ex991.htm EXHIBIT 99.1 Exhibit 99.1 Q3 2014 Investor Presentation Nasdaq: BDCV www.BDCV.com BDCV Venture, Inc. Disclaimer BDCA Venture, Inc. (“BDCA Venture”), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. BDCA Venture Adviser, LLC is an SEC registered investmen

BDCA Venture Reports Third Quarter 2014 Results New investment objective focused on current income Authorizes $5 million stock repurchase plan Launches expense reduction initiative Announces appointment of Katie P. Kurtz as Chief Financial Officer Re

EX-99.2 3 a50971822ex992.htm EXHIBIT 99.2 Exhibit 99.2 BDCA Venture Reports Third Quarter 2014 Results New investment objective focused on current income Authorizes $5 million stock repurchase plan Launches expense reduction initiative Announces appointment of Katie P. Kurtz as Chief Financial Officer Reports NAV of $6.89 Makes third quarter distribution of $0.10 per share; modifies distribution p

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-53504 BDCA Venture, Inc.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): September 24, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission F

Second Amendment to Custody Agreement

EX-10.6 2 a50950942ex106.htm EXHIBIT 10.6 Exhibit 10.6 Second Amendment to Custody Agreement This Second Amendment to that certain Custody Agreement by and between Keating Capital, Inc. n/k/a BDCA Venture, Inc. (“BDCA Venture”) and Steele Street Bank & Trust (the “Custodian”) dated November 18, 2008, as amended on December 21, 2012 (the “Custody Agreement”) is hereby entered into by BDCA Venture a

BDCA Venture Announces Two Strategic Initiatives to Enhance Stockholder Value

EX-99.1 2 a50949359-ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Announces Two Strategic Initiatives to Enhance Stockholder Value BDCA Venture changes its investment objective to emphasize current income Board of Directors authorizes $5 million stock repurchase program GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-September 25, 2014-BDCA Venture, Inc. announced today that its Board of Directors has

Financial Statements and Exhibits, Other Events

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): September 22, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission F

BDCA Venture Realizes $670,000 Gain from Portfolio Sale Kabam Position Sold in Private Transaction to Investment Fund

EX-99.1 2 a50919569ex991.htm EXHIBIT 99.1 Exhibit 99.1 BDCA Venture Realizes $670,000 Gain from Portfolio Sale Kabam Position Sold in Private Transaction to Investment Fund GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-August 6, 2014-BDCA Venture, Inc., (“BDCA Venture”) (Nasdaq: BDCV) announced today that it has completed the disposition of its entire position in Kabam, Inc. (“Kabam”) through a private

Regulation FD Disclosure, Financial Statements and Exhibits

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): August 6, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

BDCA Venture (f/k/a Keating Capital) Reports Second Quarter 2014 Results

EX-99.2 3 a50912814ex992.htm EXHIBIT 99.2 Exhibit 99.2 BDCA Venture (f/k/a Keating Capital) Reports Second Quarter 2014 Results Portfolio company TrueCar completes $70 million IPO Makes $3.0 million investment in new portfolio company Centrify Corporation Sees net increase in unrealized appreciation of $0.24 per share Makes second quarter distribution of $0.10 per share; paid on June 17, 2014 Repo

Regulation FD Disclosure, Financial Statements and Exhibits

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): July 28, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File N

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTER ENDED JUNE 30, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-53504 BDCA VENTURE, INC. (Exact name of registrant as specified in its char

Buy Privately, Sell Publicly, Capture the Difference™ Q2 2014 Investor Presentation Nasdaq: BDCV www.BDCV.com

EX-99.1 2 a50912814ex991.htm EXHIBIT 99.1 Exhibit 99.1 Buy Privately, Sell Publicly, Capture the Difference™ Q2 2014 Investor Presentation Nasdaq: BDCV www.BDCV.com Disclaimer Buy Privately, Sell Publicly, Capture the DifferenceTM BDCA Venture, Inc. (“BDCA Venture”), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under the Investment

