Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-08-18 00:00:00 ET · period of report 2022-08-16 · accession 0001562180-22-006212 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2022-08-18 | 2022-08-16 | HTGC | Koenig Bradford C. | Dir | A - Grant | $1.49 | +1,283 | 26.9K | +5% | +$1,906 |
| 2022-08-18 | 2022-08-16 | HTGC | Koenig Bradford C. | Dir | A - Grant | $15.13 | +125 | 6,199 | +2% | +$1,891 | |
| 2022-08-18 | 2022-08-16 | HTGC | Koenig Bradford C. | Dir | D - Sale to Iss | $0.00 | -1,157 | 6,074 | -16% | $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 | 126 | $15.13 | 27,011 | I | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. |
| 2 | Common | Common Stock | 2022-08-16 | A | A | 125 | $15.13 | 6,199 | D By Trust | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. (F3) Held by the Koenig Family 1994 Trust |
| 3 | Common | Common Stock | 2022-08-16 | D | D | 1,157 | $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 Koenig Family 1994 Trust |
| 4 | Common | Common Stock | 2022-08-16 | A | A | 1,157 | $0.00 | 26,885 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. |