TICC Capital Corp.

Team

Jonathan H. Cohen - Board Member and Chief Executive Officer

Mr. Cohen is the Chief Executive Officer of TICC Capital Corp. and is also the Chief Executive Officer of Oxford Lane Capital Corp.  (NasdaqGS: OXLC). Previously, Mr. Cohen managed technology research groups at Wit SoundView, Merrill Lynch & Co., UBS Securities and Salomon Smith Barney. Mr. Cohen has more than 15 years of experience in technology-related equity research and was named to the Institutional Investor "All-American" research team in 1996, 1997 and 1998. Mr. Cohen received a Bachelor of Arts degree in Economics from Connecticut College and an M.B.A. from Columbia University.

 
Saul B. Rosenthal - President and Chief Operating Officer

Mr. Rosenthal is the President and Chief Operating Officer of TICC Capital Corp. and is also the President of Oxford Lane Capital Corp.  (NasdaqGS: OXLC). Previously, Mr. Rosenthal was an attorney at the law firm of Shearman & Sterling LLP. Mr. Rosenthal is a board member of Oxford Lane Capital Corp., LiftForward, Inc., the National Museum of Mathematics, and YPO New York City. He received a Bachelor of Science degree magna cum laude from the Wharton School of the University of Pennsylvania, a J.D. from Columbia University Law School, where he was a Harlan Fiske Stone Scholar, and a LL.M. (Taxation) from New York University School of Law.

 
Bruce L. Rubin - Chief Financial Officer

Mr. Rubin is Chief Financial Officer of TICC Capital Corp. and holds the same position at Oxford Lane Capital Corp.  (NasdaqGS: OXLC). He is the former Assistant Treasurer & Director of Financial Planning of the New York Mercantile Exchange, Inc., the largest physical commodities futures exchange in the world and has extensive experience with Sarbanes-Oxley, treasury operations and SEC reporting requirements. From 1989 to 1995, Mr. Rubin was a manager in financial operations for the American Stock Exchange, where he was primarily responsible for budgeting matters. Mr. Rubin began his career in commercial banking as an auditor primarily of the commercial lending and municipal bond dealer areas. Mr. Rubin received his BBA in Accounting from Hofstra University where he also obtained his Masters of Business Administration in Finance.

Jonathan H. Cohen - Board Member and Chief Executive Officer

Mr. Cohen is the Chief Executive Officer of TICC Capital Corp. and is also the Chief Executive Officer of Oxford Lane Capital Corp. (NasdaqGS: OXLC). Previously, Mr. Cohen managed technology research groups at Wit SoundView, Merrill Lynch & Co., UBS Securities and Salomon Smith Barney. Mr. Cohen has more than 15 years of experience in technology-related equity research and was named to the Institutional Investor "All-American" research team in 1996, 1997 and 1998. Mr. Cohen received a Bachelor of Arts degree in Economics from Connecticut College and an M.B.A. from Columbia University.

 
Saul B. Rosenthal - President and Chief Operating Officer

Mr. Rosenthal is the President of TICC Capital Corp. and is also the President of Oxford Lane Capital Corp. (NasdaqGS: OXLC). Previously, Mr. Rosenthal was an attorney at the law firm of Shearman & Sterling LLP. Mr. Rosenthal is a board member of Oxford Lane Capital Corp., LiftForward, Inc., the National Museum of Mathematics, and YPO New York City. He received a Bachelor of Science degree magna cum laude from the Wharton School of the University of Pennsylvania, a J.D. from Columbia University Law School, where he was a Harlan Fiske Stone Scholar, and a LL.M. (Taxation) from New York University School of Law.