KEATING CAPITAL, INC. ARTICLES OF AMENDMENT

Exhibit 3.1 KEATING CAPITAL, INC. ARTICLES OF AMENDMENT Keating Capital, Inc., a Maryland corporation (the “Company”), having its principal office in the State of Maryland, hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”) that: FIRST: The Company desires to, and does hereby, amend its charter (the “Charter”) as currently in effect as hereafter set

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

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): July 1, 2014 BDCA VENTURE, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Numb

TRADEMARK SUBLICENSE AGREEMENT

Exhibit 10.2 TRADEMARK SUBLICENSE AGREEMENT This TRADEMARK SUBLICENSE AGREEMENT (this "Agreement") is made and effective as of July 1, 2014 (the "Effective Date") by and between BDCA Venture Adviser, LLC (formerly known as Keating Investments, LLC), a limited liability company organized under the laws of the State of Delaware (the "Licensor"), and BDCA Venture, Inc. (formerly known as Keating Capi

Keating Capital Announces Changes in Name and Ticker Symbol New Advisory Agreement Executed in Connection with Sale of Keating Investments, LLC

Exhibit 99.1 Keating Capital Announces Changes in Name and Ticker Symbol New Advisory Agreement Executed in Connection with Sale of Keating Investments, LLC GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-July 1, 2014-Keating Capital, Inc. (Nasdaq: KIPO) announced today that the members of Keating Investments, LLC, the investment adviser to Keating Capital, completed the sale of 100% of the issued and ou

KEATING CAPITAL, INC. AMENDMENT TO AMENDED AND RESTATED BYLAWS

Exhibit 3.2 KEATING CAPITAL, INC. AMENDMENT TO AMENDED AND RESTATED BYLAWS WHEREAS, the Board of Directors has previously approved an Articles of Amendment to the change in the name of Keating Capital, Inc. (the “Company”) to BDCA Venture, Inc. (the “Charter Amendment”), subject to the closing of the sale by the members (“Sellers”) of Keating Investments, LLC, a Delaware limited liability company

INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES BDCA VENTURE, INC. BDCA VENTURE ADVISER, LLC

Exhibit 10.1 INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN BDCA VENTURE, INC. AND BDCA VENTURE ADVISER, LLC This Agreement (this “Agreement”) made this 1st day of July, 2014 (the “Effective Date”), by and between BDCA VENTURE, INC. f/k/a KEATING CAPITAL, INC., a Maryland corporation (the “Company”), and BDCA VENTURE ADVISER, LLC f/k/a KEATING INVESTMENTS, LLC, a Delaware limite

Keating Capital Announces Annual Meeting Results New Advisory Agreement Approved in Connection with Pending Sale of Keating Investments, LLC

EX-99.1 2 a50887299ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Announces Annual Meeting Results New Advisory Agreement Approved in Connection with Pending Sale of Keating Investments, LLC GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-June 16, 2014-Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) announced today that it held its 2014 Annual Meeting of Stockholders (the “

Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders - KEATING CAPITAL, INC. 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): June 16, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

Pre-IPO Investor, Keating Capital, Invests in New Portfolio Company Centrify Receives $42 Million in Funding

EX-99.1 2 a50869923ex991.htm EXHIBIT 99.1 Exhibit 99.1 Pre-IPO Investor, Keating Capital, Invests in New Portfolio Company Centrify Receives $42 Million in Funding GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 20, 2014-Today Keating Capital, Inc. (the “Company”) (Nasdaq: KIPO), a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1

Regulation FD Disclosure, Financial Statements and Exhibits

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): May 20, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

TrueCar, a Keating Capital Portfolio Company, Completes IPO TrueCar Raises $70 Million and Lists on Nasdaq

Exhibit 99.1 TrueCar, a Keating Capital Portfolio Company, Completes IPO TrueCar Raises $70 Million and Lists on Nasdaq GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 19, 2014-Today Keating Capital, Inc. (the “Company”) (Nasdaq: KIPO), a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, announced that TrueCar, Inc., a portfol

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): May 19, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

- KEATING CAPITAL, INC. DEFA14A

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 þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

- KEATING CAPITAL, INC. DEFA14A

DEFA14A 1 a50859939.htm KEATING CAPITAL, INC. DEFA14A 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 þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Comm

- KEATING CAPITAL, INC. DEF 14A

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 R Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin

-

SUTHERLAND ASBILL & BRENNAN LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 202.

