Filing Details

Accession Number:
0001140361-18-009454
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-02-21 17:57:40
Reporting Period:
2018-02-16
Accepted Time:
2018-02-21 17:57:40
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
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 2018-02-16 3,688 $5.68 1,079,599 No 4 P Direct
Common Stock, $0.01 Par Value Acquisiton 2018-02-20 5,487 $5.64 1,085,086 No 4 P Direct
Common Stock, $0.01 Par Value Acquisiton 2018-02-21 3,320 $5.70 1,088,405 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. 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.
  2. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.65 to $5.72, 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.
  3. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.6190 to $5.68, 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.
  4. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.66 to $5.72, 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.
  5. 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.