CHARLES M. ROYCE
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.
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STEVEN P. NOVAK
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.
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G. PETER O'BRIEN
Mr. O'Brien has 28 years of experience in the securities industry. Mr. O'Brien
retired as a Managing Director of Merrill Lynch & Co. in 1999 after working in
the Equity Capital Markets area since he joined Merrill Lynch & Co. in 1971,
during which time he created the Equity Transaction Group in 1985, helped launch
Merrill Lynch's London-based Equity Capital Markets Group and had primary
responsibility for the pricing of all equity and convertible issues managed by
Merrill Lynch. Mr. O’Brien was a member of the Board of Trustees of Colgate
University from May 1996 to May 2005. He is currently a member of the Board of
Directors of Hill House, Inc., a congregate care facility for low income elderly
residents in Riverside, Connecticut, and a member of the Board of Directors of
the Bridges School. Mr. O’Brien serves on the Board of Directors of the Legg
Mason Family of Mutual Funds and The Royce Funds. Mr. O'Brien received a
Bachelor of Arts degree from Colgate University and an M.B.A. from Columbia
Business School.
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TONIA L. PANKOPF
Ms. Pankopf is managing partner of Pareto Advisers, LLC. Previously she was a
senior analyst and managing director at Palladio Capital Management from January
2004 through April 2005. From 2001 to 2003, Ms. Pankopf served as an analyst and
portfolio manager with P.A.W. Capital Partners, LP and was a senior analyst and
vice president at Goldman, Sachs & Co. from 1999 to 2001 and at Merrill Lynch &
Co. from 1998 to 1999. She was an associate director in corporate finance at
Deutsche Bank in the Technology Group’s London office from 1997 to 1998 and
began her career in investment research in 1995, working as a sell-side Internet
and software analyst at Salomon Smith Barney. Ms. Pankopf currently serves on
the Board of Directors of the University System of Maryland Foundation. She is a
member of the National Association of Corporate Directors and holds an ISS
Accredited Certificate of Director Education. Ms. Pankopf received a Bachelor of
Arts degree summa cum laude from the University of Maryland and an M.S. from the
London School of Economics.
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JONATHAN H. COHEN
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.
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SAUL B. ROSENTHAL
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 a Vice President and co-founder of the Private
Equity Group at Wit Capital Corp. and previously was an attorney at the law firm
of Shearman & Sterling LLP. Mr. Rosenthal is a current or former board member of
T2 Income Fund Limited (LSE AIM: T2I), Algorithmic Implementations, Inc. (d/b/a
Ai Squared), the National Museum of Mathematics, and the New York City chapter
of the Young Presidents’ Organization (YPO-WPO). 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.
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PATRICK F. CONROY
Mr. Conroy is the Chief Financial Officer of TICC Capital Corp. Mr. Conroy is
the former chief financial officer of Nymex Holdings, Inc. and its operating
subsidiary, New York Mercantile Exchange, Inc., the largest physical commodities
futures exchange in the world. He has extensive experience with SEC reporting
issues, including securities registration, periodic reporting requirements, and
Sarbanes-Oxley. From 1987 to 1993, Mr. Conroy was the senior vice-president of
finance for the American Stock Exchange, where he was responsible for all
financial functions, including controllership and treasury. Mr. Conroy's
professional career began at KPMG Peat Marwick, serving clients in the financial
services industry, primarily broker/dealers, mutual funds and diversified
financial institutions. Mr. Conroy received his Bachelor of Science in
Accounting summa cum laude from St. John's University and did graduate work at
Bernard Baruch College of the City University of New York. He is a certified
public accountant in New York and New Jersey, and a member of the American
Institute of Certified Public Accountants.
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BRUCE L. RUBIN
Mr. Rubin is Senior Vice President, Treasurer and Controller of TICC Capital
Corp. 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.
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DARRYL M. MONASEBIAN
Mr. Monasebian is the Executive Vice President, Head of Portfolio Management of
TICC Management, LLC, the adviser of TICC. 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.
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HARI SRINIVASAN
Mr. Hari Srinivasan is Managing Director and Portfolio Manager of TICC
Management, LLC, the adviser of TICC. Previously, Mr. Srinivasan was a Credit
Manager focusing on the restructuring and monetization of distressed assets in
Lucent Technologies' vendor finance portfolio, and credit analysis of several of
Lucent’s telecom customers. Prior to that, he was an analyst in Fixed Income
with Lehman Brothers. Mr. Srinivasan began his career as a Computer Science
engineer. He has a BS in Computer Science from Poona University, India and an
MBA from New York University’s Stern School of Business.
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KEVIN P. YONON
Mr. Yonon is a Senior Vice President of TICC Management, LLC, the adviser of
TICC. 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.
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DEBDEEP MAJI
Mr.
Maji is Senior Vice President of TICC Management, LLC, the adviser of TICC.
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.
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VINCENT GURRERA
Mr. Gurrera is a Senior Accountant at TICC Capital Corp. 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 in New York.
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ELI SMORODA
Mr. Smoroda is a Senior Accountant of TICC Capital Corp. 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.
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JOE KUPKA
Mr. Kupka is a Senior Associate of TICC Management, LLC, the adviser of TICC.
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.
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ERICA DAVIS
Ms. Davis is an Analyst at TICC Management, LLC, the adviser of TICC.
Previously, she worked as a fixed income analyst at Goldman Sachs and an
investment banking analyst at Barclays Capital. Ms. Davis received a Bachelor of
Science degree in Economics with a concentration in Finance from the Wharton
School at the University of Pennsylvania, where she graduated cum laude.
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CALEB LI
Mr. Li is an Analyst at TICC Management, LLC, the adviser of TICC. Prior to
joining TICC, he worked as an investment banking analyst at RBC Capital Markets.
He graduated with a dual degree from the University of Pennsylvania where he
received a B.S. in Economics (cum laude) with a concentration in Finance from
the Wharton School and a B.A. in Mathematics (cum laude) from the College of
Arts and Sciences. He was also on the Dean’s List and a Class of 1880
Scholarship Recipient.
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