Form 4 for HTGC Hercules Capital, Inc.

Accepted 2022-11-21 00:00:00 ET · period of report 2022-11-17 · accession 0001562180-22-007796 · 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	2022-11-21	2022-11-17	HTGC	Koenig Bradford C.	Dir	A - Grant	$7.38	+263	27.1K	+1.0%	+$1,940
	2022-11-21	2022-11-17	HTGC	Koenig Bradford C.	Dir	A - Grant	$14.06	+136	6,211	+2%	+$1,912
	2022-11-21	2022-11-17	HTGC	Koenig Bradford C.	Dir	D - Sale to Iss	$0.00	-125	6,074	-2%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-11-17	A	A	138	$14.06	27,273	I	—	—	(F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. (F3) Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share.
2	Common	Common Stock	2022-11-17	A	A	125	$0.00	27,136	I	—	—	(F1) Shares previously reported as directly owned are now being reported as indirectly owned.
3	Common	Common Stock	2022-11-17	A	A	136	$14.06	6,211	D By Trust	—	—	(F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. (F3) Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. (F4) Held by the Koenig Family 1994 Trust
4	Common	Common Stock	2022-11-17	D	D	125	$0.00	6,074	D By Trust	—	—	(F1) Shares previously reported as directly owned are now being reported as indirectly owned. (F4) Held by the Koenig Family 1994 Trust