Keating Capital Reports First Quarter 2014 Results

Exhibit 99.2 Keating Capital Reports First Quarter 2014 Results March 31, 2014 NAV of $7.34, a decrease of $0.31 from December 31, 2013 Net investment loss of $0.06 per share Realized gains of $0.13 per share Net decrease in unrealized appreciation of $0.28 per share Q1 2014 distribution of $0.10 per share paid on April 14, 2014 Two portfolio companies—TrueCar and Zoosk—filed for IPOs GREENWOOD VI

Buy Privately, Sell Publicly, Capture the Difference™Q1 2014 Investor PresentationNasdaq: KIPOwww.KeatingCapital.com

Exhibit 99.1 Buy Privately, Sell Publicly, Capture the Difference™Q1 2014 Investor PresentationNasdaq: KIPOwww.KeatingCapital.com Disclaimer Buy Privately, Sell Publicly, Capture the DifferenceTM Keating Capital, Inc. (“Keating Capital”), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amen

Regulation FD Disclosure, Financial Statements and Exhibits

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): April 28, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

10-Q 1 a5085015910q.htm KEATING CAPITAL, INC. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTER ENDED MARCH 31, 2014 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-53504 KEATING CAPITAL,

Two Portfolio Companies of Keating Capital File for Proposed IPOs

EX-99.1 2 a50846891ex991.htm EXHIBIT 99.1 Exhibit 99.1 Two Portfolio Companies of Keating Capital File for Proposed IPOs TrueCar files IPO registration statement to raise $125 million Zoosk files IPO registration statement to raise $100 million GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-April 17, 2014-Today Keating Capital, Inc. (the “Company”) (Nasdaq: KIPO), a closed-end fund that has elected to b

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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:: April 17, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Ident

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events - KEATING CAPITAL, INC. 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): April 9, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

Keating Capital’s Investment Adviser Agrees to Sell 100% of its Equity Interests to BDCA Adviser, LLC

Exhibit 99.1 Keating Capital’s Investment Adviser Agrees to Sell 100% of its Equity Interests to BDCA Adviser, LLC New Investment Advisory Agreement between Keating Capital, Inc. and Keating Investments, LLC, the adviser to Keating Capital, will be identical with respect to all material terms and conditions of the existing Advisory Agreement, including investment advisory fees Current members of K

-

SUTHERLAND ASBILL & BRENNAN LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 202.

- KEATING CAPITAL, INC. PRE 14A

PRE 14A 1 a50843321.htm KEATING CAPITAL, INC. PRE 14A 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 R Filed by a Party other than the Registrant o Check the appropriate box: R Preliminary Proxy Statement o Confidential, for Use of the Comm

Keating Capital Provides Update on Portfolio Companies Pre-IPO Investor Details Select Portfolio Companies’ Progress in Q1 2014 Several Portfolio Companies may Complete an IPO in Q2 or Q3 2014

EX-99.1 2 a50837273ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Provides Update on Portfolio Companies Pre-IPO Investor Details Select Portfolio Companies’ Progress in Q1 2014 Several Portfolio Companies may Complete an IPO in Q2 or Q3 2014 GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-April 3, 2014-Today Keating Capital, Inc. (the “Company”) (Nasdaq: KIPO), a closed-end fund that has elected to

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): April 3, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

