Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-01-11 00:00:00 ET · period of report 2022-01-09 · accession 0001562180-22-000414 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-01-11 | 2022-01-09 | HTGC | Bluestein Scott | CEO | D - Sale to Iss | $17.03 | -137.5K | 24.7K | -85% | -$2.34M | |
| 2022-01-11 | 2022-01-09 | HTGC | Bluestein Scott | CEO | F - Tax | $17.03 | -50.1K | 933.2K | -5% | -$852.8K | |
| 2022-01-11 | 2022-01-09 | HTGC | Bluestein Scott | CEO | A - Grant | $17.03 | +137.5K | 983.3K | +16% | +$2.34M |
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 | 2022-01-09 | D | D | 137,531 | $17.03 | 24,683 | D | — | — | (F1) Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 9, 2022. |
| 2 | Common | Common Stock | 2022-01-09 | F | D | 50,077 | $17.03 | 933,204 | D | — | — | (F3) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the release of restricted stock units and dividend equivalent shares on January 9, 2022. |
| 3 | Common | Common Stock | 2022-01-09 | A | A | 137,531 | $17.03 | 983,281 | D | — | — | (F2) Represents Hercules, Inc. common stock received from released restricted stock units and dividend equivalent shares on January 9, 2022. |