Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-03-13 00:00:00 ET · period of report 2023-03-09 · accession 0001562180-23-002716 · 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 | 2023-03-13 | 2023-03-09+ | HTGC | Fallon Thomas J | Dir | A - Grant | $12.48 | +10.2K | 67.8K | +18% | +$127.5K |
| 2023-03-13 | 2023-03-09 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -220 | 6,075 | -3% | $0 | |
| 2023-03-13 | 2023-03-09 | HTGC | Fallon Thomas J | Dir | A - Grant | $15.32 | +187 | 6,262 | +3% | +$2,865 |
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 | 2023-03-10 | A | A | 10,000 | $12.75 | 77,750 | I | — | — | (F4) Average sale price. Shares sold at prices between $12.74 and $12.76. (F5) 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 | 2023-03-09 | A | A | 220 | $0.00 | 67,751 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned |
| 3 | Common | Common Stock | 2023-03-09 | D | D | 220 | $0.00 | 6,075 | 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 |
| 4 | Common | Common Stock | 2023-03-09 | A | A | 187 | $15.32 | 6,262 | D By Trust | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. (F3) Held by the Fallon Family Revocable Trust |