Form 4 for HTGC Hercules Capital, Inc.
Accepted 2023-11-27 00:00:00 ET · period of report 2023-11-22 · accession 0001562180-23-007951 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2023-11-27 | 2023-11-22 | HTGC | Loo Wade | Dir | A - Grant | $1.24 | +6,243 | 16.7K | +60% | +$7,764 |
| 2023-11-27 | 2023-11-22 | HTGC | Loo Wade | Dir | A - Grant | $15.87 | +91 | 3,101 | +3% | +$1,444 | |
| 2023-11-27 | 2023-11-22 | HTGC | Loo Wade | Dir | D - Sale to Iss | $0.00 | -5,744 | 3,010 | -66% | $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 | A | A | 5,744 | $0.00 | 16,180 | I | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. |
| 2 | Common | Common Stock | 2023-11-22 | A | A | 499 | $15.56 | 16,679 | I | — | — | (F4) Shares acquired as dividend reinvestment shares. |
| 3 | Common | Common Stock | 2023-11-22 | A | A | 91 | $15.87 | 3,101 | D By Trust | — | — | (F2) Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. (F3) Held by the Loo Revocable Trust |
| 4 | Common | Common Stock | 2023-11-22 | D | D | 5,744 | $0.00 | 3,010 | D By Trust | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. (F3) Held by the Loo Revocable Trust |