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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font: normal 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>UNITED STATES</B></P>

<P STYLE="font: bold 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">SECURITIES AND EXCHANGE COMMISSION</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-weight: normal">Washington,
D.C. 20549</FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">___________________________________</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: bold 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">FORM 8-K</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-weight: normal">Current
Report Pursuant to Section 13 or 15(d) of </FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-weight: normal">the Securities
Exchange Act of 1934</FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: normal 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">Date of Report (Date of earliest
event reported):</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">September 27, 2012 (September 26,
2012)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: normal 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>TICC CAPITAL CORP.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">(Exact name of registrant as specified in
its charter)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: normal 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: left; text-indent: 0.5in">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 34%; font-weight: bold; text-align: center">Maryland</TD>
    <TD STYLE="width: 33%; font-weight: bold; text-align: center">000-50398</TD>
    <TD STYLE="width: 33%; font-weight: bold; text-align: center">20-0188736</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font-size: 10pt; text-align: center">(State or other jurisdiction of incorporation)</TD>
    <TD STYLE="font-size: 10pt; text-align: center">(Commission File Number)</TD>
    <TD STYLE="font-size: 10pt; text-align: center">(I.R.S. Employer Identification No.)</TD></TR>
</TABLE>
<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>8 Sound Shore Drive, Suite 255</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>Greenwich, CT 06830</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center; text-indent: 0.5in">(Address of principal
executive offices and zip code)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 10pt">Registrant&rsquo;s
telephone number, including area code: </FONT><B>(203) 983-5275</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Check the appropriate box below if the Form 8-K is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">[ &nbsp;] Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">[ &nbsp;] Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">[ &nbsp;] Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><FONT STYLE="font-size: 10pt">[ &nbsp;] Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><FONT STYLE="font-size: 10pt">
<B>Item 1.01 Entry into a Material Definitive Agreement.</B></FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">On September 26, 2012, in connection with its previously announced
private offering, TICC Capital Corp. (&ldquo;TICC&rdquo;, &ldquo;Company&rdquo;, &ldquo;we&rdquo; or &ldquo;our&rdquo;) issued
$105 million in aggregate principal amount of 7.50% Convertible Senior Notes due 2017 (the &ldquo;Notes&rdquo;) under an indenture,
dated as of September 26, 2012 (the &ldquo;Indenture&rdquo;), between the Company and The Bank of New York Mellon, as trustee (the
&ldquo;Trustee&rdquo;).&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The Notes will mature on November 1, 2017, unless previously
converted in accordance with their terms. The Notes will be general unsecured obligations of TICC, will rank equally in right of
payment with TICC&rsquo;s existing and future senior unsecured debt, and will rank senior in right of payment to any potential
subordinated debt, should any be issued in the future.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The interest rate on the Notes is 7.50% per year, payable semiannually
in arrears on May 1 and November 1 of each year, commencing May 1, 2013.&nbsp; As described in the Indenture, holders may convert
their Notes at any time on or prior to the close of business on the business day immediately preceding the maturity date at an
initial conversion rate of 87.2448 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion
price of approximately $11.46 per share). The conversion rate will be subject to adjustment in certain events.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Upon conversion, unless a holder converts after a record date
for an interest payment but prior to the corresponding interest payment date, the holder will receive a separate cash payment with
respect to the Notes surrendered for conversion representing accrued and unpaid interest to, but not including the conversion date.
