0001140361-16-070117.txt : 20160616 0001140361-16-070117.hdr.sgml : 20160616 20160616174756 ACCESSION NUMBER: 0001140361-16-070117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160614 FILED AS OF DATE: 20160616 DATE AS OF CHANGE: 20160616 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: COHEN JONATHAN H CENTRAL INDEX KEY: 0001268530 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00638 FILM NUMBER: 161718442 MAIL ADDRESS: STREET 1: 8 SOUND SHORE DR STE 215 CITY: GREENWICH STATE: CT ZIP: 06830 4 1 doc1.xml FORM 4 X0306 4 2016-06-14 0 0001259429 TICC Capital Corp. TICC 0001268530 COHEN JONATHAN H 8 SOUND SHORE DRIVE SUITE 255 GREENWICH CT 06830 1 1 0 0 Chief Executive Officer Common stock, $0.01 par value 2016-06-14 4 P 0 40360 5.429 A 893217.8 D Common stock, $0.01 par value 2016-06-15 4 P 0 40360 5.386 A 933577.8 D Common stock, $0.01 par value 2016-06-16 4 P 0 34136 5.352 A 967713.8 D The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 40% pecuniary interest. The number of shares reported represents only Mr. Cohen's 40% pecuniary interest in such account. Saul B. Rosenthal, President and COO 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 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. Includes 407 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Cohen and Saul B. Rosenthal by virtue of their ownership interests therein. /S/ Kristin P. Mickelson, attorney-in-fact 2016-06-16