Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-05-13 00:00:00 ET · period of report 2022-05-12 · accession 0001562180-22-004018 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2022-05-13 | 2022-05-12 | HTGC | Fallon Thomas J | Dir | P - Purchase | $14.88 | +10.0K | 61.6K | +19% | +$148.8K |
| 2022-05-13 | 2022-05-12 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -7,231 | 7,231 | -50% | $0 |
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 | 2022-05-12 | P | A | 10,000 | $14.88 | 61,604 | I | — | — | (F2) Average sale price. Shares sold at prices between $14.88 and $14.89. (F1) 51,604 shares previously reported as directly owned are now being reported as indirectly owned. |
| 2 | Common | Common Stock | 2022-05-12 | D | D | 7,231 | $0.00 | 7,231 | D By Trust | — | — | (F1) 51,604 shares previously reported as directly owned are now being reported as indirectly owned. (F3) Held by the Fallon Family Revocable Trust |