FORM N-17D-1 - Securities and Exchange Commission

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0229 Washington, D.C. 20549 Expires: June 30, 2014 Estimated average burden hours per response . .. . . . 1.0 FORM N-17D-1 REPORT FILED BY SMALL BUSINESS INVESTMENT COMPANY (SBIC) REGISTERED UNDER THE INVESTMENT COMPANY ACT OF 1940 AND AN AFFILIATED BANK, WITH RESPECT TO INVESTMENTS BY THE SBIC AND THE BANK, SUBMITTED PURSUANT TO PARAGRAPH (d)(3) OF RULE 17d-1 (See rules and instructions at end of this form.) REPORT FOR SIX MONTHS PERIOD ENDING ______________________________ (Name of Registered Investment Company) (Address of Principal Executive Offices) (Name of Bank) (Address of Principal Executive Offices) PART I If the SBIC and a bank which is an affiliated person of either (i)

the SBIC, or (ii) an affiliated person of the SBIC, have made invest- ments in a small business concern contemporaneously, or if either the SBIC or such bank has made an investment in the small business concern at a time when there was an existing investment in such small business concern by the other, set forth with respect to the invest- ments in each such concern by the SBIC and the bank the following information prescribed in this Part I. Item 1. The name and address of the small business concern in which investments were made and the nature of its business. Item 2. The name and address of the bank which made an investment in the small business concern and the basis of the affiliation of such bank with the SBIC. Item 3. A description, as of the date each such SBIC or bank investment in the small business concern was made during the reporting period, of all SBIC and bank investments in such concern at that time outstanding, including the investments made during the reporting period. Such description shall include the date made, the principal amount or number of shares, the amount invested therein, and the terms thereof, including the maturity dates, dividend or interest rates, fees or other charges, and the security pledged, if any, with respect to: (a) Investments by the SBIC. (b) Investments by the bank. Item 4. The use or proposed use by the small business concern of the proceeds of the respective investments made during the period. Item 5. If the SBIC made an investment contemporaneous with or subsequent to an investment by the bank, set forth any changes in the nature and amount of the investment in the small business concern by the bank during the period commencing one year prior to the date of the investment by the SBIC and continuing to the date of the report. Item 6. Details as to any interest in the transactions, and as to any contracts, rights or other benefits received or to be received in connection with Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a SEC1839 (08-05) currently valid OMB control number. the transactions, by any affiliated person of the SBIC or the bank, or any affiliated person of such a person, including the name of the person, the basis...

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