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

Institutional Holders (2016Q2)
Portfolio Summary: 85 Institutional holders with a total value of $44,171,990.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WEALTHPLAN PARTNERS, LLC 5,291 28 0.00%
2 GLENMEDE TRUST CO NA 320 1,000 0.00%
3 Hudock, Inc. 411 2,000 0.00%
4 CUTLER GROUP LLC / CA 17,200 3,000 0.01% Put
5 PENSERRA CAPITAL MANAGEMENT LLC 543 3,000 0.01%
6 WOLVERINE TRADING LP /BD 9 4,572 0.01% Call
7 PRELUDE CAPITAL MANAGEMENT, LLC 900 5,000 0.01%
8 Focused Wealth Management, Inc 866 5,000 0.01%
9 BENJAMIN F. EDWARDS & COMPANY, INC. 1,000 5,000 0.01%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,300 7,000 0.02%
11 WealthTrust-Arizona, LLC 1,394 7,000 0.02%
12 BlackRock Investment Management, LLC 1,300 7,000 0.02%
13 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,539 8,000 0.02%
14 CUTLER GROUP LLC / CA 26,500 9,000 0.02% Call
15 US BANCORP \DE\ 1,823 10,000 0.02%
16 WOLVERINE TRADING LP /BD 2,121 10,775 0.02%
17 MSI Financial Services Inc 2,000 11,000 0.02%
18 MOSAIC FAMILY WEALTH, LLC 2,200 12,000 0.03%
19 ADVISOR GROUP, INC. 2,527 13,000 0.03%
20 SIMPLEX TRADING, LLC 2,947 15,000 0.03%
21 Walleye Trading LLC 3,800 20,000 0.05%
22 Global X Management CO LLC 4,258 22,000 0.05%
23 DEUTSCHE BANK AG\ 5,109 26,000 0.06%
24 PNC FINANCIAL SERVICES GROUP, INC. 5,000 27,000 0.06%
25 WOLVERINE TRADING LP /BD 66 33,528 0.08% Put
26 Cowen Prime Services LLC 7,200 38,000 0.09%
27 Tower Research Capital LLC (TRC) 9,523 50,000 0.11%
28 FCG ADVISORS, LLC 10,300 54,000 0.12%
29 RAYMOND JAMES & ASSOCIATES 10,555 56,000 0.13%
30 Raymond James Financial Services Advisors, Inc. 13,434 71,000 0.16%
31 PVG Asset Management 14,150 74,570 0.17%
32 OPPENHEIMER & CO INC 15,014 80,000 0.18%
33 RAYMOND JAMES TRUST N.A. 15,445 81,000 0.18%
34 CUTLER GROUP LLC / CA 17,244 90,000 0.20%
35 ACROSPIRE INVESTMENT MANAGEMENT LLC 18,920 100,000 0.23%
36 IFP ADVISORS, INC 19,604 103,000 0.23%
37 GOLDMAN SACHS GROUP INC 20,011 105,000 0.24%
38 Commonwealth Equity Services, Inc 20,639 109,000 0.25%
39 WEDBUSH SECURITIES INC 21,260 112,000 0.25%
40 PineBridge Investments, L.P. 21,517 113,000 0.26%
41 SHEAFF BROCK INVESTMENT ADVISORS, LLC 21,550 114,000 0.26%
42 SHUFRO ROSE & CO LLC 22,000 116,000 0.26%
43 CIBC WORLD MARKET INC. 22,878 121,000 0.27%
44 SUMMIT SECURITIES GROUP LLC 24,012 127,000 0.29%
45 FIRST FOUNDATION ADVISORS 25,126 132,000 0.30%
46 WELLS FARGO & COMPANY/MN 25,014 132,000 0.30%
47 Creative Planning 25,513 134,000 0.30%
48 CITIGROUP INC 25,845 136,000 0.31%
49 STEPHENS INC /AR/ 27,698 146,000 0.33%
50 Sequoia Financial Advisors, LLC 30,436 160,000 0.36%
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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.