Keating Capital Reports Fourth Quarter 2013 Results and Announces Distributions for Q1, Q2 and Q3 2014

EX-99.2 3 a50809556ex992.htm EXHIBIT 99.2 Exhibit 99.2 Keating Capital Reports Fourth Quarter 2013 Results and Announces Distributions for Q1, Q2 and Q3 2014 $4.4 million of net realized gains in 2013 Total dividends of $0.49 per share in 2013; equivalent to yield of 8.0% based on 2013 year-end stock price of $6.15 Board adopts new quarterly distribution policy effective Q1 2014 Board policy provi

Per Share

EX-99.1 2 a50809559ex991.htm EXHIBIT 99.1 Exhibit 99.1 February 24, 2014 Dear Keating Capital Stockholder: As in the past, we are providing this annual letter to our stockholders to highlight what we believe are the most significant aspects of our business in 2013. It has been about two and one-half years since we closed our continuous public offering in June 2011, and it has been about one and on

Buy Privately, Sell Publicly, Capture the Difference™ Q4 2013 Investor Presentation Nasdaq: KIPO www.KeatingCapital.com

Exhibit 99.1 Buy Privately, Sell Publicly, Capture the Difference™ Q4 2013 Investor Presentation Nasdaq: KIPO www.KeatingCapital.com Disclaimer Keating Capital, Inc. (“Keating Capital”), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. Keating Investments, LLC (“Keating Investments”

Regulation FD Disclosure, Financial Statements and Exhibits

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): February 24, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission F

UNITED STATES

10-K 1 a50805710.htm KEATING CAPITAL, INC. 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION

Regulation FD Disclosure, Financial Statements and Exhibits

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): February 24, 2014 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

Financial Statements and Exhibits, Other Events

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): December 19, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

Keating Capital Declares $0.0109 per Share Special Dividend 2013 Dividend Payable in January 2014

EX-99.1 2 a50772755ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Declares $0.0109 per Share Special Dividend 2013 Dividend Payable in January 2014 GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-December 19, 2013-On December 19, 2013, the Board of Directors of Keating Capital, Inc. (the “Company”) (Nasdaq: KIPO), a closed-end fund that has elected to be regulated as a business development company u

Keating Capital, Inc. Announces Results of Rights Offering of Common Stock

EX-99.1 2 a50770883ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital, Inc. Announces Results of Rights Offering of Common Stock GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-December 17, 2013-Keating Capital, Inc. (the “Company”) (Nasdaq: KIPO), a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, today announced the results of

Financial Statements and Exhibits, Other Events - KEATING CAPITAL, INC. 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): December 16, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

Jumptap, a Keating Capital Portfolio Company, Completes Merger with NYSE-Listed Millennial Media Pre-IPO Investor’s Portfolio Company Acquired by Leading Independent Mobile Advertising Platform

Exhibit 99.1 Jumptap, a Keating Capital Portfolio Company, Completes Merger with NYSE-Listed Millennial Media Pre-IPO Investor’s Portfolio Company Acquired by Leading Independent Mobile Advertising Platform GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-November 11, 2013-Keating Capital, Inc. (Nasdaq: KIPO) (www.KeatingCapital.com) announced that, on November 6, 2013, portfolio company Jumptap, Inc. com

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): November 11, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

-

KEATING CAPITAL, INC. 5251 DTC Parkway, Suite 1100 Greenwood Village, CO 80111 (720) 889-0139 November 4, 2013 U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549 Attn: Mr. James E. O’Connor Re: Keating Capital, Inc. Registration Statement on Form N-2 (File No. 333-191525) Dear Mr. O’Connor: In accordance with Rule 461 of the General Rules and Regulations under the

-

November 1, 2013 VIA EDGAR James E. O’Connor, Esq. Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Keating Capital, Inc. Registration Statement on Form N-2 File Nos. 333-191525 and 814-00778 Dear Mr. O’Connor: On behalf of Keating Capital, Inc. (the “Company”), set forth below are the Company’s responses to the

