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Filing Details

Accession Number:: 0001140361-18-008690
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-02-15 16:37:48
Reporting Period:: 2018-02-13

Accepted Time:: 2018-02-15 16:37:48
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
1268529	B Saul Rosenthal	8 Sound Shore Drive Suite 255 Greenwich CT 06830	President And Coo	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, $0.01 Par Value	Acquisiton	2018-02-13	3,739	$5.60	1,069,794	No	4	P	Direct
Common Stock, $0.01 Par Value	Acquisiton	2018-02-14	2,744	$5.65	1,072,538	No	4	P	Direct
Common Stock, $0.01 Par Value	Acquisiton	2018-02-15	3,374	$5.70	1,075,912	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct

Footnotes

The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 50% pecuniary interest. The number of shares reported represents only Mr. Rosenthal's 50% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director 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 $5.49 to $5.67, 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 $5.62 to $5.66, 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 $5.68 to $5.71, 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 528 shares held by BDC Partners, LLC, which may be deemed to be beneficially owned by Mr. Rosenthal and Mr. Jonathan H. Cohen by virtue of their ownership interests therein.