0001144204-12-036755.txt : 20120627 0001144204-12-036755.hdr.sgml : 20120627 20120627171725 ACCESSION NUMBER: 0001144204-12-036755 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20120627 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20120627 DATE AS OF CHANGE: 20120627 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TICC Capital Corp. CENTRAL INDEX KEY: 0001259429 IRS NUMBER: 200118736 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-00638 FILM NUMBER: 12930341 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 8-K 1 v317164_8k.htm FORM 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

___________________________________

 

FORM 8-K

 

Current Report Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported):

 

June 27, 2012 (June 27, 2012)

 

TICC CAPITAL CORP.

(Exact name of registrant as specified in its charter)

 

 

 Maryland  000-50398  20-0188736
 (State or other jurisdiction   (Commission File Number)   (I.R.S. Employer Identification No.)
 of incorporation)    

 

8 Sound Shore Drive, Suite 255

Greenwich, CT 06830

(Address of principal executive offices and zip code)

 

Registrant’s telephone number, including area code: (203) 983-5275

 

 

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

[ ]  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

[ ]  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

[ ]  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

[ ]  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 
 

 

Item 5.07. Submission of Matters to a Vote of Security Holders

 

TICC Capital Corp. (the “Company”) reconvened its Annual Meeting of Shareholders on June 27, 2012, which was previously adjourned pursuant to a shareholder vote on June 6, 2012, and submitted one matter to the vote of the shareholders. A summary of the matter voted upon by shareholders is set forth below.

 

Shareholders elected two nominees for directors, each to serve for a three-year term to expire at the 2015 Annual Meeting of Shareholders based on the following votes:

 

             

Name

   Votes For   Votes Withheld   Broker Non-Votes
Jonathan H. Cohen   19,514,649   904,868   14,638,526
G. Peter O’Brien   19,197,042   1,222,475   14,638,526

 

On June 27, 2012, the Company issued a press release announcing the election of the two nominees for directors. A copy of the press release is attached hereto as Exhibit 99.1.

 

Item 9.01 Financial Statements and Exhibits.

 

 (a)Not applicable.
   
(b)Not applicable.

 

(c)Not applicable.

 

(d)Exhibits.

  

  Exhibit No.Description
   
99.1Press Release, dated June 27, 2012

 

 
 

  

SIGNATURES

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

Date:  June 27, 2012 TICC CAPITAL CORP.
     
     
  By: /s/ Saul B. Rosenthal                    
    Saul B. Rosenthal
  President

 

 

 

 EX-99.1 2 v317164_ex99-1.htm EXHIBIT 99.1

 

Exhibit 99.1

 

TICC Announces Results of Reconvened Annual Shareholder Meeting

 

GREENWICH, CT – 06/27/2012 – TICC Capital Corp. (NasdaqGS: TICC) (the “Company”) announced today the results of its reconvened Annual Meeting of Shareholders (the “Meeting”) held on June 27, 2012. At the Meeting, shareholders elected Jonathan H. Cohen and G. Peter O’Brien as directors of the Company, each for a three-year term, or until their respective successors are duly elected and qualified.

 

About TICC Capital Corp.

 

TICC Capital Corp. is a publicly-traded business development company principally engaged in providing capital to established small and mid-size companies, investing in syndicated bank loans and purchasing debt and equity tranches of collateralized loan obligations. Companies interested in learning more about financing opportunities should contact Debdeep Maji at (203) 983-5285.

 

Forward-Looking Statements

 

This press release contains forward-looking statements subject to the inherent uncertainties in predicting future results and conditions. Any statements that are not statements of historical fact (including statements containing the words "believes," "plans," "anticipates," "expects," "estimates" and similar expressions) should also be considered to be forward-looking statements. Certain factors could cause actual results and conditions to differ materially from those projected in these forward-looking statements. These factors are identified from time to time in our filings with the Securities and Exchange Commission. We undertake no obligation to update such statements to reflect subsequent events.