 
Darryl M. Monasebian - Executive Vice President, Head of Risk and Portfolio Management

Mr. Monasebian is the Executive Vice President, Head of Risk and Portfolio Management, of TICC Management, LLC, the adviser of TICC Capital Corp. He also holds the same position at Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). Previously, Mr. Monasebian was a Director in the Merchant Banking Group at BNP Paribas, and prior to that was a Director at Swiss Bank Corporation and a Senior Account Officer at Citibank. He began his business career at Metropolitan Life Insurance Company as an Investment Analyst in the Corporate Investments Department. Mr. Monasebian has more than 20 years of banking and investment management experience. Mr. Monasebian received a Bachelor of Science degree in Management Science/Operations Research from Case Western Reserve University in 1984 and a Masters of Business Administration from Boston University's Graduate School of Management in 1986.

 
Debdeep Maji - Senior Managing Director, Portfolio Manager

Mr. Maji is Senior Managing Director, Portfolio Manager of TICC Management, LLC, the adviser of TICC Capital Corp. and holds that same position with Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). He graduated from the Jerome Fisher Program in Management and Technology at the University of Pennsylvania where he received a Bachelor of Science degree in Economics from the Wharton School (and was designated a Joseph Wharton Scholar) and a Bachelor of Applied Science from the School of Engineering.

 
Kevin P. Yonon - Managing Director, Portfolio Manager

Mr. Yonon is a Managing Director of TICC Management, LLC, the adviser of TICC Capital Corp. and holds that same position with Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). Previously, Mr. Yonon was an Associate at Deutsche Bank Securities and prior to that he was an Analyst at Blackstone Mezzanine Partners. Before joining Blackstone, he worked as an Analyst at Merrill Lynch in the Mergers & Acquisitions group. Mr. Yonon received a B.S. in Economics with concentrations in Finance and Accounting from the Wharton School at the University of Pennsylvania, where he graduated magna cum laude, and an M.B.A. from the Harvard Business School.

 
Joe Kupka - Senior Vice President

Mr. Kupka is a Senior Vice President of TICC Management, LLC, the adviser of TICC Capital Corp. and holds that same position with Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). Previously, he worked as a risk analyst for First Equity Card Corporation. He has a BS in Mechanical Engineering from the University of Pennsylvania, where he was the Abel and Bernstein Class of 1945 Scholarship Recipient.

 
Tarun Vanjani - Vice President

Mr. Vanjani is a Vice President of TICC Management, LLC, the adviser of TICC Capital Corp. and holds that same position with Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). Previously, Mr. Vanjani was an Associate at RBC Capital Markets and held R&D related roles at GlaxoSmithKline Pharmaceuticals. Mr. Vanjani received a B.S. in Cellular & Molecular Biology from the University of Michigan, an M.B.A. from Columbia Business School, and studied at the London School of Economics.

 
Hooman Banafsheha - Vice President

Mr. Banafsheha is a Vice President of TICC Management, LLC, the adviser of TICC Capital Corp. and holds that same position with Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). Previously, Mr. Banafsheha was a Vice President in the Finance division of Goldman Sachs. Prior to joining Goldman Sachs, he was a Senior Consultant at Deloitte. Mr. Banafsheha received a B.S. in Business Administration with a concentration in Finance from the State University of New York, University at Albany, where he graduated magna cum laude. Mr. Banafsheha has also attained the Charted Alternative Investment Analyst (CAIA) designation.

 
Mark Shohet - Senior Associate

Mr. Shohet is a Senior Associate at TICC Management, LLC, the adviser of TICC Capital Corp. and holds that same position with Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). Previously, Mr. Shohet was a Manager in the Structured Finance Transactions group at Ernst and Young. Mr. Shohet received a B.S. in Finance and Accounting from the Robert H. Smith School of Business at the University of Maryland, where he graduated magna cum laude, and an M.B.A. from Columbia Business School. Mr. Shohet is also a CFA Charterholder.

 
Jeff Boccuzzi - Senior Associate

Mr. Boccuzzi is a Senior Associate for TICC Management, LLC, the adviser of TICC Capital Corp. and holds that same position with Oxford Lane Management, LLC, the adviser of OXLC (NasdaqGS: OXLC). Previously, Mr. Boccuzzi was a Manager in the Middle Office Operations group at AIG Asset Management. He received a B.S. in Business Management from the University of Connecticut and is a Level III Chartered Financial Analyst (CFA) Candidate.

