Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-11-27 00:00:00 ET · period of report 2023-11-22 · accession 0001562180-23-007949 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-11-27 | 2023-11-22 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -5,800 | 4,917 | -54% | $0 | |
| 2023-11-27 | 2023-11-22 | HTGC | Fallon Thomas J | Dir | A - Grant | $15.87 | +149 | 5,066 | +3% | +$2,365 | |
| I | 2023-11-27 | 2023-11-22 | HTGC | Fallon Thomas J | Dir | A - Grant | $0.00 | +5,800 | 85.1K | +7% | $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 | 2023-11-22 | D | D | 5,800 | $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 | 2023-11-22 | A | A | 149 | $15.87 | 5,066 | D | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. |
| 3 | Common | Common Stock | 2023-11-22 | A | A | 5,800 | $0.00 | 85,113 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. |