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): October 28, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

Buy Privately, Sell Publicly, Capture the Difference™Q3 2013 Investor PresentationNasdaq: KIPOwww.KeatingCapital.com

EX-99.1 2 a50737328ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Buy Privately, Sell Publicly, Capture the Difference™Q3 2013 Investor PresentationNasdaq: KIPOwww.KeatingCapital.com Disclaimer Buy Privately, Sell Publicly, Capture the DifferenceTM Keating Capital, Inc. (“Keating Capital”), a Maryland corporation, is a closed-end fund that has elected to be regulated as a business development company under

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTER ENDED SEPTEMBER 30, 2013. ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-53504 KEATING CAPITAL, INC. (Exact name of registrant as specified in

Keating Capital Reports Q3 2013 Results Pre-IPO Investor Provides Financial Update

EX-99.2 3 a50737328ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Keating Capital Reports Q3 2013 Results Pre-IPO Investor Provides Financial Update GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-October 28, 2013-Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) reported financial results for the quarter ended September 30, 2013. Management Commentary “Our portfolio continued to perform we

Regulation FD Disclosure

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): September 19, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

Script for Radio Spot

EX-99.1 2 a50711997-ex991.htm EXHIBIT 99.1 Exhibit 99.1 Script for Radio Spot Would you like to have access to emerging growth companies before they go public? Now you can… Keating Capital is a publicly traded closed-end fund specializing in pre-IPO investments in emerging growth companies. We typically invest in venture capital-backed technology companies that are expected to go public. And to ca

Financial Statements and Exhibits, Other Events - KEATING CAPITAL, INC. 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): September 18, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): August 22, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission F

Keating Capital Makes Additional $1 Million Investment in SilkRoad Participates in $16 Million Growth Financing Round

EX-99.1 2 a50695866ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Makes Additional $1 Million Investment in SilkRoad Participates in $16 Million Growth Financing Round GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-August 22, 2013-Keating Capital, Inc. (Nasdaq: KIPO) (www.KeatingCapital.com), a pre-IPO investor and business development company, announced that, on August 21, 2013, it has made an add

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): August 13, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fil

Jumptap to be Acquired by Millennial Media Keating Capital Portfolio Company to Merge with Leading Independent Mobile Advertising Platform

EX-99.1 2 a50691876ex991.htm EXHIBIT 99.1 Exhibit 99.1 Jumptap to be Acquired by Millennial Media Keating Capital Portfolio Company to Merge with Leading Independent Mobile Advertising Platform GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-August 15, 2013-Keating Capital, Inc. (Nasdaq: KIPO) (www.KeatingCapital.com), a pre-IPO investor and a business development company, announced that, on August 13, 2

EX-99.1

EX-99.1 2 a50678945ex991.htm EXHIBIT 99.1 Exhibit 99.1

Keating Capital Reports Q2 2013 Results Pre-IPO Investor Provides Financial Update

EX-99.2 3 a50678945ex992.htm EXHIBIT 99.2 Exhibit 99.2 Keating Capital Reports Q2 2013 Results Pre-IPO Investor Provides Financial Update GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-July 29, 2013-On July 29, 2013, Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) reported financial results for the quarter ended June 30, 2013. Management Commentary “Although we did not make any

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): July 29, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTER ENDED JUNE 30, 2013. ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-53504 KEATING CAPITAL, INC. (Exact name of registrant as specified in its

Script for Radio Spot

EX-99.1 2 a50661647ex991.htm EXHIBIT 99.1 Exhibit 99.1 Script for Radio Spot Today’s news from Keating Capital is brought to you by Radio Stock Market. Keating Capital’s strategy is a unique way to participate in IPO investing. Keating recently announced a $0.48 special distribution payable in 2 dividends of $0.24 per share in the second and third quarters this year. These dividends reflect the fu

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): July 1, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File N

