Investor FAQs

TCPC's Transfer Agent is Computershare Inc., and Computershare Trust Company N.A. ("Computershare"). They may be reached as follows: 866-333-6433 (from U.S.), or 201-680-6578 (from outside U.S.); or email inquiries to [email protected]. TCPC stockholders may also view their Computershare accounts online at www.computershare.com/investor.

Direct Registration enables stockholders to be directly registered on the records of TCPC in book-entry form.

• It supports the U.S. securities industry's overall direction towards statement based share ownership
• It eliminates the risk and cost associated with storing a certificate in a secure place
• It eliminates the risk and cost associated with replacing a lost certificate
• It reduces overall administrative costs to the corporation and shareowners
• It allows for electronic share transactions between your broker and the transfer agent

The Direct Registration System (DRS) was developed to provide investors with an efficient method of moving Direct Registration positions within the financial community. As an investor, you can move your security position held in book-entry form back and forth between Computershare, our transfer agent, and your broker/dealer.

As an individual investor, you have two choices to register securities:

Direct Registration. Direct Registration allows you to have your security registered in your name on the books of TCPC without the need for a physical certificate. You will receive periodic statements reflecting your ownership, along with dividends, annual reports, proxies, and other mailings directly from Computershare.

Street Name Registration. If you choose to have an account with your broker/dealer, your shares will be in "street name". Under this type of registration, your ownership is recorded on your broker/dealer's books and not directly on TCPC's books. Your broker/dealer will send you periodic statements indicating all securities in your account at the broker/dealer. Annual reports, proxies, and other issuer mailings will be sent to you from your broker/dealer.

If your stock is in direct registration you may do one of the following two activities to sell your stock:

• instruct Computershare to sell your stock;
• instruct your broker/dealer or Computershare to electronically move your stock to your broker/dealer for selling

If your stock is held in street name registration, you can:

• instruct your broker/dealer to sell your stock; or
• instruct your broker/dealer or Computershare to electronically move your stock to Computershare for them to sell OR
• instruct your broker/dealer or Computershare to electronically move your stock to another broker/dealer to sell.

Please note that when selling stock through the transfer agent, Computershare will sell your stock under the terms and conditions in place for TCP Capital Corp. common stock. For example, some sell orders will be executed on the day Computershare receives them, and some may be aggregated for frequent, but not daily, execution. Proceeds from the sale will be mailed to you three business days after the date of the sale.

Please note that when selling a security through your broker/dealer, your instructions will be acted upon immediately and in accordance with the guidelines your broker/dealer provides to you. Proceeds from the sale will be made available to you or credited to your account three business days after the date of sale.

You can tell either your broker/dealer or Computershare to include pertinent broker/dealer information in your account. The pertinent information includes your account number at your broker/dealer, your broker/dealer's firm name, and the participant number used by your broker/dealer.

If you instruct Computershare to add your broker/dealer's information to your account, you will need to complete the Broker Authorization Form, have it medallion guaranteed, and send it to Computershare. You will receive confirmation of the broker maintenance transaction, once it has been changed.

You should note that if you decide to add or change your broker information on TCPC's records at the time you choose to sell your shares through your broker/dealer, a delay could be created in getting the shares to your broker/dealer which could lead to settlement issues. Therefore, it is recommended that you add the appropriate broker/dealer information to your account at Computershare as soon as it becomes known.

Only a broker/dealer can execute a limit, market, or stop order.