Home > Insider Trading > Filing (0001140361-16-070119)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1259429	Ticc Capital Corp.	TICC	()	NY

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1009121	M Charles Royce	8 Sound Shore Drive Suite 255 Greenwich CT 06830		Yes	No	No	No

Reported Non-Derivative Transactions

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	2016-06-14	20,180	$5.43	406,966	No	4	P	Direct
Common Stock, $0.01 Par Value	Acquisiton	2016-06-15	20,180	$5.39	427,146	No	4	P	Direct
Common Stock, $0.01 Par Value	Acquisiton	2016-06-16	17,068	$5.35	444,214	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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, $0.01 Par Value	432,821	Indirect	Held by Royce Family Investments, LLC
Common Stock, $0.01 Par Value	62,001	Indirect	Held by Royce Family Fund, Inc.

Footnotes

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.