Keating Capital Portfolio Company, Tremor Video, Completes IPO Online Video Technology Company Raises $75 Million and Lists on NYSE

EX-99.1 2 a50661405ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Portfolio Company, Tremor Video, Completes IPO Online Video Technology Company Raises $75 Million and Lists on NYSE GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-June 27, 2013-Keating Capital, Inc. (Nasdaq: KIPO) (www.KeatingCapital.com), a pre-IPO investor and business development company, announced that Tremor Video, Inc., a portf

Regulation FD Disclosure, Financial Statements and Exhibits

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): June 26, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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 June 10, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identifi

Regulation FD Disclosure - KEATING CAPITAL, INC. 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 May 30, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identific

Financial Statements and Exhibits, Other Events - KEATING CAPITAL, INC. 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): May 28, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

Keating Capital Declares $0.48 Per Share Special Distribution Distribution Payable in Two Dividends of $0.24 Per Share in Second and Third Quarters

EX-99.1 2 a50642141ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Declares $0.48 Per Share Special Distribution Distribution Payable in Two Dividends of $0.24 Per Share in Second and Third Quarters GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 29, 2013-On May 28, 2013, the Board of Directors of Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) declared a special divide

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): May 23, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File N

Keating Capital Discloses Top Portfolio Holdings and Pro Forma NAV Pro forma cash of $22.5 million, or $2.46 per share, following recent dispositions

EX-99.1 2 a50639539ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Discloses Top Portfolio Holdings and Pro Forma NAV Pro forma cash of $22.5 million, or $2.46 per share, following recent dispositions GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 23, 2013-Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) disclosed today that, following the complete disposition of its ho

Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders - KEATING CAPITAL, INC. 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): May 17, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File N

Keating Capital Announces Annual Meeting Results and Withdrawal of Registration Statement Company Will Continue to Assess Capital Market Strategies

EX-99.1 2 a50635549ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Announces Annual Meeting Results and Withdrawal of Registration Statement Company Will Continue to Assess Capital Market Strategies GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 20, 2013-Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) announced today that it held its 2013 Annual Meeting of Stockholders

- KEATING CAPITAL, INC. RW

Keating Capital, Inc. 5251 DTC Parkway, Suite 1100 Greenwood Village, CO 80111 May 20, 2013 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Keating Capital, Inc. Registration Statement on Form N-2 File No. 333- 180150 Ladies and Gentlemen: On March 15, 2012, Keating Capital, Inc. (the “Company”) filed a registration statement on

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): May 17, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File N

Keating Capital Completes Exit in Remaining Solazyme Position Fourth Portfolio Company Exit Since Making First Investment 3½ Years Ago

EX-99.1 2 a50634883ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Completes Exit in Remaining Solazyme Position Fourth Portfolio Company Exit Since Making First Investment 3½ Years Ago GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 17, 2013-Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) announced today that it sold the remaining 147,927 shares it held in Solazyme, Inc

Regulation FD Disclosure, Financial Statements and Exhibits - KEATING CAPITAL, INC. 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): May 9, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 0-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File Nu

Keating Capital Realizes $675,000 Gain from Portfolio Exit Corsair Components Sells Majority Interest to Private Equity Firm Francisco Partners

EX-99.1 2 a50627476-ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Realizes $675,000 Gain from Portfolio Exit Corsair Components Sells Majority Interest to Private Equity Firm Francisco Partners GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 9, 2013-Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) announced today that it completed the disposition of its entire position

Keating Capital Realizes $3.7 Million Gain from Portfolio Exit Completes Disposition of Shares Held in LifeLock, Inc.

EX-99.1 2 a50625361ex991.htm EXHIBIT 99.1 Exhibit 99.1 Keating Capital Realizes $3.7 Million Gain from Portfolio Exit Completes Disposition of Shares Held in LifeLock, Inc. GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 6, 2013-Keating Capital, Inc. (“Keating Capital” or the “Company”) (Nasdaq: KIPO) announced today that the Company completed the disposition of its entire position in LifeLock, Inc.

