Home

JOSEPH W CHOW

CIK 1082334 · Executive Vice President · last filed 2013-08-20

JOSEPH W CHOW is an Executive Vice President who has filed 29 SEC Form 4 insider transactions across 3 companies since 2007. The most recent filing shows the insider had shares withheld for taxes covering $328.9K of HTGZ on Aug 20, 2013. Across all open-market trades the lifetime net is −$3.6M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $9.7M across reported positions.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Loading insider history…
Disclosed Exposure

$9.69M

Companies

3

Total Filings

29

Lifetime Open-Market Net

-$3.58M

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
Hercules Capital, Inc. (HTGZ) Delisted Director 124,263 — — $0 4 2013-08-20
HTGC Director 157,803 $17.63 $2.78M $504.3K 19 2012-03-07
STT Executive Vice President 35,571 $194.26 $6.91M -$4.09M 6 2008-03-03

Recent Filings

29 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2013-08-20 Hercules Capital, Inc. (HTGZ) Delisted Tax (F) −22,418 -$328.9K EDGAR
2013-08-09 Hercules Capital, Inc. (HTGZ) Delisted Mixed +5,190 -$35.1K EDGAR
2013-08-07 Hercules Capital, Inc. (HTGZ) Delisted Grant (A) +3,445 $50.0K EDGAR
2012-08-08 Hercules Capital, Inc. (HTGZ) Delisted Grant (A) +4,528 $50.0K EDGAR
2012-03-07 HTGC Buy (P) +5,000 $52.2K EDGAR
2011-09-07 HTGC Buy (P) +5,000 $43.4K EDGAR
2011-07-07 HTGC Grant (A) +3,314 $35.0K EDGAR
2011-06-03 HTGC Grant (A) +5,000 $53.0K EDGAR
2011-05-12 HTGC Buy (P) +5,000 $51.8K EDGAR
2010-12-01 HTGC Buy (P) +5,000 $49.8K EDGAR
Showing 1–10 of 29
Page 1 of 3
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.