Scott Bluestein - 17 Nov 2021 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Chief Executive Officer
Signature
/s/ Eileen Bagarella, Attorney-in-fact for Scott Bluestein
Issuer symbol
HTGC
Transactions as of
17 Nov 2021
Net transactions value
+$59,595
Form type
4
Filing time
19 Nov 2021, 15:55:23 UTC
Previous filing
16 Nov 2021
Next filing
11 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Restricted Stock Units Award $63,610 +3,755 +2.4% $16.94 162,748 17 Nov 2021 Direct F1
transaction HTGC Restricted Stock Units Disposed to Issuer $9,046 -534 -0.33% $16.94 162,214 17 Nov 2021 Direct F2
transaction HTGC Common Stock Award $9,046 +534 +0.06% $16.94 845,987 17 Nov 2021 Direct F3
transaction HTGC Common Stock Tax liability $4,015 -237 -0.03% $16.94 845,750 17 Nov 2021 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents dividend equivalent shares received on November 17, 2021.
F2 Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 17, 2021.
F3 Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 17, 2021.
F4 Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 17, 2021.