Last 12 months
Inside the activity.
5 purchase rows · 3 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 2 | 1 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 1 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 2 | 0 |
| Sep 2026 | 1 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 04, 2020 Filed Jun 5, 2020 21:18 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 35,000 | $6.49 | $227,150.00 |
DisclosureSEC source: 0001104659-20-070481 · tm2021923d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,696,176 Read SEC document |
| June 03, 2020 Filed Jun 4, 2020 18:07 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 35,000 | $6.34 | $221,900.00 |
DisclosureSEC source: 0001104659-20-069770 · tm2021812d1_4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,661,176 Read SEC document |
| June 02, 2020 Filed Jun 4, 2020 18:07 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $6.32 | $316,000.00 |
DisclosureSEC source: 0001104659-20-069770 · tm2021812d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,626,176 Read SEC document |
| June 01, 2020 Filed Jun 2, 2020 15:42 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 20,000 | $6.44 | $128,800.00 |
DisclosureSEC source: 0001104659-20-068765 · ownership.xml · nonDerivative · entry 3 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,576,176 Read SEC document |
| May 29, 2020 Filed Jun 2, 2020 15:42 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 10,000 | $6.40 | $64,000.00 |
DisclosureSEC source: 0001104659-20-068765 · ownership.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,556,176 Read SEC document |
| May 29, 2020 Filed Jun 2, 2020 15:42 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 30,000 | $6.33 | $189,900.00 |
DisclosureSEC source: 0001104659-20-068765 · ownership.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,546,176 Read SEC document |
| May 27, 2020 Filed May 28, 2020 20:10 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.39 | $159,750.00 |
DisclosureSEC source: 0001104659-20-067042 · tm2021219d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,516,176 Read SEC document |
| May 19, 2020 Filed May 21, 2020 20:37 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 5,000 | $6.21 | $31,050.00 |
DisclosureSEC source: 0001104659-20-064808 · tm2020345d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,491,176 Read SEC document |
| May 15, 2020 Filed May 18, 2020 20:33 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.14 | $153,500.00 |
DisclosureSEC source: 0001104659-20-063218 · tm2020077d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,486,176 Read SEC document |
| May 14, 2020 Filed May 14, 2020 22:15 UTC |
Klein Mark DDirector · CEO and President
|
PurchaseCommon Stock | 1,940 | $6.05 | $11,737.00 |
DisclosureSEC source: 0001104659-20-061751 · tm2019842-1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,955 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $6.02 to $6.05 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Sutter Rock Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of ares purchased at each separate price within the range set forth in this footnote. F2 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| May 13, 2020 Filed May 13, 2020 22:10 UTC |
Klein Mark DDirector · CEO and President
|
PurchaseCommon Stock | 8,500 | $6.11 | $51,935.00 |
DisclosureSEC source: 0001104659-20-060982 · tm2019644d1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,015 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $6.06 to $6.16 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Sutter Rock Capital Corp. (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · balance_after: This total includes 1,667 shares of the Company's common stock owned by Mr. Klein's spouse, which may be deemed to be beneficially owned by Mr. Klein. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 21:24 UTC |
Klein Mark DDirector · CEO and President
|
OtherEmployee Stock Option (right to buy) · Derivative | 950,000 | $0.00 Strike: $6.57 | $0.00 |
DisclosureSEC source: 0001104659-20-054592 · tm2018266d1_4.xml · derivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 950,000 shares Expires 2029-07-17 F1 · kind: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended. F1 · price: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: The stock options granted vest as follows: 1/3 vested on July 17, 2019, 1/3 would have vested on July 17, 2020, and 1/3 would have vested on July 17, 2021. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 21:24 UTC |
Green AllisonSee Remarks
|
OtherEmployee Stock Option (right to buy) · Derivative | 175,000 | $0.00 Strike: $6.57 | $0.00 |
DisclosureSEC source: 0001104659-20-054596 · tm2018266d2_4.xml · derivative · entry 1 Green Allison · CIK 0001742297 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 175,000 shares Expires 2029-07-17 F1 · kind: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended. F1 · price: The reporting person and the Company agreed to the cancellation of all of the stock options (vested and unvested) for no value or payment and the Board of Directors of the Company approved such cancellation on April 28, 2020. The reporting person is voluntarily reporting this transaction despite being exempt from reporting this transaction under Section 16 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: The stock options granted vest as follows: 1/3 vested on July 17, 2019, 1/3 would have vested on July 17, 2020, and 1/3 would have vested on July 17, 2021. Read SEC document |
