/Melanie Grace - 19 May 2021 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
General Counsel & CCO
Signature
/s/ /Melanie Grace
Issuer symbol
HTGC
Transactions as of
19 May 2021
Net transactions value
+$7,831
Form type
4
Filing time
21 May 2021, 17:22:01 UTC
Next filing
27 Jul 2021
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 $8,611 +508 +2.4% $16.95 22,085 19 May 2021 Direct F1
transaction HTGC Restricted Stock Units Tax liability $170 -10 -0.05% $16.95 22,075 19 May 2021 Direct F2
transaction HTGC Restricted Stock Units Disposed to Issuer $1,220 -72 -0.33% $16.95 22,003 19 May 2021 Direct F3
transaction HTGC Common Stock Award $1,220 +72 +0.11% $16.95 65,509 19 May 2021 Direct F4
transaction HTGC Common Stock Tax liability $610 -36 -0.05% $16.95 65,473 19 May 2021 Direct F5
* 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 May 19, 2021.
F2 Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on May 19, 2021.
F3 Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on May 19, 2021.
F4 Represents Hercules, Inc. common stock received from vested dividend equivalent shares on May 19, 2021.
F5 Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on May 19, 2021.