Every SEC Form 3/4/5 on record for this filer (CIK 1399121) — 2 issuers, 151 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 | 2015-07-09 → 2026-03-30 | 54 | $1M |
| INFN | Infinera Corp | Director · lapsed | 2015-11-04 → 2021-06-04 | 30 | −$4M |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| HTGC | 2026-03-26 | Buy | 7,300 | $14.30 | $104,390 | 157,669 |
| HTGC | 2026-02-27 | Buy | 20,000 | $14.20 | $284,000 | 150,369 |
| HTGC | 2026-02-24 | Buy | 10,000 | $14.98 | $149,800 | 130,369 |
| HTGC | 2026-02-17 | Buy | 20,000 | $15.88 | $317,600 | 120,369 |
| HTGC | 2025-05-08 | Buy | 5,976 | $17.53 | $104,759 | 98,882 |
| HTGC | 2024-08-06 | Buy | 5,723 | $18.33 | $104,903 | 92,400 |