Form 4 for HTGC Hercules Capital, Inc.
Accepted 2021-08-20 00:00:00 ET · period of report 2021-08-18 · accession 0001562180-21-005492 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2021-08-20 | 2021-08-18 | HTGC | Bluestein Scott | CEO | A - Grant | $16.98 | +4,144 | 181.1K | +2% | +$70.4K |
| 2021-08-20 | 2021-08-18 | HTGC | Bluestein Scott | CEO | D - Sale to Iss | $16.98 | -1,127 | 180.0K | -0.6% | -$19.1K | |
| 2021-08-20 | 2021-08-18 | HTGC | Bluestein Scott | CEO | F - Tax | $16.98 | -417 | 925.2K | -0.0% | -$7,081 |
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 | Common Stock | 2021-08-18 | A | A | 1,127 | $16.98 | 925,616 | D | — | — | (F3) Represents Hercules, Inc. common stock received from vested dividend equivalent shares on August 18, 2021. |
| 2 | Common | Restricted Stock Units | 2021-08-18 | D | D | 1,127 | $16.98 | 179,983 | D | — | — | (F2) Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on August 18, 2021. |
| 3 | Common | Restricted Stock Units | 2021-08-18 | A | A | 3,017 | $16.98 | 181,110 | D | — | — | (F1) Represents dividend equivalent shares received on August 18, 2021. |
| 4 | Common | Common Stock | 2021-08-18 | F | D | 417 | $16.98 | 925,199 | D | — | — | (F4) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on August 18, 2021. |