 
John A. Grib - Middle Office Analyst

Mr. Grib is a Middle Office Analyst for TICC Management, LLC, the adviser of TICC Capital Corp. and holds the same position with Oxford Lane Management, LLC, the adviser of Oxford Lane Capital Corp. (NasdaqGS: OXLC). Previously, Mr. Grib served as an Analyst for the Global Capital Markets team at BNP Paribas as well as the Institutional Securities Group at Morgan Stanley. He received a B.S. in Finance & Real Estate from Syracuse University.

 
Bruce L. Rubin - Chief Financial Officer

Mr. Rubin is Chief Financial Officer of TICC Capital Corp. and holds the same position at Oxford Lane Capital Corp. (NasdaqGS: OXLC). He is the former Assistant Treasurer & Director of Financial Planning of the New York Mercantile Exchange, Inc., the largest physical commodities futures exchange in the world and has extensive experience with Sarbanes-Oxley, treasury operations and SEC reporting requirements. From 1989 to 1995, Mr. Rubin was a manager in financial operations for the American Stock Exchange, where he was primarily responsible for budgeting matters. Mr. Rubin began his career in commercial banking as an auditor primarily of the commercial lending and municipal bond dealer areas. Mr. Rubin received his BBA in Accounting from Hofstra University where he also obtained his Masters of Business Administration in Finance.

 
Vincent Gurrera - Assistant Controller and Vice President

Mr. Gurrera is the Assistant Controller and Vice President of TICC Capital Corp and holds the same position at Oxford Lane Capital Corp. (NasdaqGS: OXLC). He was formerly an Accountant at Ellington Management Group, LLC, a hedge fund specializing in asset-backed securities. From 2002 to 2006, Mr. Gurrera was a Senior Auditor at Ernst & Young LLP focusing on hedge funds, broker dealers and private equity institutions. Mr. Gurrera received his BBA in Accounting from the Hagan School of Business at Iona College and is a licensed Certified Public Accountant in the State of New York

 
Michael Testa - Assistant Controller

Mr. Testa is the Assistant Controller of TICC Capital Corp. and holds the same position at Oxford Lane Capital Corp. (NasdaqGS: OXLC). Prior to joining TICC, Mr. Testa worked at Ernst & Young LLP's New York and Zurich offices, focusing on global asset managers, hedge funds, private equity institutions and registered investment companies. Mr. Testa received his BBA in Accounting from the Hagan School of Business at Iona College and is a licensed Certified Public Accountant in the State of New York and New Jersey.

 
Eli Smoroda - Senior Accounting Manager

Mr. Smoroda is a Senior Accounting Manager of TICC Capital Corp. and holds the same position at Oxford Lane Capital Corp. (NasdaqGS: OXLC). Previously, he worked as a Senior Associate in the Assurance Asset Management practice of PricewaterhouseCoopers where he served clients in the alternative investments industry, primarily hedge funds and private equity funds. Mr. Smoroda received his Bachelor of Science in Accounting from Lehigh University. He is a certified public accountant in New York.

 
Christian Contreras - Senior Accountant

Mr. Contreras is a Senior Accountant of TICC Capital Corp. and holds the same position at Oxford Lane Capital Corp. (NasdaqGS: OXLC). Prior to joining TICC, Mr. Contreras worked at PricewaterhouseCoopers within the Alternative Asset Management Assurance group focusing on a diverse set of funds, products, and strategies. He received his Bachelor of Science in Accounting from Bryant University and has completed the required exams for the Certified Public Accountant designation in the state of New York. He is also currently a Level II Chartered Financial Analyst (CFA) candidate.

