| Symbol | Company | Owner | Relationship | Date | Transaction | Cost | # Shares | Value ($) | Total Shares | Filing | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Nov 14, 2017 | Buy | $6.04 | 4,129 | 24,920 | 1,153,015 | Nov 15, 2017, 04:45 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Nov 15, 2017 | Buy | $6.03 | 8,485 | 51,124 | 1,161,499 | Nov 15, 2017, 04:45 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Nov 07, 2017 | Buy | $5.99 | 21,050 | 126,047 | 1,130,136 | Nov 08, 2017, 05:46 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Nov 08, 2017 | Buy | $5.99 | 5,835 | 34,927 | 1,135,971 | Nov 08, 2017, 05:46 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Nov 06, 2017 | Buy | $5.85 | 26,431 | 154,561 | 1,109,086 | Nov 08, 2017, 05:46 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 31, 2017 | Buy | $6.70 | 800 | 5,357 | 1,081,895 | Sep 05, 2017, 05:09 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Sep 01, 2017 | Buy | $6.68 | 732 | 4,891 | 1,082,627 | Sep 05, 2017, 05:09 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 30, 2017 | Buy | $6.67 | 5,077 | 33,876 | 1,081,095 | Aug 30, 2017, 05:58 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 28, 2017 | Buy | $6.69 | 3,645 | 24,391 | 1,075,058 | Aug 30, 2017, 05:58 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 29, 2017 | Buy | $6.70 | 961 | 6,436 | 1,076,018 | Aug 30, 2017, 05:58 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 23, 2017 | Buy | $6.69 | 1,121 | 7,497 | 1,064,884 | Aug 25, 2017, 06:24 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 24, 2017 | Buy | $6.69 | 3,438 | 23,005 | 1,068,322 | Aug 25, 2017, 06:24 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 25, 2017 | Buy | $6.69 | 3,091 | 20,668 | 1,071,413 | Aug 25, 2017, 06:24 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 22, 2017 | Buy | $6.68 | 4,423 | 29,552 | 1,063,763 | Aug 22, 2017, 05:54 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 18, 2017 | Buy | $6.65 | 449 | 2,986 | 1,054,191 | Aug 22, 2017, 05:54 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 21, 2017 | Buy | $6.65 | 5,150 | 34,237 | 1,059,341 | Aug 22, 2017, 05:54 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 10, 2017 | Buy | $6.64 | 5,043 | 33,501 | 1,041,632 | Aug 14, 2017, 05:56 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 11, 2017 | Buy | $6.58 | 9,489 | 62,451 | 1,051,121 | Aug 14, 2017, 05:56 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 14, 2017 | Buy | $6.62 | 2,622 | 17,370 | 1,053,742 | Aug 14, 2017, 05:56 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 17, 2016 | Buy | $5.44 | 40,200 | 218,608 | 1,007,914 | Jun 21, 2016, 04:42 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 20, 2016 | Buy | $5.46 | 28,600 | 156,042 | 1,036,514 | Jun 21, 2016, 04:42 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 14, 2016 | Buy | $5.43 | 40,360 | 219,114 | 893,218 | Jun 16, 2016, 05:47 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 15, 2016 | Buy | $5.39 | 40,360 | 217,379 | 933,578 | Jun 16, 2016, 05:47 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 16, 2016 | Buy | $5.35 | 34,136 | 182,696 | 967,714 | Jun 16, 2016, 05:47 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 06, 2016 | Buy | $5.74 | 14,400 | 82,642 | 852,858 | Jun 08, 2016, 02:36 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 01, 2016 | Buy | $5.65 | 27,320 | 154,303 | 691,138 | Jun 03, 2016, 12:19 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 02, 2016 | Buy | $5.61 | 27,320 | 153,211 | 718,458 | Jun 03, 2016, 12:19 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jun 03, 2016 | Buy | $5.64 | 120,000 | 