Form 4 for HTGC Hercules Capital, Inc.
Accepted 2024-08-08 00:00:00 ET · period of report 2024-08-06 · accession 0001562180-24-006118 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2024-08-08 | 2024-08-06 | HTGC | Fallon Thomas J | Dir | D - Sale to Iss | $0.00 | -1,158 | 6,789 | -15% | $0 | |
| I | 2024-08-08 | 2024-08-06 | HTGC | Fallon Thomas J | Dir | A - Grant | $0.00 | +1,158 | 86.7K | +1% | $0 |
| I | 2024-08-08 | 2024-08-06 | HTGC | Fallon Thomas J | Dir | P - Purchase | $18.33 | +5,723 | 92.4K | +7% | +$104.9K |
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 | 2024-08-06 | D | D | 1,158 | $0.00 | 6,789 | D By Trust | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. |
| 2 | Common | Common Stock | 2024-08-06 | A | A | 1,158 | $0.00 | 86,677 | I By Trust | — | — | (F1) Shares previously reported as directly owned are now being reported as indirectly owned. (F4) Held by the Fallon Family Revocable Trust |
| 3 | Common | Common Stock | 2024-08-06 | P | A | 5,723 | $18.33 | 92,400 | I | — | — | (F2) 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) Average purchase price. Shares purchased at prices between $18.3269 and $18.3280. |