Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-05-25 00:00:00 ET · period of report 2023-05-23 · accession 0001562180-23-004485 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-05-25 | 2023-05-23 | HTGC | Follmann Christian | COO | A - Grant | $13.91 | +253 | 72.2K | +0.4% | +$3,519 | |
| 2023-05-25 | 2023-05-24 | HTGC | Follmann Christian | COO | S - Sale | $13.72 | -455 | 72.2K | -0.6% | -$6,243 | |
| 2023-05-25 | 2023-05-24 | HTGC | Follmann Christian | COO | P - Purchase | $13.73 | +455 | 72.6K | +0.6% | +$6,247 |
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 | 253 | $13.91 | 72,179 | D | — | — | (F1) Shares acquired as dividend reinvestment shares. (F2) Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was understated by one share. |
| 2 | Common | Common Stock | 2023-05-24 | S | D | 455 | $13.72 | 72,179 | D | — | — | |
| 3 | Common | Common Stock | 2023-05-24 | P | A | 455 | $13.73 | 72,634 | D | — | — |