Any such payment will be made on the settlement date applicable to the relevant conversion on the Notes.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">No holder of Notes will be entitled to receive shares of our
common stock upon conversion to the extent (but only to the extent) that such receipt would cause such converting holder to become,
directly or indirectly, a &ldquo;beneficial owner&rdquo; (within the meaning of Section&nbsp;13(d)&nbsp;of the Securities Exchange
Act of 1934 and the rules&nbsp;and regulations promulgated thereunder) of 5.0% or more of the shares of our common stock outstanding
at such time (the &ldquo;Limitation&rdquo;). Any purported delivery of shares of our common stock upon conversion of Notes shall
be void and have no effect to the extent (but only to the extent) that such delivery would result in the converting holder becoming
the beneficial owner of more than the Limitation. If any delivery of shares of our common stock owed to a holder upon conversion
of Notes is not made, in whole or in part, as a result of the Limitation, our obligation to make such delivery shall not be extinguished
and we shall deliver such shares as promptly as practicable after any such converting holder gives notice to us that such delivery
would not result in it being the beneficial owner of 5.0% or more of the shares of common stock outstanding at such time. The Limitation
shall no longer apply following the effective date of any &ldquo;fundamental change&rdquo; (as defined in the Indenture).</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Subject to certain exceptions, holders may require the Company
to repurchase, for cash, all or part of their Notes upon a&nbsp;&ldquo;fundamental change&rdquo; (as defined in the Indenture)
at a price equal to 100% of the principal amount of the Notes being repurchased plus any accrued and unpaid interest up to, but
excluding, the &ldquo;fundamental change repurchase date&rdquo; (as defined in the Indenture).</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The Indenture contains certain events of default, the occurrence
of which may lead to the Notes being due and payable immediately.&nbsp; The events of default contained in the Indenture include,
without limitation, the following: failure by the Company to pay any interest on the Notes when due and such failure continues
for a period of 30 calendar days; failure by the Company to pay principal of the Notes when due at the maturity date, or failure
by the Company to pay the repurchase price payable, in respect of any Notes when due; failure by the Company to deliver shares
of common stock upon the conversion of any Notes and such failure continues for five calendar days following the scheduled settlement
date for such conversion; failure by the Company to issue a &ldquo;fundamental change company notice&rdquo; (as defined in the
Indenture) on a timely basis in accordance with the Indenture; failure to pay principal when due (whether at stated maturity or
otherwise), or an uncured default that results in the acceleration of maturity, of any indebtedness for borrowed money of the Company
or any of its &ldquo;significant subsidiaries&rdquo; (as defined in the Indenture) in an aggregate amount in excess of $20,000,000
(or its foreign currency equivalent); default in the performance, or breach, of any covenant or warranty of the Company in the
Indenture with respect to any Note (other than certain covenants or warranties as described in the Indenture), and continuance
of such default or breach for a period of 60 days after there has been given, by registered or certified mail, to the Company by
the Trustee or to the Company and the Trustee by the holders of at least 25% in principal amount of the outstanding securities
of that series, a written notice specifying such default or breach and requiring it to be remedied and stating that such notice
is a &ldquo;notice of default&rdquo; (as defined in the Indenture); and certain events in bankruptcy, insolvency or reorganization
of the Company or its &ldquo;significant subsidiaries&rdquo; (as defined in the Indenture).</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The foregoing summary of the Indenture set forth above is qualified
in its entirety by reference to the full text of the Indenture, a copy of which is attached to this Current Report on Form&nbsp;8-K
(&ldquo;Form&nbsp;8-K&rdquo;) as Exhibit&nbsp;4.1 and incorporated herein by reference.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item 2.03 Creation of a Direct Financial Obligation or an
Obligation Under an Off-Balance Sheet Arrangement of a Registrant.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The information set forth under Item&nbsp;1.01 of this Form&nbsp;8-K
is incorporated herein by reference.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item&nbsp;3.02</B> <B>Unregistered Sales of Equity Securities.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The information set forth under Item&nbsp;1.01 of this Form&nbsp;8-K
is incorporated herein by reference.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><FONT STYLE="font-size: 10pt">The Company offered and sold the
Notes to Barclays Capital Inc. as representative of the initial purchasers (&ldquo;Initial Purchasers&rdquo;), in reliance on
the exemption from registration provided by Section&nbsp;4(2)&nbsp;of the Securities Act of 1933, as amended (the &ldquo;Securities
Act&rdquo;), for resale by the Initial Purchasers to qualified institutional buyers pursuant to the exemption from registration
provided by Rule&nbsp;144A under the Securities Act. The Company</FONT> <FONT STYLE="font-size: 10pt">relied on these exemptions
from registration based in part on representations made by the Initial Purchasers in a Purchase Agreement.</FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The Notes and the underlying common stock issuable upon conversion
