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

Institutional Holders (2016Q3)
Portfolio Summary: 74 Institutional holders with a total value of $43,291,902.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SIMPLEX TRADING, LLC 54 0 0.00%
2 GLENMEDE TRUST CO NA 320 1,000 0.00%
3 NEXT Financial Group, Inc 281 2,000 0.00%
4 CUTLER GROUP LLC / CA 7,000 3,000 0.01% Put
5 Hudock, Inc. 832 4,000 0.01%
6 PENSERRA CAPITAL MANAGEMENT LLC 740 4,000 0.01%
7 Focused Wealth Management, Inc 866 5,000 0.01%
8 CUTLER GROUP LLC / CA 1,030 5,000 0.01%
9 WealthTrust-Arizona, LLC 1,470 9,000 0.02%
10 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,539 9,000 0.02%
11 US BANCORP \DE\ 1,823 11,000 0.03%
12 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,070 12,000 0.03%
13 Cable Hill Partners, LLC 2,000 12,000 0.03%
14 MOSAIC FAMILY WEALTH, LLC 2,200 13,000 0.03%
15 Global X Management CO LLC 2,416 14,000 0.03%
16 Tower Research Capital LLC (TRC) 2,559 15,000 0.03%
17 PNC FINANCIAL SERVICES GROUP, INC. 4,000 24,000 0.06%
18 WEALTHPLAN PARTNERS, LLC 5,553 32,707 0.08%
19 PineBridge Investments, L.P. 5,710 33,000 0.08%
20 ADVISOR GROUP, INC. 6,577 39,000 0.09%
21 Cowen Prime Services LLC 7,200 42,000 0.10%
22 PRELUDE CAPITAL MANAGEMENT, LLC 9,900 58,000 0.13%
23 Sigma Planning Corp 11,200 65,000 0.15%
24 SUMMIT SECURITIES GROUP LLC 11,588 67,000 0.15%
25 Raymond James Financial Services Advisors, Inc. 14,389 84,000 0.19%
26 OPPENHEIMER & CO INC 15,014 88,000 0.20%
27 TFS CAPITAL LLC 15,238 89,000 0.21%
28 TWO SIGMA SECURITIES, LLC 15,334 89,000 0.21%
29 PVG ASSET MANAGEMENT CORP 15,505 90,239 0.21%
30 Dynamic Technology Lab Private Ltd 17,177 100,000 0.23%
31 STEPHENS INC /AR/ 17,560 102,000 0.24%
32 IFP ADVISORS, INC 17,935 104,000 0.24%
33 CIBC WORLD MARKET INC. 18,740 109,000 0.25%
34 Walleye Trading LLC 18,700 109,000 0.25%
35 Commonwealth Equity Services, Inc 20,386 119,000 0.27%
36 WEDBUSH SECURITIES INC 20,794 121,000 0.28%
37 SHUFRO ROSE & CO LLC 22,000 128,000 0.30%
38 SHEAFF BROCK INVESTMENT ADVISORS, LLC 23,260 135,000 0.31%
39 FIRST FOUNDATION ADVISORS 25,126 146,000 0.34%
40 Sequoia Financial Advisors, LLC 26,536 154,000 0.36%
41 CITIGROUP INC 27,124 157,000 0.36%
42 GOLDMAN SACHS GROUP INC 28,437 166,000 0.38%
43 OPTIMUM INVESTMENT ADVISORS 30,000 175,000 0.40%
44 BAIRD FINANCIAL GROUP, INC. 36,801 214,000 0.49%
45 Creative Planning 36,734 214,000 0.49%
46 WELLS FARGO & COMPANY/MN 38,349 223,000 0.52%
47 TUDOR INVESTMENT CORP ET AL 40,423 235,000 0.54%
48 IFC Holdings Incorporated/FL 40,214 236,000 0.55%
49 Sather Financial Group Inc 42,700 249,000 0.58%
50 ACROSPIRE INVESTMENT MANAGEMENT LLC 47,583 277,000 0.64%
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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.