0001140361-18-010151.txt : 20180226 0001140361-18-010151.hdr.sgml : 20180226 20180226161846 ACCESSION NUMBER: 0001140361-18-010151 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180222 FILED AS OF DATE: 20180226 DATE AS OF CHANGE: 20180226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENTHAL SAUL B CENTRAL INDEX KEY: 0001268529 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00638 FILM NUMBER: 18640753 MAIL ADDRESS: STREET 1: 8 SOUND SHORE DR STE 215 CITY: GREENWICH STATE: CT ZIP: 06830 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 4 1 doc1.xml FORM 4 X0306 4 2018-02-22 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 2018-02-22 4 P 0 1619 5.7140 A 1090024 D Common stock, $0.01 par value 2018-02-23 4 P 0 2967 5.7589 A 1092991 D Common stock, $0.01 par value 2018-02-26 4 P 0 3688 5.8799 A 1096679 D 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 $5.73 to $5.78, 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 $5.6190 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. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $5.82 to $5.91, 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. /S/ Bruce L. Rubin, attorney-in-fact 2018-02-26