Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-03-18 00:00:00 ET · period of report 2022-03-16 · accession 0001562180-22-002797 · 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 | 2022-03-18 | 2022-03-16 | HTGC | Follmann Christian | COO | A - Grant | $17.16 | +189 | 425 | +80% | +$3,244 |
| 2022-03-18 | 2022-03-16 | HTGC | Follmann Christian | COO | F - Tax | $17.12 | -4 | 49.1K | -0.0% | -$68.48 | |
| 2022-03-18 | 2022-03-16 | HTGC | Follmann Christian | COO | D - Sale to Iss | $17.12 | -10 | 415 | -2% | -$171.20 |
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 | 2022-03-16 | A | A | 167 | $17.17 | 49,218 | D | — | — | (F5) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. |
| 2 | Common | Common Stock | 2022-03-16 | F | D | 4 | $17.12 | 49,051 | D | — | — | (F4) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 16, 2022. |
| 3 | Common | Common Stock | 2022-03-16 | A | A | 10 | $17.12 | 49,055 | D | — | — | (F3) Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 16, 2022. |
| 4 | Common | Restricted Stock Units | 2022-03-16 | A | A | 12 | $17.12 | 425 | D | — | — | (F1) Represents dividend equivalent shares received on March 16, 2022. |
| 5 | Common | Restricted Stock Units | 2022-03-16 | D | D | 10 | $17.12 | 415 | D | — | — | (F2) Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 16, 2022. |