| April 09, 2020 Filed Apr 10, 2020 19:16 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 45,191 | $5.88 | $265,723.08 |
DisclosureSEC source: 0001104659-20-045528 · tm2015623d1_4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,456,367 Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:42 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 4,809 | $6.00 | $28,854.00 |
DisclosureSEC source: 0001104659-20-045970 · tm2015737d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461,176 Read SEC document |
| April 08, 2020 Filed Apr 10, 2020 19:16 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $6.04 | $302,000.00 |
DisclosureSEC source: 0001104659-20-045528 · tm2015623d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,411,176 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 15:08 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $5.77 | $288,500.00 |
DisclosureSEC source: 0001104659-20-044027 · tm2015246-1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,361,176 Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 13:11 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 30,000 | $5.54 | $166,200.00 |
DisclosureSEC source: 0001104659-20-040874 · tm2014265d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,311,176 Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 20:31 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $4.42 | $221,000.00 |
DisclosureSEC source: 0001104659-20-038309 · tm2013808d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,281,176 Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 20:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 10,000 | $3.93 | $39,300.00 |
DisclosureSEC source: 0001104659-20-037806 · tm2013618d1_4.xml · nonDerivative · entry 3 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,231,176 Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 20:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $3.88 | $97,000.00 |
DisclosureSEC source: 0001104659-20-037806 · tm2013618d1_4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,221,176 Read SEC document |
| March 20, 2020 Filed Mar 24, 2020 20:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $4.37 | $218,500.00 |
DisclosureSEC source: 0001104659-20-037806 · tm2013618d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,196,176 Read SEC document |
| March 16, 2020 Filed Mar 17, 2020 19:22 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $4.82 | $120,500.00 |
DisclosureSEC source: 0001104659-20-034637 · tm2012900-1_4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,146,176 Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 19:22 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $5.32 | $266,000.00 |
DisclosureSEC source: 0001104659-20-034637 · tm2012900-1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,121,176 Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 20:22 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 15,000 | $5.49 | $82,350.00 |
DisclosureSEC source: 0001104659-20-033143 · tm2012693d1_4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,071,176 Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 20:22 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 76,081 | $6.12 | $465,615.72 |
DisclosureSEC source: 0001104659-20-033143 · tm2012693d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,056,176 Read SEC document |
| March 10, 2020 Filed Mar 11, 2020 20:13 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 8,919 | $6.19 | $55,208.61 |
DisclosureSEC source: 0001104659-20-031937 · a4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,980,095 Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:13 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $5.66 | $141,500.00 |
DisclosureSEC source: 0001104659-20-031937 · a4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,971,176 Read SEC document |
| March 06, 2020 Filed Mar 9, 2020 20:22 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $6.59 | $329,500.00 |
DisclosureSEC source: 0001104659-20-030777 · tm2011954d1_4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,946,176 Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:22 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 40,000 | $6.66 | $266,400.00 |
DisclosureSEC source: 0001104659-20-030777 · tm2011954d1_4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,896,176 Read SEC document |
| February 28, 2020 Filed Mar 2, 2020 20:24 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 20,000 | $5.81 | $116,200.00 |
DisclosureSEC source: 0001104659-20-027803 · a4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,856,176 Read SEC document |
| February 26, 2020 Filed Feb 27, 2020 21:24 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.27 | $156,750.00 |
DisclosureSEC source: 0001104659-20-026190 · a4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,836,176 Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 21:24 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 50,000 | $6.17 | $308,500.00 |
DisclosureSEC source: 0001104659-20-026190 · a4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,811,176 Read SEC document |
