Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-08-18 00:00:00 ET · period of report 2022-08-16 · accession 0001562180-22-006211 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-08-18 | 2022-08-16 | HTGC | Fallon Thomas J | Dir | A - Grant | $15.13 | +202 | 6,276 | +3% | +$3,056 | |
| I | 2022-08-18 | 2022-08-16 | HTGC | Fallon Thomas J | Dir | A - Grant | $0.00 | +5,496 | 67.3K | +9% | $0 |
| 2022-08-18 | 2022-08-16 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -5,496 | 6,074 | -48% | $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 | 2022-08-16 | A | A | 202 | $15.13 | 6,276 | D | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. |
| 2 | Common | Common Stock | 2022-08-16 | A | A | 5,496 | $0.00 | 67,330 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. |
| 3 | Common | Common Stock | 2022-08-16 | D | D | 5,496 | $0.00 | 6,074 | D By Trust | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. (F3) Held by the Fallon Family Revocable Trust |