0001140361-17-043381.txt : 20171120
0001140361-17-043381.hdr.sgml : 20171120
20171120164450
ACCESSION NUMBER: 0001140361-17-043381
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171116
FILED AS OF DATE: 20171120
DATE AS OF CHANGE: 20171120
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: 171214249
MAIL ADDRESS:
STREET 1: 8 SOUND SHORE DR STE 215
CITY: GREENWICH
STATE: CT
ZIP: 06830
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
4
1
doc1.xml
FORM 4
X0306
4
2017-11-16
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
2017-11-16
4
P
0
2956
6.0684
A
961592
D
Common stock, $0.01 par value
2017-11-17
4
P
0
2242.5
6.0574
A
963834.5
D
Common stock, $0.01 par value
2017-11-20
4
P
0
1869
6.0832
A
965703.5
D
The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal 's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, has a 50% pecuniary interest in such account.
The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.02 to $6.07, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.03 to $6.07, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $6.05 to $6.09, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
Includes 510 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/ Bruce L. Rubin, attorney-in-fact
2017-11-20