0001140361-16-064090.txt : 20160509 0001140361-16-064090.hdr.sgml : 20160509 20160509171026 ACCESSION NUMBER: 0001140361-16-064090 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160505 FILED AS OF DATE: 20160509 DATE AS OF CHANGE: 20160509 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TICC Capital Corp. CENTRAL INDEX KEY: 0001259429 IRS NUMBER: 200118736 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8 SOUND SHORE DR STREET 2: SUITE 255 CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2039835275 MAIL ADDRESS: STREET 1: 8 SOUND SHORE DRIVE STREET 2: SUITE 255 CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: TECHNOLOGY INVESTMENT CAPITAL CORP DATE OF NAME CHANGE: 20030812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROYCE CHARLES M CENTRAL INDEX KEY: 0001009121 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00638 FILM NUMBER: 161632625 MAIL ADDRESS: STREET 1: C/O ROYCE & ASSOCIATES, LLC STREET 2: 745 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10151 4 1 doc1.xml FORM 4 X0306 4 2016-05-05 0 0001259429 TICC Capital Corp. TICC 0001009121 ROYCE CHARLES M 8 SOUND SHORE DRIVE SUITE 255 GREENWICH CT 06830 1 0 0 0 Common stock, $0.01 par value 2016-05-05 4 P 0 6400 5.003 A 121961 D Common stock, $0.01 par value 2016-05-06 4 P 0 6400 5.017 A 128361 D Common stock, $0.01 par value 2016-05-09 4 P 0 8340 5.041 A 136701 D Common stock, $0.01 par value 432821 I Held by Royce Family Investments, LLC Common stock, $0.01 par value 62001 I Held by Royce Family Fund, Inc. 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. /S/ Kristin P. Mickelson, attorney-in-fact 2016-05-09 EX-24 2 cmroycepoa.htm POWER OF ATTORNEY Unassociated Document
POWER OF ATTORNEY

Know all by these present, that the undersigned hereby constitutes and appoints each of Bruce L. Rubin, Gerald Cummins and Kristin P. Mickelson, or either of them signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to:

 
(1)
prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 or any rule or regulation of the SEC;

 
(2)
execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of TICC Capital Corp. (the “Company”), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;

 
(3)do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 
(4)
take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 9th day of May, 2016.


/S./ Charles M. Royce
Charles M. Royce