Filing Details

CUSIP 87238Q103

Page 2 of 7 Pages

1

NAMES OF REPORTING PERSONS

 

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

 

Vaughan Nelson Investment Management, L.P. 04-3304963

 

 

 

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)☐

(b)☐

 

 

3

SEC USE ONLY

 

 

 

 

 

 

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Delaware

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5

SOLE VOTING POWER

 

 

 

 

 

 

6

SHARED VOTING POWER

 

 

0

 

 

 

 

7

SOLE DISPOSITIVE POWER

 

 

3,038,800

 

 

 

 

8

SHARED DISPOSITIVE POWER

 

 

134,729

 

 

 

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

3,173,529 shares

 

 

 

 

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

 

 

☐  Not Applicable

 

 

 

 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

6.0%

 

 

 

 

12

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

 

IA

 

 

 

 

CUSIP 87238Q103

Page 3 of 7 Pages

1

NAMES OF REPORTING PERSONS

 

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

 

Vaughan Nelson Investment Management, Inc. 04-3304959

 

 

 

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)☐

(b)☐

 

 

3

SEC USE ONLY

 

 

 

 

 

 

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Delaware

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5

SOLE VOTING POWER

 

 

2,272,850

 

 

 

 

6

SHARED VOTING POWER

 

 

0

 

 

 

 

7

SOLE DISPOSITIVE POWER

 

 

3,038,800

 

 

 

 

8

SHARED DISPOSITIVE POWER

 

 

134,729

 

 

 

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

3,173,529 shares

 

 

 

 

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

 

 

☐  Not Applicable

 

 

 

 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

6.0%

 

 

 

 

12

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

 

HC

 

 

 

 

CUSIP 87238Q103

Page 4 of 7 Pages

Item 1(a).

Name of Issuer:    TCP Capital Corp.

 

Item 1(b).

Address of Issuer’s Principal Executive Offices:

 

2951 28th Street, Suite 1000

 

Item 2(a).

Name of Person(s) Filing:

 

Vaughan Nelson Investment Management, L.P. (“Vaughan Nelson”)

Vaughan Nelson Investment Management, Inc. (“General Partner”)

 

Item 2(b).

Address of Principal Business Office or, if None, Residence:

 

Both Vaughan Nelson and the General Partner maintain their principal offices at:

600 Travis Street, Suite 6300

Houston, Texas 77002

 

Item 2(c).

Citizenship:

 

Vaughan Nelson is Delaware limited partnership.

The General Partner is a Delaware corporation.

 

Item 2(d).

Title of Class of Securities:

 

Common Stock

 

Item 2(e).

CUSIP Number:

 

87238Q103

 

Item 3.

If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

 

(a)       o       Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b)       o       Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c)       o       Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d)       o       Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

(e)       x   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)       o       An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)       x      A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

(h)       o       A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)       o       A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j)       o       Group, in accordance with §240.13d-1(b)(1)(ii)(J).

CUSIP 87238Q103

Page 5 of 7 Pages

Item 4.

Ownership:

 

By reason of investment advisory relationships with the person who owns the Shares, Vaughan Nelson may be deemed to be the beneficial owner of the reported shares of the Issuer’s common stock. Vaughan Nelson Investment Management, Inc., as General Partner of Vaughan Nelson, may be deemed the indirect beneficial owner of the reported shares of the Issuer’s common stock. Both Vaughan Nelson and Vaughan Nelson Investment Management, Inc. disclaim beneficial ownership of the reported shares of the Issuer’s common stock.

 

(a)

Amount beneficially owned  3,173,529

 

(b)

Percent of class:  6.0%

 

 

(i)   Sole power to vote or to direct the vote:  2,272,850

 

(ii)  Shared power to vote or to direct the vote: 0

 

(iii)  Sole power to dispose or to direct the disposition of:  3,038,800

 

(iv)  Shared power to dispose or to direct the disposition of:   134,729

 

Item 5.

Ownership of Five Percent or Less of a Class:

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5% of the class of securities, check the following: [ ]

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person:

 

Various persons, as investment advisory clients of Vaughan Nelson,  have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the common stock of the Issuer.  To the knowledge of Vaughan Nelson, no one such person’s interest in the common stock of the Issuer is more than five percent of the total outstanding common stock of the Issuer.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:

 

Not Applicable

 

Item 8.

Identification and Classification of Members of the Group:

 

Not Applicable

CUSIP 87238Q103

Page 6 of 7 Pages

Item 9.

Notice of Dissolution of Group:

 

Not Applicable

Item 10.

Certification:

 

Each of the Reporting Persons hereby makes the following certification:

 

          By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

Vaughan Nelson Investment Management, L.P.

By:

/s/ Richard B. Faig

By:           Richard B. Faig

Its:           Chief Compliance Officer

Vaughan Nelson Investment Management, Inc.

By:

/s/ Richard B. Faig

By:           Richard B. Faig

Its:           Chief Compliance Officer

CUSIP 87238Q103

Page 7 of 7 Pages

Vaughan Nelson Investment Management, L.P.

By:

/s/ Richard B. Faig

By:           Richard B. Faig

Its:           Chief Compliance Officer

Vaughan Nelson Investment Management, Inc.

By:

/s/ Richard B. Faig

By:           Richard B. Faig

Its:           Chief Compliance Officer