Form 4 for HTGC Hercules Capital, Inc.
Accepted 2024-06-21 00:00:00 ET · period of report 2024-06-18 · accession 0001562180-24-005226 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2024-06-21 | 2024-06-18+ | HTGC | BADAVAS ROBERT P | Dir | M - OptEx | $16.34 | +15.0K | 17.5K | +592% | +$245.1K |
| DM | 2024-06-21 | 2024-06-18+ | HTGC | BADAVAS ROBERT P | Dir | S - Sale+OE | $19.68 | -15.0K | 4,234 | -78% | -$295.2K |
| DM | 2024-06-21 | 2024-06-18+ | HTGC | BADAVAS ROBERT P | Dir | M - OptEx | $0.00 | -15.0K | 0 | -100% | $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 | 2024-06-18 | M | A | 1,700 | $16.34 | 5,934 | D | — | — | |
| 2 | Common | Common Stock | 2024-06-18 | S | D | 1,700 | $19.60 | 4,234 | D | — | — | |
| 3 | Common | Common Stock | 2024-06-20 | M | A | 13,300 | $16.34 | 17,534 | D | — | — | |
| 4 | Common | Common Stock | 2024-06-20 | S | D | 13,300 | $19.69 | 4,234 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $19.61 USD to $19.815 USD; the price reported above reflects the weighted average sale price. |
| 5 | Derivative | Stock Option (Right to Buy) | 2024-06-18 | M | D | 1,700 | $0.00 | 13,300 | D | $16.34 · — to 2024-07-08 | 1,700 Common Stock | (F2) Vested one-third each year starting July 8, 2015. |
| 6 | Derivative | Stock Option (Right to Buy) | 2024-06-20 | M | D | 13,300 | $0.00 | 0 | D | $16.34 · — to 2024-07-08 | 13,300 Common Stock | (F2) Vested one-third each year starting July 8, 2015. |