Annual report
Page 1
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 ( Mark One ) X ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF Form 10 - K FOR THE TRANSITION PERIOD FROM COMMISSION FILE NUMBER : 814-01044 MARYLAND ( State or other jurisdiction of incorporation or organization ) TriplePoint Venture Growth BDC Corp. ( Exact name of registrant as specified in its charter ) TO Title of Each Class Common Stock , par value $ 0.01 per share 5.75 % Notes due 2022 TriplePoint Venture Growth BDC Corp. 2755 Sand Hill Road , Suite 150 , Menlo Park , California 94025 ( Address of principal executive office ) ( 650 ) 854-2090 ( Registrant's telephone number , including area code ) Securities registered pursuant Section 12 ( b ) of the Act : 46-3082016 Trading Symbol ( s ) TPVG TPVY Securities registered pursuant to Section 12 ( g ) of the Act : None ( I.R.S. Employer Identification No. ) Large accelerated filer Non - accelerated filer Emerging growth company X Name of Each Exchange on Which Registered No x No X Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes x No Accelerated filer Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No The New York Stock Exchange The New York Stock Exchange Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer , " " smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Smaller reporting company .. If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No x The aggregate market value of common stock held by non - affiliates of the Registrant on June 30 , 2020 based on the closing price on that date of $ 10.28 on the New York Stock Exchange was $ 312.5 million . Solely for purposes of this disclosure , shares of common stock held by executive officers and directors of the Registrant as of such date have been excluded because such persons may be deemed to be affiliates . This determination of executive officers and directors as affiliates is not necessarily a conclusive determination for any other purposes .