X0306 4 2016-05-05 0 0001259429 TICC Capital Corp. TICC 0001268529 ROSENTHAL SAUL B 8 SOUND SHORE DRIVE SUITE 255 GREENWICH CT 06830 0 1 0 0 President and COO Common stock, $0.01 par value 2016-05-05 4 P 0 12800 5.003 A 120344 D Common stock, $0.01 par value 2016-05-06 4 P 0 12800 5.017 A 133144 D Common stock, $0.01 par value 2016-05-09 4 P 0 16680 5.041 A 149824 D The shares were purchased into a joint tenants in common account in which Mr. Rosenthal has a 40% pecuniary interest. The number of shares reported on this Form 4 represents only Mr. Rosenthal's 40% pecuniary interest in such account. Jonathan H. Cohen, CEO and a director of the issuer, and Charles M. Royce, a director of the issuer, have a 40% pecuniary interest and a 20% pecuniary interest, respectively, in such account. The price reported is the weighted average 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. Includes 407 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. /S/ Kristin P. Mickelson, attorney-in-fact 2016-05-09