About TCP Capital Corp.

What is BlackRock TCP Capital Corp.'s investment objective?

Our investment objective is to generate significant current income and capital appreciation by providing flexible and innovative financing solutions, primarily through loans to U.S. public and private middle-market companies.

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Where is BlackRock TCP Capital Corp.'s common stock listed?

Our common stock is listed and traded on NASDAQ Global Select Market under the symbol TCPC. For more detailed stock information, please visit our Stock Information page.

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Where can I find summary information, such as a Fact Sheet, on BlackRock TCP Capital?

The company's Fact Sheet can be found here.

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Can I purchase shares directly from BlackRock TCP Capital Corp.?

No. Investors may purchase TCPC only through a broker.

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Transfer Agent and Stock Registration - Related Item

Who is TCPC's Transfer Agent? How can I contact them?

TCPC's Transfer Agent is Equiniti Trust Company ("EQ"). They may be reached as follows: 800-468-9716 (from U.S.), or 651-450-4064 (from outside U.S.); their fax number is 651-554-3863. TCPC stockholders may also view their Equiniti Trust Company accounts online at www.shareowneronline.com.

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What is Direct Registration?

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

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Why are shares being distributed 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
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What is the Direct Registration System?

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 EQ Shareowner Services, our transfer agent, and your broker/dealer.

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How can my shares be registered?

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 TCP Capital Corp. 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 EQ Shareowner Services.

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 TCP Capital Corp.'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.

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What do I do if I want to sell my stock?

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

  • instruct EQ Shareowner Services to sell your stock;
  • instruct your broker/dealer or EQ Shareowner Services to electronically move your stock to your broker/dealer for selling (according to the terms of the dividend reinvestment plan); or
  • request a physical certificate and deliver the certificate to your broker/dealer to sell.

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 EQ Shareowner Services to electronically move your stock to EQ Shareowner Services for them to sell (according to the terms of the dividend reinvestment plan); OR
  • instruct your broker/dealer or EQ Shareowner Services to electronically move your stock to another broker/dealer to sell.

Please note that when selling stock through the transfer agent, EQ Shareowner Services 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 EQ Shareowner Services 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.

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How can I maintain my relationship with my broker/dealer if I have my security registered in direct registration?

You can tell either your broker/dealer or EQ Shareowner Services 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 EQ Shareowner Services 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 Equinity Trust Company. 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 TCP Capital Corp.'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 EQ Shareowner Services as soon as it becomes known.

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Can I place a limit order? Market order? Stop order?

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

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