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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2015-08-12 15:23:47
Reporting Period:
Filing Date:
Accepted Time:
2015-08-12 15:23:47
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 C/o Sevin Rosen Funds
13355 Noel Road, Suite 1350
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 2015-08-11 200,000 $0.41 718,833 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 price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.4085 to $0.4233 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities And Exchange Commission, upon request, full information regarding the number of acquired at each separate price.
  2. Total Common Shares of 9,744 represents 16 of such common shares held by SRB Associates VII L.P. ("SRBVII"), and 9,728 of such common shares held by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF"). Reporting person is a general partner of SRBVII, the general partner of SRVII AFF, and disclaims beneficial ownership of these shares except to his proportionate partnership interest in these shares.