0001140361-16-064903.txt : 20160512
0001140361-16-064903.hdr.sgml : 20160512
20160512175848
ACCESSION NUMBER: 0001140361-16-064903
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160510
FILED AS OF DATE: 20160512
DATE AS OF CHANGE: 20160512
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TICC Capital Corp.
CENTRAL INDEX KEY: 0001259429
IRS NUMBER: 200118736
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8 SOUND SHORE DR
STREET 2: SUITE 255
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2039835275
MAIL ADDRESS:
STREET 1: 8 SOUND SHORE DRIVE
STREET 2: SUITE 255
CITY: GREENWICH
STATE: CT
ZIP: 06830
FORMER COMPANY:
FORMER CONFORMED NAME: TECHNOLOGY INVESTMENT CAPITAL CORP
DATE OF NAME CHANGE: 20030812
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROYCE CHARLES M
CENTRAL INDEX KEY: 0001009121
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00638
FILM NUMBER: 161645239
MAIL ADDRESS:
STREET 1: C/O ROYCE & ASSOCIATES, LLC
STREET 2: 745 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10151
4
1
doc1.xml
FORM 4
X0306
4
2016-05-10
0
0001259429
TICC Capital Corp.
TICC
0001009121
ROYCE CHARLES M
8 SOUND SHORE DRIVE
SUITE 255
GREENWICH
CT
06830
1
0
0
0
Common stock, $0.01 par value
2016-05-10
4
P
0
8340
5.084
A
145041
D
Common stock, $0.01 par value
2016-05-11
4
P
0
8340
5.237
A
153381
D
Common stock, $0.01 par value
2016-05-12
4
P
0
8340
5.303
A
161721
D
Common stock, $0.01 par value
432821
I
Held by Royce Family Investments, LLC
Common stock, $0.01 par value
62001
I
Held by Royce Family Fund, Inc.
The shares were purchased into a joint tenants in common account in which Mr. Royce has a 20% pecuniary interest. The number of shares reported on this Form 4 represents only Mr. Royce's 20% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, and Saul B. Rosenthal, President and COO of the issuer, each have a 40% pecuniary interest in such account.
The price reported is the average weighted price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder of the issuer, upon request, full information regarding the number of shares and the prices at which the shares were purchased.
Mr. Royce disclaims beneficial ownership of the 62,001 shares held by Royce Family Fund, Inc., except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Royce is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose.
/S/ Kristin P. Mickelson, attorney-in-fact
2016-05-12