Form 4 for HTGC Hercules Capital, Inc.
Accepted 2022-11-21 00:00:00 ET · period of report 2022-11-17 · accession 0001562180-22-007797 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-11-21 | 2022-11-17 | HTGC | Loo Wade | Dir | D - Sale to Iss | $0.00 | -149 | 4,514 | -3% | $0 | |
| 2022-11-21 | 2022-11-17 | HTGC | Loo Wade | Dir | A - Grant | $14.06 | +164 | 4,678 | +4% | +$2,306 | |
| MI | 2022-11-21 | 2022-11-17 | HTGC | Loo Wade | Dir | A - Grant | $6.62 | +281 | 3,775 | +8% | +$1,861 |
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 | 2022-11-17 | D | D | 149 | $0.00 | 4,514 | D By Trust | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. (F3) Held by the Loo Revocable Trust |
| 2 | Common | Common Stock | 2022-11-17 | A | A | 164 | $14.06 | 4,678 | D By Trust | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. (F3) Held by the Loo Revocable Trust |
| 3 | Common | Common Stock | 2022-11-17 | A | A | 149 | $0.00 | 3,642 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. |
| 4 | Common | Common Stock | 2022-11-17 | A | A | 132 | $14.10 | 3,775 | I | — | — | (F4) Shares acquired as dividend reinvestment shares. (F5) Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was understated by 1 share. |