Steven P. Novak - Chairman

Mr. Novak has 30 years of experience in securities investment and finance. Mr. Novak currently serves as Chairman at Mederi Therapeutics, Inc. a manufacturer and marketer of medical devices and as a Board Member at Aperio Technologies, Inc. Previously, Mr. Novak served as President of Palladio Capital Management, LLC and as the Principal and Managing Member of the General Partner of Palladio Partners, LP. Prior to founding Palladio, Mr. Novak was a Managing Director of C.E. Unterberg, Towbin from February 1993 through December 2001. During his tenure at Unterberg, Mr. Novak founded and served as President and Portfolio Manager of Unterberg Harris Capital Management (now Unterberg Towbin Capital Management), a registered investment adviser, where he managed discretionary accounts, and Unterberg Harris Capital Partners I, a hedge fund. Mr. Novak subsequently served as Director of research at C.E. Unterberg, Towbin, the adviser's parent company, and founded the Internet Practice within Unterberg's Corporate Finance Department. While at Unterberg, Mr. Novak also directed private equity investments on behalf of limited partnerships managed by Unterberg. Prior affiliations included Sanford C. Bernstein & Company, Inc., where Mr. Novak was a Partner, member of the Investment Policy Committee and Senior Portfolio Manager, and Harris Bankcorp, where he served as a Vice President and managed a $175 million fund of employee benefit assets that invested in small and medium-sized companies. Mr. Novak received a Bachelor of Science degree from Purdue University and an M.B.A. from the Harvard Business School. He is a Chartered Financial Analyst.

 
Charles M. Royce - Board Member

Mr. Royce became President, Chief Investment Officer and member of the Board of Managers of Royce & Associates (including its corporate predecessor) in 1972 and has served in those positions for approximately 40 years. He also manages or co-manages five of Royce & Associates' funds. He received a Bachelor of Arts degree from Brown University and a M.B.A. from Columbia University. As of March 31, 2012, Royce & Associates had $40 billion in assets under management.

 
Richard W. Neu - Board Member

Mr. Neu served as a director of MCG Capital Corporation from 2007 until its sale in 2015, as well as Chairman of the Board from 2009 to 2015, and Chief Executive Officer from November 2011 to November 2012. For the last 12 years he has held a variety of Board roles, including with Tempur Sealy International, Inc and Huntington Bancshares Incorporated. He was Lead Director and a member of the Audit Committee and Governance Committee of Dollar Thrifty Automotive Group, Inc. prior to the sale of the company in 2012. Mr. Neu served as Chief Financial Officer of Charter One Financial, Inc. and a predecessor firm from 1985 to 2004, and was a Director of Charter One Financial, Inc. from 1992 to August 2004. Prior to this he worked for KPMG as a Senior Audit Manager. Mr. Neu received a B.B.A. from Eastern Michigan University with a major in accounting.

 
"Chip" Stelljes III - Board Member

Mr. Stelljes is currently the managing partner of private equity investment vehicle St. John's Capital, LLC. He previously held various senior positions with the Gladstone Companies, including Chief Investment Officer, President and a Director of Gladstone Capital Corporation and Gladstone Investment Corporation, from 2001 to 2013. Mr. Stelljes was a co-founder and managing member of Camden Partners from 1999 to 2001, and was a managing director and partner of Columbia Capital from 1997 to 1999. Prior to that, he held various positions, including Executive Vice President and Principal, with the Allied Capital companies. From 2001 through 2012, Mr. Stelljes served as a General Partner and Investment Committee member of private equity funds Patriot Capital and Patriot Capital II. He serves on the Board of Directors of Intrepid Capital Corporation, and is Chairman of the Board of Directors of The 504 Fund. Mr. Stelljes holds an MBA from the University of Virginia and a BA in Economics from Vanderbilt University.


Jonathan H. Cohen - Board Member

Mr. Cohen is the Chief Executive Officer of TICC Capital Corp. Mr. Cohen is also the Chief Executive Officer of Oxford Lane Capital Corp. (NasdaqGS: OXLC). Previously, Mr. Cohen managed technology research groups at Wit SoundView, Merrill Lynch & Co., UBS Securities and Salomon Smith Barney. Mr. Cohen has more than 15 years of experience in technology-related equity research and was named to the Institutional Investor "All-American" research team in 1996, 1997 and 1998. Mr. Cohen received a Bachelor of Arts degree in Economics from Connecticut College and an M.B.A. from Columbia University.