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TICC CAPITAL CORP
TICC CAPITAL CORP. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 86 Institutional holders with a total value of $80,669,397.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CUTLER GROUP LLC / CA 900 0 0.00% Call
2 CUTLER GROUP LLC / CA 200 0 0.00% Put
3 GLENMEDE TRUST CO NA 320 1,000 0.00%
4 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 210 1,000 0.00%
5 SIMPLEX TRADING, LLC 200 1,000 0.00%
6 Hudock, Inc. 366 2,000 0.00%
7 PENSERRA CAPITAL MANAGEMENT LLC 688 4,000 0.00%
8 Tower Research Capital LLC (TRC) 614 4,000 0.00%
9 Focused Wealth Management, Inc 866 5,000 0.01%
10 SEI INVESTMENTS CO 800 5,000 0.01%
11 BENJAMIN F. EDWARDS & COMPANY, INC. 1,000 6,000 0.01%
12 WealthTrust-Arizona, LLC 1,042 6,000 0.01%
13 MYCIO WEALTH PARTNERS, LLC 1,000 6,000 0.01%
14 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,539 9,000 0.01%
15 MSI Financial Services Inc 2,000 12,000 0.01%
16 REILLY FINANCIAL ADVISORS, LLC 2,000 12,000 0.01%
17 MOSAIC FAMILY WEALTH, LLC 2,200 13,000 0.02%
18 Global X Management CO LLC 2,647 16,000 0.02%
19 AMERICAN INTERNATIONAL GROUP, INC. 3,729 23,000 0.03%
20 PNC FINANCIAL SERVICES GROUP, INC. 5,000 30,000 0.04%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,900 30,000 0.04%
22 JPMORGAN CHASE & CO 5,470 33,000 0.04%
23 US BANCORP \DE\ 6,823 41,000 0.05%
24 Cowen Prime Services LLC 7,200 44,000 0.05%
25 CAPITAL ASSET ADVISORY SERVICES LLC 11,170 68,000 0.08%
26 DIALECTIC CAPITAL MANAGEMENT, LP 11,254 68,000 0.08%
27 NORTHERN TRUST CORP 11,154 68,000 0.08%
28 PineBridge Investments, L.P. 11,858 72,000 0.09%
29 DAVENPORT & Co LLC 12,019 73,076 0.09%
30 IFP ADVISORS, INC 13,970 85,000 0.11%
31 SG Americas Securities, LLC 15,460 94,000 0.12%
32 Virtu KCG Holdings LLC 15,475 94,000 0.12%
33 RAYMOND JAMES TRUST N.A. 15,445 94,000 0.12%
34 AMERIPRISE FINANCIAL INC 15,837 96,000 0.12%
35 D. E. Shaw & Co., Inc. 15,913 97,000 0.12%
36 OPPENHEIMER & CO INC 16,014 98,000 0.12%
37 EAGLE GLOBAL ADVISORS LLC 16,150 98,000 0.12%
38 SHUFRO ROSE & CO LLC 17,000 103,000 0.13%
39 Commonwealth Equity Services, Inc 17,775 108,000 0.13%
40 WEDBUSH SECURITIES INC 18,872 115,000 0.14%
41 SUSQUEHANNA INTERNATIONAL GROUP, LLP 19,046 116,000 0.14%
42 SHEAFF BROCK INVESTMENT ADVISORS, LLC 24,800 151,000 0.19%
43 FIRST FOUNDATION ADVISORS 25,126 153,000 0.19%
44 STEPHENS INC /AR/ 25,378 154,000 0.19%
45 LPL Financial LLC 26,866 164,000 0.20%
46 Spot Trading L.L.C 27,600 168,000 0.21% Call
47 Creative Planning 28,589 174,000 0.22%
48 CIBC WORLD MARKET INC. 30,270 184,000 0.23%
49 OPTIMUM INVESTMENT ADVISORS 31,500 192,000 0.24%
50 TUDOR INVESTMENT CORP ET AL 32,104 195,000 0.24%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.