of the Notes have not been registered under the Securities Act and may not be offered or sold in the United States absent registration
or an applicable exemption from registration requirements.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item 8.01 Other Events.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The Company issued a press release on September 26, 2012 relating
to the issuance of the Notes. The Company&rsquo;s press release is attached hereto as Exhibit 99.1 and is incorporated herein by
reference.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item 9.01 Financial Statements and Exhibits.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 7%">&nbsp;</TD>
    <TD STYLE="width: 6%">(a)</TD>
    <TD STYLE="width: 87%">Not applicable.</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>(b)</TD>
    <TD>Not applicable.</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>(c)</TD>
    <TD>Not applicable.</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>(d)</TD>
    <TD>Exhibits.</TD></TR>
</TABLE>
<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 7%; font-weight: bold">&nbsp;</TD>
    <TD STYLE="width: 19%; font-weight: bold; text-decoration: underline">Exhibit No.</TD>
    <TD STYLE="width: 74%; font-weight: bold; text-decoration: underline">Description</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">4.1</TD>
    <TD STYLE="text-indent: 0in">Indenture, dated as of September 26, 2012, by and</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">between TICC Capital Corp. and The Bank of New</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">York Mellon, as Trustee</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">4.2</TD>
    <TD STYLE="text-indent: 0in">Form of Global Note 7.50% Convertible Senior</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">Note Due 2017 (included as part of Exhibit 4.1)</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-indent: 0in">&nbsp;</TD>
    <TD STYLE="text-indent: 0in">99.1</TD>
    <TD STYLE="text-indent: 0in">Press Release, dated September 26, 2012</TD></TR>
</TABLE>
<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 1in; text-indent: 0in">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 1in; text-indent: 0in">&nbsp;</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 1in; text-indent: 0in"></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>SIGNATURES</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-indent: 0.5in">Pursuant to the requirements of the Securities
Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="width: 100%; font: 10pt Times New Roman, Times, Serif; border-collapse: collapse">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 50%; padding-right: -0.75in">Date:&nbsp; September 27, 2012</TD>
    <TD STYLE="width: 50%; padding-right: -0.75in">TICC CAPITAL CORP.</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>By: <U>/s/ <FONT STYLE="font-variant: small-caps">Saul B. Rosenthal</FONT></U></TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>Saul B. Rosenthal</TD></TR>
<TR STYLE="vertical-align: top">
    <TD>&nbsp;</TD>
    <TD>President</TD></TR>
</TABLE>
<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-indent: 45.8pt">&nbsp;</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>Index to Exhibits</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
<TR STYLE="vertical-align: bottom">
    <TD STYLE="width: 12%; border-bottom: windowtext 1pt solid; font-weight: bold">Exhibit<BR> Number</TD>
    <TD STYLE="width: 2%; font-weight: bold">&nbsp;</TD>
    <TD STYLE="width: 86%; border-bottom: windowtext 1pt solid; font-weight: bold">Description</TD></TR>
<TR>
    <TD STYLE="vertical-align: top">4.1</TD>
    <TD STYLE="vertical-align: bottom">&nbsp;</TD>
    <TD STYLE="vertical-align: top">Indenture, dated as of September 26, 2012, by and between TICC Capital Corp. and The Bank of New York Mellon, as Trustee</TD></TR>
<TR>
    <TD STYLE="vertical-align: top">&nbsp;</TD>
    <TD STYLE="vertical-align: bottom">&nbsp;</TD>
    <TD STYLE="vertical-align: top">&nbsp;</TD></TR>
<TR>
    <TD STYLE="vertical-align: top">4.2</TD>
    <TD STYLE="vertical-align: bottom">&nbsp;</TD>
    <TD STYLE="vertical-align: top">Form&nbsp;of Global Note 7.50% Convertible Senior Note Due 2017 (included as part of Exhibit&nbsp;4.1)</TD></TR>
<TR>
    <TD STYLE="vertical-align: top">&nbsp;</TD>
    <TD STYLE="vertical-align: bottom">&nbsp;</TD>
    <TD STYLE="vertical-align: top">&nbsp;</TD></TR>
<TR>
    <TD STYLE="vertical-align: top">
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">99.1</P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P></TD>
    <TD STYLE="vertical-align: bottom">&nbsp;</TD>
    <TD STYLE="vertical-align: top">
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Press Release, dated September 26, 2012</P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P></TD></TR>
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{"company-data": {"conformed-name": "TICC Capital Corp.", "cik": "0001259429", "irs-number": "200118736", "state-of-incorporation": "MD", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "814-00638", "film-number": "121112674"}, "business-address": {"street1": "8 SOUND SHORE DR", "street2": "SUITE 255", "city": "GREENWICH", "state": "CT", "zip": "06830", "phone": "2039835275"}, "mail-address": {"street1": "8 SOUND SHORE DRIVE", "street2": "SUITE 255", "city": "GREENWICH", "state": "CT", "zip": "06830"}, "former-company": {"former-conformed-name": "TECHNOLOGY INVESTMENT CAPITAL CORP", "date-changed": "20030812"}}
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
___________________________________
FORM 8-K
Current
Report Pursuant to Section 13 or 15(d) of
the Securities
Exchange Act of 1934
Date of Report (Date of earliest
event reported):
September 27, 2012 (September 26,
2012)
TICC CAPITAL CORP.
