Every SEC Form 3/4/5 on record for this filer (CIK 1503746) — 2 issuers, 6 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 |
|---|---|---|---|---|---|
| TPVG | TriplePoint Venture Growth BDC Corp. | Chief Financial Officer · lapsed | 2019-08-29 → 2022-09-12 | 6 | $409,495 |
| HRZN | Horizon Technology Finance Corp | SVP, CFO and Treasurer · lapsed | 2015-08-25 → 2015-08-25 | 1 | $30,000 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| TPVG | 2022-09-09 | Buy | 10,000 | $13.34 | $133,400 | 35,500 |
| TPVG | 2022-06-17 | Buy | 10,000 | $12.16 | $121,600 | 25,500 |
| TPVG | 2020-08-24 | Buy | 5,500 | $12.39 | $68,145 | 15,500 |
| TPVG | 2020-08-10 | Buy | 5,000 | $12.18 | $60,900 | 10,000 |
| TPVG | 2020-03-25 | Buy | 5,000 | $5.09 | $25,450 | 5,000 |
| HRZN | 2015-08-25 | Buy | 3,000 | $10.00 | $30,000 | 15,862 |
