People: TICC Capital Corp (TICC.O)

TICC.O on Nasdaq

9.93USD
24 May 2013
Price Change (% chg)

$0.04 (+0.40%)
Prev Close
$9.89
Open
$9.86
Day's High
$9.96
Day's Low
$9.86
Volume
284,148
Avg. Vol
749,582
52-wk High
$11.09
52-wk Low
$8.84

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Summary

Name Age Since Current Position

Charles Royce

 72 2003 Chairman of the Board

Saul Rosenthal

 44 2004 President, Chief Operating Officer

Jonathan Cohen

 47 2003 Chief Executive Officer, Director

Patrick Conroy

 55 2009 Chief Financial Officer, Chief Compliance Officer, Corporate Secretary

Steven Novak

 64 2003 Independent Director

G. Peter O'Brien

 66 2003 Independent Director

Tonia Pankopf

 44 2003 Independent Director
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Biographies

Name Description

Charles Royce

 Mr. Charles M. Royce is Chairman of the Board of TICC Capital Corp., since 2003. Mr. Royce became President of Royce & Associates, LLC (“Royce & Associates”) in 1972. He serves as a Co-Chief Investment Officer of Royce & Associates and manages or co-manages twelve of Royce & Associates’ open- and closed-end registered funds. Mr. Royce serves on the Board of Directors of The Royce Funds.

Saul Rosenthal

 Mr. Saul B. Rosenthal is President, Chief Operating Officer of TICC Capital Corp. Mr. Rosenthal has served as Chief Operating Officer since 2003 and President since 2004 of TICC and TICC Management, and is a member of BDC Partners. In addition, Mr. Rosenthal has served since 2005 as the President of T2 Advisers, LLC, which serves as investment adviser for Greenwich Loan Income Fund (LSE AIM: GLIF), a Guernsey fund that invests primarily in senior loans, and which also serves as collateral manager of T2 Income Fund CLO I Ltd., a CLO vehicle sponsored by GLIF. In addition, Mr. Rosenthal has served as President and a Director of Oxford Lane Capital Corp. (NasdaqGS: OXLC), a registered closed-end fund, and as President of Oxford Lane Management, since 2010. Mr. Rosenthal previously was a Vice President and co-founder of the Private Equity Group at Wit Capital. Prior to joining Wit Capital, Mr. Rosenthal was an attorney at the law firm of Shearman & Sterling LLP. Mr. Rosenthal serves on the board of Algorithmic Implementations, Inc. (d/b/a Ai Squared) and is a member of the board of the Museum of Mathematics and the New York City chapter of the Young Presidents’ Organization (YPO).

Jonathan Cohen

 Mr. Jonathan H. Cohen is Chief Executive Officer, Director of TICC Capital Corp. Mr. Cohen has served as Chief Executive Officer of both the Company and TICC Management, and as the managing member of BDC Partners, since 2003. In addition, Mr. Cohen has served since 2005 as the Chief Executive Officer of T2 Advisers, LLC, which serves as the investment adviser to Greenwich Loan Income Fund Limited (LSE AIM: GLIF), a Guernsey fund that invests primarily in leveraged corporate loans across a variety of industries. Mr. Cohen has served as Chief Executive Officer and Director of Oxford Lane Capital Corp. (NasdaqGS: OXLC), a registered closed-end fund, and as Chief Executive Officer of Oxford Lane Management, since 2010. Mr. Cohen was previously the managing member and a principal of JHC Capital Management, a registered investment adviser that served as the sub-adviser to the Royce Technology Value Fund, a technology-focused mutual fund. Prior to that, Mr. Cohen managed technology equity research groups at Wit Capital, Merrill Lynch, UBS and Smith Barney. Mr. Cohen serves on the board of Algorithmic Implementations, Inc. (d/b/a Ai Squared) and is a member of the Board of Trustees of Connecticut College.

