Form 4 for HTGC Hercules Capital, Inc.
Accepted 2021-11-19 00:00:00 ET · period of report 2021-11-17 · accession 0001562180-21-007185 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2021-11-19 | 2021-11-17 | HTGC | Bluestein Scott | CEO | F - Tax | $16.94 | -237 | 845.8K | -0.0% | -$4,015 | |
| M | 2021-11-19 | 2021-11-17 | HTGC | Bluestein Scott | CEO | A - Grant | $16.94 | +4,289 | 162.7K | +3% | +$72.7K |
| 2021-11-19 | 2021-11-17 | HTGC | Bluestein Scott | CEO | D - Sale to Iss | $16.94 | -534 | 162.2K | -0.3% | -$9,046 |
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 | 2021-11-17 | F | D | 237 | $16.94 | 845,750 | D | — | — | (F4) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 17, 2021. |
| 2 | Common | Common Stock | 2021-11-17 | A | A | 534 | $16.94 | 845,987 | D | — | — | (F3) Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 17, 2021. |
| 3 | Common | Restricted Stock Units | 2021-11-17 | A | A | 3,755 | $16.94 | 162,748 | D | — | — | (F1) Represents dividend equivalent shares received on November 17, 2021. |
| 4 | Common | Restricted Stock Units | 2021-11-17 | D | D | 534 | $16.94 | 162,214 | D | — | — | (F2) Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 17, 2021. |