(Exact name of registrant as specified in
its charter)
Maryland
000-50398
20-0188736
(State or other jurisdiction of incorporation)
(Commission File Number)
(I.R.S. Employer Identification No.)
8 Sound Shore Drive, Suite 255
Greenwich, CT 06830
(Address of principal
executive offices and zip code)
Registrant's
telephone number, including area code:
(203) 983-5275
Check the appropriate box below if the Form 8-K is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
[  ] Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)
[  ] Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
[  ] Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 1.01 Entry into a Material Definitive Agreement.
On September 26, 2012, in connection with its previously announced
private offering, TICC Capital Corp. ("TICC", "Company", "we" or "our") issued
$105 million in aggregate principal amount of 7.50% Convertible Senior Notes due 2017 (the "Notes") under an indenture,
dated as of September 26, 2012 (the "Indenture"), between the Company and The Bank of New York Mellon, as trustee (the
"Trustee").
The Notes will mature on November 1, 2017, unless previously
converted in accordance with their terms. The Notes will be general unsecured obligations of TICC, will rank equally in right of
payment with TICC's existing and future senior unsecured debt, and will rank senior in right of payment to any potential
subordinated debt, should any be issued in the future.
The interest rate on the Notes is 7.50% per year, payable semiannually
in arrears on May 1 and November 1 of each year, commencing May 1, 2013.  As described in the Indenture, holders may convert
their Notes at any time on or prior to the close of business on the business day immediately preceding the maturity date at an
initial conversion rate of 87.2448 shares of common stock per $1,000 principal amount of Notes (equivalent to an initial conversion
price of approximately $11.46 per share). The conversion rate will be subject to adjustment in certain events.
Upon conversion, unless a holder converts after a record date
for an interest payment but prior to the corresponding interest payment date, the holder will receive a separate cash payment with
respect to the Notes surrendered for conversion representing accrued and unpaid interest to, but not including the conversion date.
Any such payment will be made on the settlement date applicable to the relevant conversion on the Notes.
No holder of Notes will be entitled to receive shares of our
common stock upon conversion to the extent (but only to the extent) that such receipt would cause such converting holder to become,
directly or indirectly, a "beneficial owner" (within the meaning of Section 13(d) of the Securities Exchange
Act of 1934 and the rules and regulations promulgated thereunder) of 5.0% or more of the shares of our common stock outstanding
at such time (the "Limitation"). Any purported delivery of shares of our common stock upon conversion of Notes shall
be void and have no effect to the extent (but only to the extent) that such delivery would result in the converting holder becoming
the beneficial owner of more than the Limitation. If any delivery of shares of our common stock owed to a holder upon conversion
of Notes is not made, in whole or in part, as a result of the Limitation, our obligation to make such delivery shall not be extinguished
and we shall deliver such shares as promptly as practicable after any such converting holder gives notice to us that such delivery
would not result in it being the beneficial owner of 5.0% or more of the shares of common stock outstanding at such time. The Limitation
shall no longer apply following the effective date of any "fundamental change" (as defined in the Indenture).
Subject to certain exceptions, holders may require the Company
to repurchase, for cash, all or part of their Notes upon a "fundamental change" (as defined in the Indenture)
at a price equal to 100% of the principal amount of the Notes being repurchased plus any accrued and unpaid interest up to, but
excluding, the "fundamental change repurchase date" (as defined in the Indenture).
