Form 4 for HTGC Hercules Capital, Inc.
Accepted 2024-06-24 00:00:00 ET · period of report 2024-06-20 · accession 0001562180-24-005253 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2024-06-24 | 2024-06-20 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -149 | 7,947 | -2% | $0 | |
| 2024-06-24 | 2024-06-20 | HTGC | Fallon Thomas J | Dir | A - Grant | $19.80 | +3,030 | 8,096 | +60% | +$60.0K | |
| I | 2024-06-24 | 2024-06-20 | HTGC | Fallon Thomas J | Dir | A - Grant | $0.00 | +149 | 85.5K | +0.2% | $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 | 2024-06-20 | D | D | 149 | $0.00 | 7,947 | D | — | — | (F2) Shares previously reported as directly owned are now being reported as indirectly owned. |
| 2 | Common | Common Stock | 2024-06-20 | A | A | 3,030 | $19.80 | 8,096 | D By Trust | — | — | (F1) Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. (F4) Held by the Fallon Family Revocable Trust |
| 3 | Common | Common Stock | 2024-06-20 | A | A | 149 | $0.00 | 85,519 | I | — | — | (F2) Shares previously reported as directly owned are now being reported as indirectly owned. (F3) Includes 132 and 125 dividend reinvestment shares acquired on March 6, 2024 and May 21, 2024, respectively. |