Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-05-03 00:00:00 ET · period of report 2023-05-02 · accession 0001562180-23-003916 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-05-03 | 2023-05-02 | HTGC | Bluestein Scott | CEO | D - Sale to Iss | $13.05 | -1.67M | 0 | -100% | -$21.78M | |
| 2023-05-03 | 2023-05-02 | HTGC | Bluestein Scott | CEO | F - Tax | $13.05 | -749.9K | 2.14M | -26% | -$9.79M | |
| 2023-05-03 | 2023-05-02 | HTGC | Bluestein Scott | CEO | A - Grant | $13.05 | +1.67M | 2.89M | +136% | +$21.78M |
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 | Performance Stock Units | 2023-05-02 | D | D | 1,669,089 | $13.05 | 0 | D | — | — | (F1) Represents released performance unit award and dividend equivalent units converted to Issuers common stock on May 2, 2023. |
| 2 | Common | Common Stock | 2023-05-02 | F | D | 749,872 | $13.05 | 2,142,708 | D | — | — | (F3) Represents Issuer's common stock withheld to pay taxes applicable to the release of performance stock unit award and dividend equivalent units on May 2, 2023 |
| 3 | Common | Common Stock | 2023-05-02 | A | A | 1,669,089 | $13.05 | 2,892,580 | D | — | — | (F2) Represents Issuer's common stock received from released performance unit award and dividend equivalent units on May 2, 2023 |