Every SEC Form 3/4/5 on record for this filer (CIK 1207407) — 2 issuers, 57 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| HTGC | Hercules Capital, Inc. | Director | 2015-10-02 → 2026-06-23 | 44 | −$710,037 |
| CTCT | Constant Contact, Inc. | Director · lapsed | 2016-02-10 → 2016-02-10 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| HTGC | 2026-03-26 | Buy | 3,658 | $14.35 | $52,492 | 5,070 |
| HTGC | 2026-02-27 | Buy | 5,000 | $14.27 | $71,350 | 122,073 |
| HTGC | 2026-02-24 | Buy | 5,000 | $15.01 | $75,050 | 117,073 |
| HTGC | 2025-05-08 | Buy | 1,799 | $17.49 | $31,465 | 6,033 |