Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-01-13 00:00:00 ET · period of report 2023-01-11 · accession 0001562180-23-000418 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-01-13 | 2023-01-11 | HTGC | Bluestein Scott | CEO | F - Tax | $13.50 | -21.2K | 1.26M | -2% | -$286.5K | |
| 2023-01-13 | 2023-01-11 | HTGC | Bluestein Scott | CEO | A - Grant | $13.50 | +333.3K | 1.28M | +35% | +$4.50M |
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 | 2023-01-11 | F | D | 21,224 | $13.50 | 1,258,730 | D | — | — | (F2) Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2023. |
| 2 | Common | Common Stock | 2023-01-11 | A | A | 333,333 | $13.50 | 1,279,954 | D | — | — | (F1) Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions with one-third vesting on the one year anniversary of the grant followed by quarterly vesting over the following 24 months. |