Chow Joseph W - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	1	12	2	3	-2	4	3	25	6
P	%wins				83	73	36	55	45	56	58
S	%ret	1	1	7	1	0	1	1	4	-16	-1
S	%wins				43	57	43	43	43	43	45

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
8/9/13 17:10	8/7/13	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		M	329	10.96	6	30	33	122	D	89	46	26	13	5	5	7	2	2	0	1	9	11	17
3/7/12 17:16	3/6/12	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	52	10.44	4	5	5	108	D	18	0	21	11	8	1	0	-2	0
9/7/11 11:56	9/6/11	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	43	8.68	3	5	5	103	D	11	4	-19	-13	-13	-3	-2	-7	4	4	-3	10	27
5/12/11 14:15	5/11/11	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	52	10.36	3	5	6	90	D	52	15	3	0	-5	4	0	1	1	2	-1	-18	-5
12/1/10 11:40	11/23/10	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	50	9.96	4	5	6	84	D	100	10	13	11	-1	-5	-2	0	2	3	5	9	11	-3
6/24/10 14:58	6/23/10	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	46	9.12	2	5	7	76	D	23	28	-7	-12	-7	-4	0	-4	1	2	12	9	20	22
2/19/09 10:32	2/18/09	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	45	4.49	2	10	18	65	D	-62	-60	-57	-33	-49	-42	-34	-26	5	15	8	111	150	164
9/16/08 13:05	9/15/08	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	20	9.80	2	2	4	50	I	-3	-9	-7	-4	7	-3	-1	-2	-2	3	-12	-22	-51	21
9/10/08 11:42	9/9/08	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	20	9.86	2	2	4	48	I	1	-7	-11	0	3	-5	-6	-2	2	-1	-18	-20	-56	21
8/20/08 10:56	8/19/08	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	10	10.22	2	1	2	46	I	6	-5	-9	6	26	7	-1	-3	2	-1	-7	-39	-54	13
2/1/08 14:03	1/31/08	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	M.d	866	34.64	33	25		18	D	40	17	23	5	6	-1	10	3	2	1	-5	-8	-12	-71
2/1/08 14:03	1/31/08	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	S.d	-2,051	82.05	33	-25	-58	18	D	40	17	23	5	6	-1	10	3	2	1	-5	-8	-12	-71
1/31/08 14:30	1/30/08	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	S	-280	82.11	33	-3	-16	18	D	37	15	20	3	4	-5	8	2	3	0	-2	-10	-9	-69
1/31/08 14:27	1/30/08	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	M.d	866	34.64	33	25		21	D	37	15	20	3	4	-5	8	2	3	0	-2	-10	-9	-69
1/31/08 14:27	1/30/08	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	S.d	-1,755	81.32	33	-22	-51	21	D	37	15	20	3	4	-5	8	2	3	0	-2	-10	-9	-69
8/14/07 09:59	8/13/07	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	77	12.88	4	6	17	42	D	11	16	-3	-9	-5	-4	9	-1	-1	-4	-5	-6	1	-6
3/6/07 14:03	3/5/07	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	20	13.40	1	2	6	28	D		33	19	-1	-3	-1	-6	-4	3	1	2	6	-8	-5
2/13/07 09:31	2/12/07	HTGC	Hercules Technology Growth Capital Inc		Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	70	13.90	1	5	23	27	D		37	20	4	-2	-2	-2	-4	1	5	-4	7	-3	-2
11/17/06 15:20	11/16/06	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	M.d	1,295	33.72	33	38		14	D	46	16	5	3	1	2	0	1	-1	-1	4	9	7	20
11/17/06 15:20	11/16/06	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	S.d	-2,470	64.32	33	-38	-73	14	D	46	16	5	3	1	2	0	1	-1	-1	4	9	7	20
10/25/06 09:17	10/23/06	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP	S	-294	63.95	33	-5	-25	14	I	52	19	1	8	1	-2	-1	1	-1	1	1	11	10	21
10/21/05 17:02	10/21/05	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP,Head	M.d	381	15.88	33	24		16	D	8	26	19	9	9	10	9	8	-1	-1	7	8	18	17
10/21/05 17:02	10/21/05	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP,Head	S.d	-1,310	54.60	33	-24	-61	16	D	8	26	19	9	9	10	9	8	-1	-1	7	8	18	17
4/26/05 16:31	4/22/05	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP,Head	M.d	106	13.20	33	8	107	15	D	36	-7	7	2	1	6	10	5	1	2	4	9	20	40
4/26/05 16:31	4/22/05	STT	State Street Corp	MA	Financ	StBnk	State Commercial Banks	Chow Joseph W	MA	O	EVP,Head	S.d	-362	45.27	33	-8	-34	15	D	36	-7	7	2	1	6	10	5	1	2	4	9	20	40

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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