Wade Loo - 09 Mar 2023 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s /Eileen Bagarella, Attorney-in-Fact for Wade Loo
Issuer symbol
HTGC
Transactions as of
09 Mar 2023
Net transactions value
+$3,982
Form type
4
Filing time
13 Mar 2023, 16:14:57 UTC
Previous filing
21 Nov 2022
Next filing
21 Mar 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Disposed to Issuer $0 -164 -3.5% $0.000000 4,514 09 Mar 2023 Direct F1
transaction HTGC Common Stock Award $2,129 +139 +3.1% $15.32 4,653 09 Mar 2023 Direct F2
transaction HTGC Common Stock Award $0 +164 +4.3% $0.000000 3,939 09 Mar 2023 By Trust F1, F3
transaction HTGC Common Stock Award $1,853 +121 +3.1% $15.31 4,059 09 Mar 2023 By Trust F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares previously reported as directly owned are now being reported as indirectly owned.
F2 Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan.
F3 Held by the Loo Revocable Trust
F4 Shares acquired as dividend reinvestment shares.
F5 Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share.