0001140361-16-068398.txt : 20160603
0001140361-16-068398.hdr.sgml : 20160603
20160603122305
ACCESSION NUMBER: 0001140361-16-068398
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160601
FILED AS OF DATE: 20160603
DATE AS OF CHANGE: 20160603
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: ROSENTHAL SAUL B
CENTRAL INDEX KEY: 0001268529
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00638
FILM NUMBER: 161694743
MAIL ADDRESS:
STREET 1: 8 SOUND SHORE DR STE 215
CITY: GREENWICH
STATE: CT
ZIP: 06830
4
1
doc1.xml
FORM 4
X0306
4
2016-06-01
0
0001259429
TICC Capital Corp.
TICC
0001268529
ROSENTHAL SAUL B
8 SOUND SHORE DRIVE
SUITE 255
GREENWICH
CT
06830
0
1
0
0
President and COO
Common stock, $0.01 par value
2016-06-01
4
P
0
27320.0
5.648
A
488274.8
D
Common stock, $0.01 par value
2016-06-02
4
P
0
27320.0
5.608
A
515594.8
D
Common stock, $0.01 par value
2016-06-03
4
P
0
120000
5.640
A
635594.8
D
The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 40% pecuniary interest. The number of shares reported on this Form 4 represents only Mr. Rosenthal's 40% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, and Charles M. Royce, a director of the issuer, have a 40% pecuniary interest and a 20% pecuniary interest, respectively, in such account.
The price reported is the weighted average 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.
Includes 407 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein.
/S/ Gerald Cummins, attorney-in-fact
2016-06-03