Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-09-11 00:00:00 ET · period of report 2023-09-08 · accession 0001562180-23-006814 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-09-11 | 2023-09-08 | HTGC | Aguirre DeAnne | Dir | A - Grant | $15.90 | +2,828 | 7,907 | +56% | +$45.0K | |
| I | 2023-09-11 | 2023-09-08 | HTGC | Aguirre DeAnne | Dir | A - Grant | $0.00 | +1,693 | 1,693 | New | $0 |
| 2023-09-11 | 2023-09-08 | HTGC | Aguirre DeAnne | Dir | D - Sale to Iss | $0.00 | -1,693 | 6,214 | -21% | $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 | 2023-09-08 | A | A | 2,828 | $15.90 | 7,907 | D By Trust | — | — | (F1) Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. (F3) Held by the Aguirre Family 2004 Trust |
| 2 | Common | Common Stock | 2023-09-08 | A | A | 1,693 | $0.00 | 1,693 | I | — | — | (F2) Shares previously reported as directly owned are now being reported as indirectly owned. |
| 3 | Common | Common Stock | 2023-09-08 | D | D | 1,693 | $0.00 | 6,214 | D | — | — | (F2) Shares previously reported as directly owned are now being reported as indirectly owned. |