- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2010-08-25 16:35:46
- Reporting Period:
- Filing Date:
- Accepted Time:
- 2010-08-25 16:35:46
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|1009759||Capstone Turbine Corp||CPST||Engines & Turbines (3510)||954180883|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1033563||V John Jaggers||13455 Noel Road |
Dallas TX 75240
|Sec. Name||Acquisiton - Disposition||Date||Amount||Price||Remaning Holdings||Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Sec. Name||Remaning Holdings||Nature of Ownership||Explanation|
|Common Stock||9,744||Indirect||See Footnote|
- The reporting person's purchase of Capstone Turbine Corporation ("Capstone") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 62 shares (at the lowest price of $0.698) with the reporting person's pecuniary interest in the sale of 62 shares of Capstone common stock at a price of $0.7475 per share on August 18, 2010. The reporting person has paid to Capstone $0.90, representing the full amount of profit realized in connection with the short-swing transaction, less transaction costs.
- The Capstone shares purchased on this date were purchased in multiple transactions. This price is the weighted average sales price per share of all shares purchased on this date. The actual purchase price per share ranges from $0.698 to $0.70. The number of shares purchased at each separate price will be provided upon request by Capstone or the security holder of Capstone.
- Total common shares of 9,744 represents 16 of such common shares held by SRB Associates VII L.P. ("SRB VII"), and 9,728 of such common shares held by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF"). John Jaggers ("Jaggers") is a general partner of SRBVII, and a general partner the general partner of SRVII AFF. Jaggers disclaims beneficial ownership of these shares except to his proportionate partnership interest in these shares. On August 18, 2010, Sevin Rosen Fund V L.P. ("SRV") and Sevin Rosen V Affiliates Fund L.P. ("SRV AFF") sold 44,929 common shares, of which Jaggers' pecuniary interest is 62 common shares. Jaggers is a general partner of the general partner of SRV and SRV AFF.