People: TICC Capital Corp (TICC.OQ)

TICC.OQ on NASDAQ Stock Exchange Global Select Market

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11:01am EDT
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$-0.06 (-0.60%)
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$10.08
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$10.10
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$10.02
Volume
30,818
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$11.09
52-wk Low
$8.85

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Summary

Name Age Since Current Position

Charles Royce

73 2003 Chairman of the Board

Saul Rosenthal

44 2004 President, Chief Operating Officer

Jonathan Cohen

48 2003 Chief Executive Officer, Director

Patrick Conroy

56 2009 Chief Financial Officer, Chief Compliance Officer, Corporate Secretary

Steven Novak

65 2003 Independent Director

G. Peter O'Brien

67 2003 Independent Director

Tonia Pankopf

45 2003 Independent Director

Biographies

Name Description

Charles Royce

Mr. Charles M. Royce is Chairman of the Board of TICC Capital Corp. 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 collateral manager of T2 Income Fund CLO I Ltd. 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, LLC, since 2010. Mr. Rosenthal was previously 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 National Museum of Mathematics and the New York City chapter of the Young Presidents’ Organization (YPO). Mr. Rosenthal received a B.S., magna cum laude, from the Wharton School of the University of Pennsylvania, a J.D. from Columbia University Law School, where he was a Harlan Fiske Stone Scholar, and a LL.M. (Taxation) from New York University School of Law.

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 TICC 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 collateral manager to T2 Income Fund CLO I Ltd. Mr. Cohen has also 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, LLC, since 2010. Previously, 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. Mr. Cohen received a B.A. in Economics from Connecticut College and an M.B.A. from Columbia University.

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 also served since 2005 as the Chief Financial Officer of T2 Advisers, LLC, which serves as collateral manager of T2 Income Fund CLO I Ltd. 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. Prior to joining TICC Capital Corp. in December 2003, Mr. Conroy was a consultant on financial reporting and compliance matters, as well as an adjunct professor of accounting and finance at St. Thomas Aquinas College. He is a certified public accountant. Mr. Conroy received a B.S. in Accounting, summa cum laude, from St. John’s University and did graduate work at Bernard M. Baruch College of the City University of New York.

Steven Novak

Mr. Steven P. Novak is Independent Director of TICC Capital Corp. Mr. Novak currently serves as Chairman of the Board of Directors and Chief Executive Officer of MOBIbucks Corp., an early stage mobile payments company, and is the Chairman of the Board of Directors of Mederi Therapeutics Inc., an early stage medical device company. Until July 2010, Mr. Novak also 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. A Chartered Financial Analyst.

G. Peter O'Brien

Mr. G. Peter O'Brien is Independent Director of TICC Capital Corp. Mr. O’Brien is currently 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 Family 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 Independent Director of TICC Capital Corp. Ms. Pankopf has been managing partner of Pareto Advisors, LLC since 2005. Previously, she was a senior analyst and managing director at Palladio Capital Management from January 2004 through April 2005. From 2001 to 2003, Ms. Pankopf served as an analyst and portfolio manager with P.A.W. Capital Partners, LP. 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 also serves on the Board of Directors of Landec Corporation and served on the Board of the University System of Maryland Foundation from 2006 to 2012. She is a member of the National Association of Corporate Directors and holds an ISS Accredited Certificate of Director Education. Ms. Pankopf received a Bachelor of Arts degree summa cum laude from the University of Maryland and an M.S. degree from the London School of Economics.

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