| January 29, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.94 | $173,500.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 11 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,761,176 Read SEC document |
| January 27, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.82 | $170,500.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 10 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,736,176 Read SEC document |
| January 22, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 11,176 | $6.74 | $75,326.24 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 9 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,711,176 Read SEC document |
| January 21, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 10,000 | $6.77 | $67,700.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 8 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,700,000 Read SEC document |
| January 16, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 20,000 | $6.81 | $136,200.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 7 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,690,000 Read SEC document |
| January 14, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.88 | $172,000.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 6 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,670,000 Read SEC document |
| January 13, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.90 | $172,500.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 5 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,645,000 Read SEC document |
| January 09, 2020 Filed Jan 9, 2020 21:41 UTC |
Klein Mark DDirector · CEO and President
|
PurchaseCommon Stock | 13,423 | $6.79 | $91,142.17 |
DisclosureSEC source: 0001104659-20-002700 · tm201737d1_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,515 F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.78 to $6.80, inclusive. The reporting person undertakes to provide to Sutter Rock Capital Corp., any security holder of Sutter Rock Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| January 09, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.84 | $171,000.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 4 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,620,000 Read SEC document |
| January 08, 2020 Filed Jan 9, 2020 21:41 UTC |
Klein Mark DDirector · CEO and President
|
PurchaseCommon Stock | 5,085 | $6.65 | $33,815.25 |
DisclosureSEC source: 0001104659-20-002700 · tm201737d1_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,092 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.63 to $6.65, inclusive. The reporting person undertakes to provide to Sutter Rock Capital Corp., any security holder of Sutter Rock Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| January 08, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.79 | $169,750.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 3 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,595,000 Read SEC document |
| January 03, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.76 | $169,000.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 2 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,570,000 Read SEC document |
| January 02, 2020 Filed Feb 14, 2020 17:55 UTC |
Birch Robert S.10% owner
|
PurchaseCommon Stock | 25,000 | $6.60 | $165,000.00 |
DisclosureSEC source: 0001104659-20-021279 · a4.xml · nonDerivative · entry 1 Birch Robert S. · CIK 0001794501 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,545,000 Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 21:24 UTC |
Klein Mark DDirector · CEO and President
|
GrantEmployee Stock Option (right to buy) · Derivative | 950,000 | $0.00 Strike: $6.57 | $0.00 |
DisclosureSEC source: 0001144204-19-035236 · tv525487_4.xml · derivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 950,000 Underlying: Common Stock · 950,000 shares Expires 2029-07-17 F1 · derivative.exercise_date: The stock option grant vests as follows: 1/3 vested on July 17, 2019, 1/3 will vest on July 17, 2020, and 1/3 will vest on July 17, 2021. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 21:22 UTC |
Green AllisonCFO, Treasurer and Secretary
|
GrantEmployee Stock Option (right to buy) · Derivative | 175,000 | $0.00 Strike: $6.57 | $0.00 |
DisclosureSEC source: 0001144204-19-035235 · tv525486_4.xml · derivative · entry 1 Green Allison · CIK 0001742297 · CFO, Treasurer and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2029-07-17 F1 · derivative.exercise_date: The stock option grant vests as follows: 1/3 vested on July 17, 2019, 1/3 will vest on July 17, 2020, and 1/3 will vest on July 17, 2021. Read SEC document |
| June 17, 2019 Filed Jun 17, 2019 21:43 UTC |
Klein Mark DDirector · CEO and President
|
PurchaseCommon Stock | 5,000 | $6.68 | $33,400.00 |
DisclosureSEC source: 0001144204-19-031214 · tv523714_4.xml · nonDerivative · entry 1 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,007 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.66 to $6.72, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 11, 2019 Filed Jun 11, 2019 21:50 UTC |
Klein Mark DDirector · CEO and President
|
PurchaseCommon Stock | 9,007 | $6.40 | $57,644.80 |
DisclosureSEC source: 0001144204-19-030607 · tv523436_4.xml · nonDerivative · entry 2 Klein Mark D · CIK 0001322402 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,007 F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.39 to $6.40, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.