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