Patrick Conroy

 Mr. Patrick F. Conroy is Chief Financial Officer, Chief Compliance Officer, Corporate Secretary of TICC Capital Corp. Mr. Conroy has served as the Chief Financial Officer since 2003, and the Chief Compliance Officer and Corporate Secretary since 2004 of TICC, TICC Management, and BDC Partners. Mr. Conroy has served as the Treasurer of TICC Management and BDC Partners since 2004, and previously served as the Treasurer of TICC from 2004 to 2009. Mr. Conroy has served since 2005 as the Chief Financial Officer of T2 Advisers, LLC, which serves as investment adviser for GLIF, a Guernsey fund that primarily invests in senior loans, and which also serves as collateral manager of T2 Income Fund CLO I Ltd., a CLO vehicle sponsored by Greenwich Loan Income Fund Limited. In addition, Mr. Conroy has served as Chief Financial Officer, Chief Compliance Officer and Corporate Secretary of Oxford Lane Capital Corp. (NasdaqGS: OXLC), a registered closed-end fund, and Oxford Lane Management, since 2010. He is a certified public accountant.

Steven Novak

 Mr. Steven P. Novak is an Independent Director of TICC Capital Corp., since 2003. Mr. Novak serves as Chairman of the Board of Directors of Mederi Therapeutics Inc., an early stage medical device company, and serves as a board observer at Aperio Technologies Inc., the ePathology solutions vendor to the healthcare and life sciences markets. Until July 2010, Mr. Novak served on the Board of Directors of CyberSource Corporation, an Internet based ePayments processor company, where he served as the Lead Independent Director and Chairman of the Nominating Committee. Mr. Novak previously served as President of Palladio Capital Management, LLC and as the Principal and Managing Member of the General Partner of Palladio Partners, LP, an equities hedge fund, from July 2002 until July 2009. He is a Chartered Financial Analyst.

G. Peter O'Brien

 Mr. G. Peter O'Brien is an Independent Director of TICC Capital Corp. Mr. O’Brien is a member of the Board of Directors of Hill House, Inc., a congregate care facility for low income elderly residents, and a member of the Board of Directors of the Bridges School. Mr. O’Brien serves on the Board of Directors of the Legg Mason of Mutual Funds and The Royce Funds. Mr. O’Brien was a member of the Board of Trustees of Colgate University from May 1996 to May 2005. Mr. O’Brien retired as a Managing Director of Merrill Lynch & Co. in 1999 after working in the equity capital markets area since he joined Merrill Lynch & Co. in 1971.

Tonia Pankopf

 Ms. Tonia L. Pankopf is an Independent Director of TICC Capital Corp. Ms. Pankopf is managing partner of Pareto Advisors, LLC. Previously, she was a senior analyst and managing director at Palladio Capital Management from January 2004 through April 2005. She previously served as an analyst and portfolio manager with P.A.W. Capital Partners, LP from 2001 to July 2003. Ms. Pankopf was a senior analyst and vice president at Goldman, Sachs & Co. from 1999 to 2001 and at Merrill Lynch & Co. from 1998 to 1999. Ms. Pankopf serves on the Board of Directors of the University System of Maryland Foundation. Ms. Pankopf is a member of the National Association of Corporate Directors and holds an ISS Accredited Certificate of Director Education.

Basic Compensation

Name Fiscal Year Total

Charles Royce

 --

Saul Rosenthal

 --

Jonathan Cohen

 --

Patrick Conroy

 --

Steven Novak

 --

G. Peter O'Brien

 --

Tonia Pankopf

 --
As Of 

Options Compensation

Name Options Value

Charles Royce

 0 0

Saul Rosenthal

 0 0

Jonathan Cohen

 0 0

Patrick Conroy

 0 0

Steven Novak

 0 0

G. Peter O'Brien

 0 0

Tonia Pankopf

 0 0

Insider Trading

Name Shares Traded Price

CONROY PATRICK F

 10,000 $8.50

ROYCE CHARLES M

 1,983 $8.45

ROYCE CHARLES M

 25,000 $8.48

ROSENTHAL SAUL B

 20,000 $8.50

ROYCE CHARLES M

 200 $8.41

ROYCE CHARLES M

 10,000 $8.46

ROYCE CHARLES M

 1,200 $8.42

ROYCE CHARLES M

 100 $8.30

ROYCE CHARLES M

 24,078 $8.28

ROYCE CHARLES M

 53,000 $8.40
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