0001144204-17-043289.txt : 20170814
0001144204-17-043289.hdr.sgml : 20170814
20170814175612
ACCESSION NUMBER: 0001144204-17-043289
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170810
FILED AS OF DATE: 20170814
DATE AS OF CHANGE: 20170814
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: 171031904
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
v473327_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-08-10
0
0001259429
TICC Capital Corp.
TICC
0001268530
COHEN JONATHAN H
C/O TICC CAPITAL CORP.
8 SOUND SHORE DRIVE, SUITE 255
GREENWICH
CT
06830
1
1
0
0
Chief Executive Officer
Common Stock, $0.01 par value
2017-08-10
4
P
0
5042.5
6.6431
A
1041631.5
D
Common Stock, $0.01 par value
2017-08-11
4
P
0
9489
6.5814
A
1051120.5
D
Common Stock, $0.01 par value
2017-08-14
4
P
0
2621.5
6.6246
A
1053742
D
The shares were purchased into a joint tenants in common account in which Mr. Cohen has a 50% pecuniary interest. The number of shares reported represents only Mr. Cohen's 50% pecuniary interest in such account. Saul B. Rosenthal, President and COO 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 $6.63 to $6.65, 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 $6.53 to $6.65, 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 $6.585 to $6.65, 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 482 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/ Bruce L. Rubin, attorney-in-fact
2017-08-14