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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
51 SUMMIT SECURITIES GROUP LLC 11,588 67,000 0.15%
52 Sigma Planning Corp 11,200 65,000 0.15%
53 PRELUDE CAPITAL MANAGEMENT, LLC 9,900 58,000 0.13%
54 Cowen Prime Services LLC 7,200 42,000 0.10%
55 ADVISOR GROUP, INC. 6,577 39,000 0.09%
56 PineBridge Investments, L.P. 5,710 33,000 0.08%
57 WEALTHPLAN PARTNERS, LLC 5,553 32,707 0.08%
58 PNC FINANCIAL SERVICES GROUP, INC. 4,000 24,000 0.06%
59 Tower Research Capital LLC (TRC) 2,559 15,000 0.03%
60 Global X Management CO LLC 2,416 14,000 0.03%
61 MOSAIC FAMILY WEALTH, LLC 2,200 13,000 0.03%
62 Cable Hill Partners, LLC 2,000 12,000 0.03%
63 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,070 12,000 0.03%
64 US BANCORP \DE\ 1,823 11,000 0.03%
65 WealthTrust-Arizona, LLC 1,470 9,000 0.02%
66 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,539 9,000 0.02%
67 Focused Wealth Management, Inc 866 5,000 0.01%
68 CUTLER GROUP LLC / CA 1,030 5,000 0.01%
69 PENSERRA CAPITAL MANAGEMENT LLC 740 4,000 0.01%
70 Hudock, Inc. 832 4,000 0.01%
71 CUTLER GROUP LLC / CA 7,000 3,000 0.01% Put
72 NEXT Financial Group, Inc 281 2,000 0.00%
73 GLENMEDE TRUST CO NA 320 1,000 0.00%
74 SIMPLEX TRADING, LLC 54 0 0.00%
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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.