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.

Disclosed Exposure

$8.56M

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	$15.65	$2.47M	$504.3K	19	2012-03-07
STT	Executive Vice President	35,571	$171.29	$6.09M	-$4.09M	6	2008-03-03

Recent Filings · Page 3 of 3

29 filings

Form 4 transactions across all companies, newest first.

Filed	Symbol	Action	Net Shares	Net $	Link
2008-01-31	STT	Mixed	+3,416	-$889.2K	EDGAR
2007-10-12	HTGC	Grant (A)	—	$0	EDGAR
2007-08-14	HTGC	Buy (P)	+6,000	$77.2K	EDGAR
2007-08-01	HTGC	Grant (A)	+1,667	$0	EDGAR
2007-04-06	HTGC	Grant (A)	+5,000	$68.5K	EDGAR
2007-03-06	HTGC	Buy (P)	+1,517	$20.3K	EDGAR
2007-02-20	STT	Mixed	+4,098	$289.3K	EDGAR
2007-02-13	HTGC	Buy (P)	+5,000	$69.5K	EDGAR
2007-01-04	HTGC	Grant (A)	+5,000	$71.2K	EDGAR

Showing 21–29 of 29

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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.