Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-05-09 00:00:00 ET · period of report 2022-05-06 · accession 0001562180-22-003911 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-05-09 | 2022-05-06 | HTGC | Bluestein Scott | CEO | A - Grant | — | +1.46M | 1.46M | New | — |
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 | Performance Stock Units | 2022-05-06 | A | A | 1,458,358 | — | 1,458,358 | D | — | — | (F1) Each of the Performance Stock Units (the "PSU(s)") represents a contingent right to receive one (1) share of the Common Stock of the Issuer upon settlement. (F2) On May 2, 2018, the Reporting Person was granted a PSU award for a target number of 487,409 shares of common stock, subject to the achievement of certain financial performance criteria during the performance period. On May 6, 2022, the Compensation Committee of the Issuer certified the Issuer's absolute total shareholder return ("TSR") performance over the performance period, which ran from May 2, 2018 through May 2, 2022, at the maximum level, resulting in 200% of the PSUs originally granted on May 2, 2018 that vest based on absolute TSR becoming earned. Includes 483,540 dividend equivalents accrued since May 2, 2018. These PSUs and dividend equivalents remain outstanding and release is subject to a one year deferral period ending on May 2, 2023. |