JOSEPH W CHOW
CIK 1082334 · Executive Vice President · last filed 2013-08-20
"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.
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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.
Recent Filings · Page 2 of 3
29 filingsInsider 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 |
|---|---|---|---|---|---|
| 2010-10-18 | HTGC | Grant (A) | +3,493 | $35.0K | EDGAR |
| 2010-06-24 | HTGC | Buy (P) | +5,000 | $45.6K | EDGAR |
| 2009-02-19 | HTGC | Buy (P) | +10,000 | $44.9K | EDGAR |
| 2008-09-16 | HTGC | Buy (P) | +2,000 | $19.6K | EDGAR |
| 2008-09-10 | HTGC | Buy (P) | +2,000 | $19.7K | EDGAR |
| 2008-08-20 | HTGC | Buy (P) | +1,000 | $10.2K | EDGAR |
| 2008-03-03 | STT | Mixed | +19,131 | -$434.5K | EDGAR |
| 2008-02-20 | STT | Tax (F) | −1,725 | -$144.8K | EDGAR |
| 2008-02-01 | STT | Mixed | — | -$1.19M | EDGAR |
| 2008-01-31 | STT | Sell (S) | −3,416 | -$280.5K | EDGAR |
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.
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.