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
- 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.
- 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.
- 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.