Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

On September 25, 2012, James R. Latimer, III tendered his resignation from his positions as a member of the Board of the Company, as a member of the Company's Audit Committee, Nominating and Corporate Governance Committee, Compensation Committee and Valuation Committee and as the Chairman of the Company's Audit Committee, citing his intention to accept an engagement as the Chief Restructuring Officer of ATP Oil & Gas Corp. ("ATP"), a counterparty to one of the Company's portfolio investments. Due to the independence issues created by Mr. Latimer's engagement by ATP, the Company accepted Mr. Latimer's resignation.

On September 28, 2012, the Company filed a current report on Form 8-K to report that it had notified The NASDAQ Stock Market LLC ("NASDAQ") on September 27, 2012 of Mr. Latimer's resignation. As a result of Mr. Latimer's resignation, the Company was not in compliance with NASDAQ Listing Rules 5605(b)(1) and 5605(c)(2)(A) which require, among other things, that a majority of the Board be comprised of independent directors as defined in Rule 5605(a)(2) and that the Company's Audit Committee be comprised of at least three independent members.

On December 11, 2012, the Board appointed William K. White to the Board to fill the vacant seat created by Mr. Latimer's resignation. On December 24, 2012, the Company received a letter from NASDAQ indicating that the Company has regained compliance with NASDAQ Listing Rules 5605(b)(1) and 5605(c)(2)(A).