Form 4 for HTGC Hercules Capital, Inc.
Accepted 2021-08-03 00:00:00 ET · period of report 2021-07-31 · accession 0001562180-21-005132 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2021-08-03 | 2021-07-31 | HTGC | Grace Melanie | GC, CCO | D - Sale to Iss | $17.27 | -1,390 | 20.6K | -6% | -$24.0K | |
| 2021-08-03 | 2021-07-31 | HTGC | Grace Melanie | GC, CCO | A - Grant | $17.27 | +1,390 | 66.6K | +2% | +$24.0K | |
| 2021-08-03 | 2021-07-31 | HTGC | Grace Melanie | GC, CCO | F - Tax | $17.27 | -531 | 66.1K | -0.8% | -$9,170 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Restricted Stock Units | 2021-07-31 | D | D | 1,390 | $17.27 | 20,613 | D | — | — | (F1) Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2021. |
| 2 | Common | Common Stock | 2021-07-31 | A | A | 1,390 | $17.27 | 66,594 | D | — | — | (F2) Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2021. |
| 3 | Common | Common Stock | 2021-07-31 | F | D | 531 | $17.27 | 66,063 | D | — | — | (F3) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 31, 2021. |