Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-02-01 00:00:00 ET · period of report 2022-01-31 · accession 0001562180-22-000844 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-02-01 | 2022-01-31 | HTGC | Bluestein Scott | CEO | A - Grant | $17.88 | +24.7K | 1.12M | +2% | +$441.3K | |
| 2022-02-01 | 2022-01-31 | HTGC | Bluestein Scott | CEO | F - Tax | $17.88 | -10.9K | 1.11M | -1.0% | -$195.7K | |
| 2022-02-01 | 2022-01-31 | HTGC | Bluestein Scott | CEO | D - Sale to Iss | $17.88 | -24.7K | 0 | -100% | -$441.3K |
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 | 2022-01-31 | A | A | 24,683 | $17.88 | 1,120,738 | D | — | — | (F2) Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2022. |
| 2 | Common | Common Stock | 2022-01-31 | F | D | 10,947 | $17.88 | 1,109,791 | D | — | — | (F3) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 31, 2022. |
| 3 | Common | Restricted Stock Units | 2022-01-31 | D | D | 24,683 | $17.88 | 0 | D | — | — | (F1) Represents restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2022. |