676,800 | 838,458 | Jun 03, 2016, 12:19 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 27, 2016 | Buy | $5.65 | 23,800 | 134,470 | 636,498 | May 31, 2016, 03:24 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 31, 2016 | Buy | $5.65 | 27,320 | 154,249 | 663,818 | May 31, 2016, 03:24 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 26, 2016 | Buy | $5.67 | 23,880 | 135,328 | 612,618 | May 31, 2016, 03:24 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 23, 2016 | Buy | $5.39 | 23,880 | 128,809 | 540,978 | May 25, 2016, 05:55 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 24, 2016 | Buy | $5.59 | 23,880 | 133,609 | 564,858 | May 25, 2016, 05:55 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 25, 2016 | Buy | $5.67 | 23,880 | 135,304 | 588,738 | May 25, 2016, 05:55 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 20, 2016 | Buy | $5.27 | 20,160 | 106,223 | 517,098 | May 20, 2016, 04:45 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 18, 2016 | Buy | $5.44 | 20,160 | 109,590 | 476,778 | May 20, 2016, 04:45 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 19, 2016 | Buy | $5.28 | 20,160 | 106,546 | 496,938 | May 20, 2016, 04:45 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 13, 2016 | Buy | $5.34 | 13,571 | 72,510 | 416,298 | May 17, 2016, 05:15 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 16, 2016 | Buy | $5.44 | 20,160 | 109,590 | 436,458 | May 17, 2016, 05:15 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 17, 2016 | Buy | $5.43 | 20,160 | 109,388 | 456,618 | May 17, 2016, 05:15 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 10, 2016 | Buy | $5.08 | 16,680 | 84,801 | 369,367 | May 12, 2016, 05:56 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 11, 2016 | Buy | $5.24 | 16,680 | 87,353 | 386,047 | May 12, 2016, 05:56 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 12, 2016 | Buy | $5.30 | 16,680 | 88,454 | 402,727 | May 12, 2016, 05:56 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 05, 2016 | Buy | $5.00 | 12,800 | 64,038 | 323,207 | May 09, 2016, 05:08 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 06, 2016 | Buy | $5.02 | 12,800 | 64,218 | 336,007 | May 09, 2016, 05:08 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | May 09, 2016 | Buy | $5.04 | 16,680 | 84,084 | 352,687 | May 09, 2016, 05:08 PM | |
| OXLC | Oxford Lane Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Mar 11, 2014 | Option Exercise | $17.00 | 10,000 | 170,000 | 210,000 | Mar 12, 2014, 06:45 PM | |
| OXLC | Oxford Lane Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Nov 18, 2013 | Buy | $22.50 | 44,444 | 999,990 | 44,444 | Nov 18, 2013, 05:12 PM | |
| OXLC | Oxford Lane Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Feb 25, 2013 | Option Exercise | $14.50 | 100,000 | 1,450,000 | 200,000 | Feb 26, 2013, 04:20 PM | |
| OXLC | Oxford Lane Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Apr 27, 2012 | Option Exercise | $13.75 | 46,667 | 641,671 | 100,000 | Apr 30, 2012, 05:29 PM | |
| OXLC | Oxford Lane Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 26, 2011 | Option Exercise | $15.00 | 13,333 | 199,995 | 53,333 | Aug 26, 2011, 06:36 PM | |
| OXLC | Oxford Lane Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Jan 25, 2011 | Buy | $20.00 | 37,500 | 750,000 | 40,000 | Jan 25, 2011, 04:36 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 24, 2010 | Buy | $8.77 | 6,166 | 54,070 | 310,193 | Aug 24, 2010, 06:51 PM | |
| TICC | TICC Capital Corp. | COHEN JONATHAN H | Chief Executive Officer | Aug 11, 2010 | Buy | $8.75 | 3,834 | 33,548 | 304,027 | Aug 12, 2010, 06:55 PM |
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