Filing Details

Accession Number:
0001140361-16-068396
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-06-03 12:21:39
Reporting Period:
2016-06-01
Filing Date:
2016-06-03
Accepted Time:
2016-06-03 12:21:39
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1259429 Ticc Capital Corp. TICC () NY
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1009121 M Charles Royce 8 Sound Shore Drive
Suite 255
Greenwich CT 06830
Yes No 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 2016-06-01 13,660 $5.65 305,926 No 4 P Direct
Common Stock, $0.01 Par Value Acquisiton 2016-06-02 13,660 $5.61 319,586 No 4 P Direct
Common Stock, $0.01 Par Value Acquisiton 2016-06-03 60,000 $5.64 379,586 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
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.01 Par Value 432,821 Indirect Held by Royce Family Investments, LLC
Common Stock, $0.01 Par Value 62,001 Indirect Held by Royce Family Fund, Inc.
Footnotes
  1. The shares were purchased into a joint tenants in common account in which Mr. Royce has a 20% pecuniary interest. The number of shares reported on this Form 4 represents only Mr. Royce's 20% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, and Saul B. Rosenthal, President and COO of the issuer, each have a 40% pecuniary interest 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. Mr. Royce disclaims beneficial ownership of the 62,001 shares held by Royce Family Fund, Inc., except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Royce is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose.