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Filing Details

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
Suite 1670
Dallas TX 75240
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2010-08-24 100,000 $0.70 280,786 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,744 Indirect See Footnote
  1. 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.
  2. 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.
  3. 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.