Sam Bhaumik

Insider

First SEC filing: April 3, 2007 · Latest: Feb. 12, 2010

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.
Compensation Executive pay disclosed in company proxy statements.

Insider at

HTGC selling May 31, 2011

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 31 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

31 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Sept. 17, 2011	HTGC	F	230	$9.38	$2,157	196,274 Direct	-0.12%	Disposed	80.8% (price as of 2026-08-20)
Sept. 16, 2011	HTGC	F	459	$9.38	$4,305	196,504 Direct	-0.23%	Disposed	80.8% (price as of 2026-08-20)
Aug. 17, 2011	HTGC	F	230	$9.19	$2,114	196,963 Direct	-0.12%	Disposed	84.5% (price as of 2026-08-20)
Aug. 16, 2011	HTGC	F	459	$9.11	$4,181	197,193 Direct	-0.23%	Disposed	86.2% (price as of 2026-08-20)
Aug. 15, 2011	HTGC	F	276	$9.23	$2,547	197,652 Direct	-0.14%	Disposed	83.7% (price as of 2026-08-20)
July 17, 2011	HTGC	F	230	$10.33	$2,376	27,414 Direct	-0.83%	Disposed	64.2% (price as of 2026-08-20)
July 16, 2011	HTGC	F	459	$10.33	$4,741	27,644 Direct	-1.63%	Disposed	64.2% (price as of 2026-08-20)
June 17, 2011	HTGC	F	230	$10.28	$2,364	196,256 Direct	-0.12%	Disposed	65.0% (price as of 2026-08-20)
June 16, 2011	HTGC	F	459	$10.34	$4,746	196,486 Direct	-0.23%	Disposed	64.0% (price as of 2026-08-20)
May 31, 2011	HTGC	S	20,000	$10.77	$215,400	196,945 Direct	-9.22%	Disposed	57.5% (price as of 2026-08-20)
May 17, 2011	HTGC	F	230	$10.37	$2,385	216,945 Direct	-0.11%	Disposed	63.5% (price as of 2026-08-20)
May 16, 2011	HTGC	F	459	$10.35	$4,751	217,175 Direct	-0.21%	Disposed	63.9% (price as of 2026-08-20)
April 17, 2011	HTGC	F	230	$10.33	$2,376	217,634 Direct	-0.11%	Disposed	64.2% (price as of 2026-08-20)
April 16, 2011	HTGC	F	459	$10.33	$4,741	217,864 Direct	-0.21%	Disposed	64.2% (price as of 2026-08-20)
March 30, 2011	HTGC	A	45,000	—	—	218,323 Direct	+25.96%	Acquired	(price as of 2026-08-20)
Dec. 21, 2010	HTGC	M	34,316	—	—	30,684 Direct	-52.79%	Disposed	(price as of 2026-08-20)
Dec. 21, 2010	HTGC	F	18,665	$10.38	$193,743	171,539 Direct	-9.81%	Disposed	63.4% (price as of 2026-08-20)
Dec. 21, 2010	HTGC	M	34,316	$4.21	$144,470	190,204 Direct	+22.01%	Acquired	302.9% (price as of 2026-08-20)
Dec. 17, 2010	HTGC	F	230	$10.10	$2,323	153,218 Direct	-0.15%	Disposed	67.9% (price as of 2026-08-20)
Nov. 17, 2010	HTGC	F	230	$10.19	$2,344	153,448 Direct	-0.15%	Disposed	66.4% (price as of 2026-08-20)
May 27, 2010	HTGC	P	500	$8.97	$4,485	148,266 Direct	+0.34%	Acquired	89.1% (price as of 2026-08-20)
March 16, 2010	HTGC	A	60,000	—	—	146,281 Direct	+69.54%	Acquired	(price as of 2026-08-20)
March 10, 2010	HTGC	S	3,500	$10.25	$35,875	86,281 Direct	-3.90%	Disposed	65.5% (price as of 2026-08-20)
Dec. 23, 2009	HTGC	S	5,000	$10.41	$52,050	89,490 Direct	-5.29%	Disposed	62.9% (price as of 2026-08-20)
