Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-04-26 00:00:00 ET · period of report 2022-04-24 · accession 0001562180-22-003541 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-04-26 | 2022-04-24 | HTGC | Follmann Christian | COO | D - Sale to Iss | $17.96 | -415 | 0 | -100% | -$7,453 | |
| 2022-04-26 | 2022-04-24 | HTGC | Follmann Christian | COO | A - Grant | $17.96 | +415 | 48.8K | +0.9% | +$7,453 | |
| 2022-04-26 | 2022-04-24 | HTGC | Follmann Christian | COO | F - Tax | $17.96 | -144 | 48.7K | -0.3% | -$2,586 |
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 | 2022-04-24 | D | D | 415 | $17.96 | 0 | D | — | — | (F1) Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 24, 2022. |
| 2 | Common | Common Stock | 2022-04-24 | A | A | 415 | $17.96 | 48,800 | D | — | — | (F2) Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 24, 2022. |
| 3 | Common | Common Stock | 2022-04-24 | F | D | 144 | $17.96 | 48,656 | D | — | — | (F3) Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 24, 2022. |