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Senior Management
Jonathan H. Cohen Chief Executive Officer
Mr. Cohen is the Chief Executive Officer of TICC Capital Corp. Previously, Mr. Cohen managed technology research groups at Wit SoundView from 1999 to 2001. He has also managed securities research groups at Merrill Lynch & Co. from 1998 to 1999, UBS Securities from 1997 to 1998 and Salomon Smith Barney from 1993 to 1997. 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 & Chief Operating Officer
Mr. Rosenthal is the President and Chief Operating Officer of TICC Capital Corp. and is also the President of T2 Advisers, LLC, the investment manager of Greenwich Loan Income Fund Limited (LSE AIM: GLIF). Previously, Mr. Rosenthal served as President of Privet Financial Securities, a broker/dealer providing advisory services to smaller technology companies. Prior to that, 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 New York City chapter of the Young Presidents’ Organization (YPO-WPO) and Wharton Private Equity Partners. 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.
Patrick F. Conroy Chief Financial Officer
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 serves on the board of directors of T2 Income Fund Limited (LSE AIM: T2I). 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.
Board of Directors
Charles M. Royce Chairman
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 more than 30 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. Royce & Associates is a non-managing member of TICC Management, LLC. Royce & Associates is registered as an investment adviser under the Advisers Act. As of December 31, 2008, Royce & Associates had $20.3 billion in assets under management. Substantially all of Royce & Associates' client accounts are managed as small and micro-cap investment products.
Jonathan H. Cohen Chief Executive Officer
Mr. Cohen is the Chief Executive Officer of TICC Capital Corp. Previously, Mr. Cohen managed technology research groups at Wit SoundView from 1999 to 2001. He has also managed securities research groups at Merrill Lynch & Co. from 1998 to 1999, UBS Securities from 1997 to 1998 and Salomon Smith Barney from 1993 to 1997. 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.
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.
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.
Tonia L. Pankopf
Ms. Pankopf is managing partner of Pareto Advisors, 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.