March 17, 2009	HTGC	A	65,000	—	—	292,533 Direct	+28.57%	Acquired	(price as of 2026-08-20)
March 17, 2009	HTGC	A	30,000	—	—	78,983 Direct	+61.25%	Acquired	(price as of 2026-08-20)
Nov. 13, 2008	HTGC	A	500	$6.15	$3,075	48,983 Direct	+1.03%	Acquired	175.8% (price as of 2026-08-20)
Nov. 11, 2008	HTGC	A	500	$6.96	$3,480	48,483 Direct	+1.04%	Acquired	143.7% (price as of 2026-08-20)
Sept. 15, 2008	HTGC	A	500	$9.80	$4,900	47,983 Direct	+1.05%	Acquired	73.1% (price as of 2026-08-20)
Aug. 15, 2008	HTGC	A	6,000	—	—	227,533 Direct	+2.71%	Acquired	(price as of 2026-08-20)
Aug. 15, 2008	HTGC	A	3,000	—	—	47,483 Direct	+6.74%	Acquired	(price as of 2026-08-20)
July 30, 2008	HTGC	A	6,000	—	—	227,533 Direct	+2.71%	Acquired	(price as of 2026-08-20)
July 30, 2008	HTGC	A	3,000	—	—	47,383 Direct	+6.76%	Acquired	(price as of 2026-08-20)
June 9, 2008	HTGC	P	100	$9.94	$994	44,483 Direct	+0.23%	Acquired	70.6% (price as of 2026-08-20)
May 16, 2008	HTGC	P	500	$10.13	$5,065	44,383 Direct	+1.14%	Acquired	67.4% (price as of 2026-08-20)
Feb. 25, 2008	HTGC	A	23,000	—	—	43,883 Direct	+110.14%	Acquired	(price as of 2026-08-20)
Feb. 25, 2008	HTGC	A	71,633	—	—	221,533 Direct	+47.79%	Acquired	(price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Dec. 21, 2010	HTGC	Option to Purchase Common Stock	Common Stock (34,316)	$4.21	March 17, 2016	34,316	Disposed
March 17, 2009	HTGC	Options to Purchase Common Stock	Common Stock:$0.001 par value (65,000)	$4.21	March 17, 2016	65,000	Acquired
Aug. 15, 2008	HTGC	Options to Purchase Common Stock	CommonStock $0.001 par value (6,000)	$10.49	Aug. 15, 2015	6,000	Acquired
July 30, 2008	HTGC	Options to Purchase Common Stock	CommonStock $0.001 par value (6,000)	$9.92	July 30, 2015	6,000	Acquired
Feb. 25, 2008	HTGC	Options to Purchase Common Stock	Common Stock; $0.001 par value (71,633)	$12.20	Feb. 25, 2015	71,633	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 6 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
April 3, 2007	HTGC	Common Stock	20,883	Direct
April 3, 2007	HTGC	Warrant to Purchase Common Stock→ Common Stock (3,797)	3,797	Direct
April 3, 2007	HTGC	Option to Purchase Common Stock→ Common Stock (6,000)	6,000	Direct
April 3, 2007	HTGC	Option to Purchase Common Stock→ Common Stock (38,000)	38,000	Direct
April 3, 2007	HTGC	Option to Purchase Common Stock→ Common Stock (93,900)	93,900	Direct
April 3, 2007	HTGC	Option to Purchase Common Stock→ Common Stock (12,000)	12,000	Direct

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

HTGC

Fiscal year	Salary	Bonus	Stock awards	Option awards	Non-equity incentive	Pension change	Other	Total
2011	$181,290	—	—	—	—	—	$71,895	$755,385
2010	$270,000	$125,000	—	—	—	—	$72,500	$1,083,700
2009	$270,000	$165,000	—	—	—	—	$44,300	$630,566

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.