Filing Details

Accession Number:
0001140361-16-064087
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-05-09 17:08:26
Reporting Period:
2016-05-05
Filing Date:
2016-05-09
Accepted Time:
2016-05-09 17:08:26
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1259429 Ticc Capital Corp. TICC () 200118736
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1268530 H Jonathan Cohen 8 Sound Shore Drive
Suite 255
Greenwich CT 06830
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.01 Par Value Acquisiton 2016-05-05 12,800 $5.00 323,207 No 4 P Direct
Common Stock, $0.01 Par Value Acquisiton 2016-05-06 12,800 $5.02 336,007 No 4 P Direct
Common Stock, $0.01 Par Value Acquisiton 2016-05-09 16,680 $5.04 352,687 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
Footnotes
  1. 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.
  2. 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.
  3. 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.