Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-08-28 00:00:00 ET · period of report 2023-08-25 · accession 0001562180-23-006583 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-08-28 | 2023-08-25 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -1,377 | 4,917 | -22% | $0 | |
| 2023-08-28 | 2023-08-25 | HTGC | Fallon Thomas J | Dir | A - Grant | $16.41 | +144 | 5,061 | +3% | +$2,363 | |
| I | 2023-08-28 | 2023-08-25 | HTGC | Fallon Thomas J | Dir | A - Grant | $0.00 | +1,377 | 79.3K | +2% | $0 |
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 | 2023-08-25 | D | D | 1,377 | $0.00 | 4,917 | 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 |
| 2 | Common | Common Stock | 2023-08-25 | A | A | 144 | $16.41 | 5,061 | D | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. |
| 3 | Common | Common Stock | 2023-08-25 | A | A | 1,377 | $0.00 | 79,313 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned |