Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-08-01 00:00:00 ET · period of report 2022-08-01 · accession 0001562180-22-005784 · 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 | 2022-08-01 | 2022-08-01 | HTGC | Fallon Thomas J | Dir | A - Grant | $0.00 | +230 | 61.8K | +0.4% | $0 |
| 2022-08-01 | 2022-08-01 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -230 | 7,231 | -3% | $0 | |
| 2022-08-01 | 2022-08-01 | HTGC | Fallon Thomas J | Dir | A - Grant | $16.13 | +4,339 | 11.6K | +60% | +$70.0K |
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 | 2022-08-01 | A | A | 230 | $0.00 | 61,834 | I | — | — | (F1) 230 shares previously reported as directly owned are now being reported as indirectly owned. |
| 2 | Common | Common Stock | 2022-08-01 | D | D | 230 | $0.00 | 7,231 | D By Trust | — | — | (F1) 230 shares previously reported as directly owned are now being reported as indirectly owned. (F3) Held by the Fallon Family Revocable Trust |
| 3 | Common | Common Stock | 2022-08-01 | A | A | 4,339 | $16.13 | 11,570 | D | — | — | (F2) Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. |