TriplePoint Venture Growth BDC Corp.
For the period ended Sep 30, 2026. Filed Nov 4, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Nov 4, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Unregistered Sales of Equity Securities and Use of Proceeds
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds
We did not sell any equity securities during the period covered by this Quarterly Report on Form 10-Q that were not registered under the Securities Act. Similarly, the Company did not repurchase any shares of our equity securities during the quarter ended September 30, 2026.
On May 5, 2026, the Board authorized the Company Stock Repurchase Program for the purpose of repurchasing up to an aggregate of $12.5 million of our common stock in the open market at certain thresholds below our then-current net asset value per share in accordance with the guidelines specified in Rule 10b-18 under the Exchange Act. The timing, manner, price and amount of any share repurchases will be determined by the Company based upon an evaluation of economic and market conditions, stock price, applicable legal, contractual and regulatory requirements and other factors. The Company Stock Repurchase Program is scheduled to expire on May 6, 2027. During the three months ended September 30, 2026, we did not repurchase any shares of our common stock under the Company Stock Repurchase Program.
On August 6, 2025, TPC announced a discretionary share purchase program to acquire up to $14 million of our outstanding shares of common stock at prices below the then-current NAV per share for a 12-month period subject to certain trading parameters and limitations. These purchases may occur through various methods, including in open-market transactions and through privately negotiated transactions, and may be conducted in accordance with Rule 10b5-1 and Rule 10b-18 under the Exchange Act. On November 6, 2025, TPC adopted a Rule 10b5-1 trading plan under the Exchange Act in connection with its share purchase program relating to our common stock. As of March 31, 2026, TPC’s Rule 10b5-1 trading plan was no longer in effect in accordance with its terms, prior to which date TPC had repurchased an aggregate amount of approximately $12.8 million of our common stock pursuant to its discretionary share purchase program. During the three months ended September 30, 2026, TPC did not purchase any shares of our common stock under the discretionary share purchase program.
On September 18, 2026, TPC purchased from Mr. Srivastava 313,865 shares of our common stock, at a purchase price of $4.7061 per share, for a total purchase price of $1,477,081, in a private transaction under Section 4(a)(2) of the Securities Act (the “September 2026 TPC Share Purchase”). The September 2026 TPC Share Purchase was effected in connection with Mr. Srivastava’s announcement of intent to resign (1) from his executive officer positions at the Company and as a member of the Board and (2) from his executive officer position at TPC, in each case effective the close of business on December 31, 2026.
Dividend Reinvestment Plan
During the three months ended September 30, 2026, we issued 133,060 shares of common stock under our dividend reinvestment plan. These issuances were not subject to the registration requirements under the Securities Act. The cash paid for shares of common stock issued under our dividend reinvestment plan during the three months ended September 30, 2026 was $0.6 million.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.