Regulation FD Disclosure, Financial Statements and Exhibits

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): May 6, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

2

Exhibit 99.1 May 2, 2013 Dear Keating Capital Stockholder: Re: Q1 2013 Letter to Stockholders and Notice of Stock Repurchase Plan Extension The purpose of this letter is to provide you with an update on business and financial results based on our first quarter Form 10-Q which we filed with the SEC on April 29, 2013. Further, we are notifying you that our Board of Directors has approved an extensio

Keating Capital Issues Q1 2013 Letter to Stockholders and Announces Stock Repurchase Program Extension Pre-IPO Investor Provides Stockholder Update

EX-99.2 3 a50623340ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Keating Capital Issues Q1 2013 Letter to Stockholders and Announces Stock Repurchase Program Extension Pre-IPO Investor Provides Stockholder Update GREENWOOD VILLAGE, Colo.-(BUSINESS WIRE)-May 2, 2013-Keating Capital, Inc. (“Keating” or the “Company”) (Nasdaq: KIPO) issued its Q1 2013 letter to stockholders and announced the extension of its

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

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): May 2, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTER ENDED MARCH 31, 2013. ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-53504 KEATING CAPITAL, INC. (Exact name of registrant a

Keating Capital Reports Q1 2013 Results Pre-IPO Investor Provides Financial Update

EX-99.2 3 a50619072ex992.htm EXHIBIT 99.2 Exhibit 99.2 Keating Capital Reports Q1 2013 Results Pre-IPO Investor Provides Financial Update April 29, 2013 – Greenwood Village, Colorado – On April 29, 2013, Keating Capital, Inc. (“Keating” or the “Company”) (Nasdaq: KIPO) reported financial results for the quarter ended March 31, 2013. Management Commentary “Although we made no additional investments

4 Risks Buy Privately, Sell Publicly, Capture the DifferenceTM 4 Risks Buy Privately, Sell Publicly, Capture the DifferenceTM

EX-99.1 2 a50619072ex991.htm EXHIBIT 99.1 Exhibit 99.1 Buy Privately, Sell Publicly, Capture the Difference™ Q1 2013 Investor Presentation Nasdaq: KIPO www.KeatingCapital.com 2 Disclaimer Buy Privately, Sell Publicly, Capture the DifferenceTM Keating Capital, Inc. (“Keating Capital”) is a Maryland corporation that has elected to be regulated as a business development company under the Investment C

Regulation FD Disclosure, Financial Statements and Exhibits

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): April 29, 2013 KEATING CAPITAL, INC. (Exact name of registrant as specified in its charter) Maryland 000-53504 26-2582882 (State or other jurisdiction of incorporation) (Commission Fi

- KEATING CAPITAL, INC. DEF 14A

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 þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

KEATING CAPITAL, INC. AMENDMENT TO THE DIVIDEND REINVESTMENT PLAN

EX-3.7 2 d482887dex37.htm EX-3.7 Exhibit 3.7 KEATING CAPITAL, INC. AMENDMENT TO THE DIVIDEND REINVESTMENT PLAN WHEREAS, Keating Capital, Inc. (the “Corporation”) has previously adopted the Keating Capital, Inc. Dividend Reinvestment Plan (the “Plan”), which was amended and restated as of April 12, 2011; WHEREAS, the Company’s Board of Directors believes that it is in the best interests of the Comp

Keating Capital Reports 2012 Results Pre-IPO Investor Provides Financial Update

EX-99.2 3 a50565725ex992.htm EXHIBIT 99.2 Exhibit 99.2 Keating Capital Reports 2012 Results Pre-IPO Investor Provides Financial Update February 15, 2013 – Greenwood Village, Colorado – On February 15, 2013, Keating Capital, Inc. (“Keating” or the “Company”) (Nasdaq: KIPO) reported financial results for the year ended December 31, 2012. Management Commentary "Keating Capital operates a private-to-p