The Indenture contains certain events of default, the occurrence
of which may lead to the Notes being due and payable immediately.  The events of default contained in the Indenture include,
without limitation, the following: failure by the Company to pay any interest on the Notes when due and such failure continues
for a period of 30 calendar days; failure by the Company to pay principal of the Notes when due at the maturity date, or failure
by the Company to pay the repurchase price payable, in respect of any Notes when due; failure by the Company to deliver shares
of common stock upon the conversion of any Notes and such failure continues for five calendar days following the scheduled settlement
date for such conversion; failure by the Company to issue a "fundamental change company notice" (as defined in the
Indenture) on a timely basis in accordance with the Indenture; failure to pay principal when due (whether at stated maturity or
otherwise), or an uncured default that results in the acceleration of maturity, of any indebtedness for borrowed money of the Company
or any of its "significant subsidiaries" (as defined in the Indenture) in an aggregate amount in excess of $20,000,000
(or its foreign currency equivalent); default in the performance, or breach, of any covenant or warranty of the Company in the
Indenture with respect to any Note (other than certain covenants or warranties as described in the Indenture), and continuance
of such default or breach for a period of 60 days after there has been given, by registered or certified mail, to the Company by
the Trustee or to the Company and the Trustee by the holders of at least 25% in principal amount of the outstanding securities
of that series, a written notice specifying such default or breach and requiring it to be remedied and stating that such notice
is a "notice of default" (as defined in the Indenture); and certain events in bankruptcy, insolvency or reorganization
of the Company or its "significant subsidiaries" (as defined in the Indenture).
The foregoing summary of the Indenture set forth above is qualified
in its entirety by reference to the full text of the Indenture, a copy of which is attached to this Current Report on Form 8-K
("Form 8-K") as Exhibit 4.1 and incorporated herein by reference.
Item 2.03 Creation of a Direct Financial Obligation or an
Obligation Under an Off-Balance Sheet Arrangement of a Registrant.
The information set forth under Item 1.01 of this Form 8-K
is incorporated herein by reference.
Item 3.02
Unregistered Sales of Equity Securities.
The information set forth under Item 1.01 of this Form 8-K
is incorporated herein by reference.
The Company offered and sold the
Notes to Barclays Capital Inc. as representative of the initial purchasers ("Initial Purchasers"), in reliance on
the exemption from registration provided by Section 4(2) of the Securities Act of 1933, as amended (the "Securities
Act"), for resale by the Initial Purchasers to qualified institutional buyers pursuant to the exemption from registration
provided by Rule 144A under the Securities Act. The Company
relied on these exemptions
from registration based in part on representations made by the Initial Purchasers in a Purchase Agreement.
The Notes and the underlying common stock issuable upon conversion
of the Notes have not been registered under the Securities Act and may not be offered or sold in the United States absent registration
or an applicable exemption from registration requirements.
Item 8.01 Other Events.
The Company issued a press release on September 26, 2012 relating
to the issuance of the Notes. The Company's press release is attached hereto as Exhibit 99.1 and is incorporated herein by
reference.
Item 9.01 Financial Statements and Exhibits.
(a)
Not applicable.
(b)
Not applicable.
(c)
Not applicable.
(d)
Exhibits.
Exhibit No.
Description
4.1
Indenture, dated as of September 26, 2012, by and
between TICC Capital Corp. and The Bank of New
York Mellon, as Trustee
4.2
Form of Global Note 7.50% Convertible Senior
Note Due 2017 (included as part of Exhibit 4.1)
99.1
Press Release, dated September 26, 2012
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date:  September 27, 2012
TICC CAPITAL CORP.
By:
/s/
Saul B. Rosenthal
Saul B. Rosenthal
President
Index to Exhibits
Exhibit
Number
Description
4.1
Indenture, dated as of September 26, 2012, by and between TICC Capital Corp. and The Bank of New York Mellon, as Trustee
4.2
Form of Global Note 7.50% Convertible Senior Note Due 2017 (included as part of Exhibit 4.1)
99.1
Press Release, dated September 26, 2012