Form 4 for HTGC Hercules Capital, Inc.
Accepted 2021-11-02 00:00:00 ET · period of report 2021-10-31 · accession 0001562180-21-006766 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2021-11-02 | 2021-10-31 | HTGC | Bluestein Scott | CEO | F - Tax | $17.67 | -10.9K | 925.5K | -1% | -$193.0K | |
| 2021-11-02 | 2021-10-31 | HTGC | Bluestein Scott | CEO | D - Sale to Iss | $17.67 | -24.6K | 155.4K | -14% | -$435.2K | |
| 2021-11-02 | 2021-10-31 | HTGC | Bluestein Scott | CEO | A - Grant | $17.67 | +24.6K | 936.4K | +3% | +$435.2K |
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 | 2021-10-31 | F | D | 10,924 | $17.67 | 925,453 | D | — | — | (F3) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 31, 2021. |
| 2 | Common | Restricted Stock Units | 2021-10-31 | D | D | 24,630 | $17.67 | 155,353 | D | — | — | (F1) Represents vested restricted stock and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2021. |
| 3 | Common | Common Stock | 2021-10-31 | A | A | 24,630 | $17.67 | 936,377 | D | — | — | (F2) Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2021. |