Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-05-25 00:00:00 ET · period of report 2023-05-23 · accession 0001562180-23-004483 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2023-05-25 | 2023-05-23 | HTGC | Fallon Thomas J | Dir | A - Grant | $0.00 | +186 | 77.9K | +0.2% | $0 |
| 2023-05-25 | 2023-05-23 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -186 | 6,076 | -3% | $0 | |
| 2023-05-25 | 2023-05-23 | HTGC | Fallon Thomas J | Dir | A - Grant | $13.09 | +218 | 6,294 | +4% | +$2,854 |
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 | 2023-05-23 | A | A | 186 | $0.00 | 77,936 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned |
| 2 | Common | Common Stock | 2023-05-23 | D | D | 186 | $0.00 | 6,076 | 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 |
| 3 | Common | Common Stock | 2023-05-23 | A | A | 218 | $13.09 | 6,294 | D | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. |