UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM N-54A

 

NOTIFICATION OF ELECTION TO BE SUBJECT TO SECTIONS 55

THROUGH 65 OF THE INVESTMENT COMPANY ACT OF 1940 FILED

PURSUANT TO SECTION 54(a) OF THE ACT

 

The undersigned business development company hereby notifies the Securities and Exchange Commission that it elects, pursuant to the provisions of section 54(a) of the Investment Company Act of 1940 (the “Act”), to be subject to the provisions of sections 55 through 65 of the Act and, in connection with such notification of election, submits the following information:

 

Name: Trinity Capital Inc.

 

Address of Principal Business Office (No. & Street, City, State, Zip Code):

 

3075 West Ray Road

Suite 525

Chandler, AZ 85226.

 

Telephone number (including area code): (480) 374-5350

 

Name and address of agent for service of process:

 

The Corporation Trust Incorporated

2405 York Road
Suite 201

Lutherville-Timonium, MD 21093

 

Check one of the following:

 

x

The company has filed a registration statement for a class of equity securities pursuant to section 12 of the Securities Exchange Act of 1934. Give the file number of the registration statement, or if the file number is unknown or has not yet been assigned, give the date on which the registration statement was filed: January 16, 2020

 

¨

The company is relying on rule 12g-2 under the Securities Exchange Act of 1934 in lieu of filing a registration statement for a class of equity securities under that Act.

 

The file number of the registration as an investment company pursuant to section 8(a) of the Act, if any, of the company: Not Applicable

 

The file number of the registration as an investment company pursuant to section 8(a) of the Act, if any, of any subsidiary of the company: Not Applicable

 

The undersigned company certifies that it is a closed-end company organized under the laws of the State of Maryland and with its principal place of business in the State of Arizona; that it will be operated for the purpose of making investments in securities described in section 55(a)(1) through (3) of the Investment Company Act of 1940; and that it will make available significant managerial assistance with respect to issuers of such securities to the extent required by the Act.

 

 

Pursuant to the requirements of the Act, the undersigned company has caused this notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 to be duly signed on its behalf in the City of Chandler and State of Arizona on the 16th day of January, 2020.

 

	Trinity Capital Inc.
	By:		/s/ Steven L. Brown
			Name:		Steven L. Brown
			Title:		Chief Executive Officer
	Attest:		/s/ Susan Echard
	Name:		Susan Echard
	Title:		Chief Financial Officer, Treasurer and Secretary