Scott Bluestein - 19 May 2021 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Chief Executive Officer
Signature
/s/ /Melanie Grace, Attorney-in-Fact for Scott Bluestein
Issuer symbol
HTGC
Transactions as of
19 May 2021
Net transactions value
+$67,919
Form type
4
Filing time
21 May 2021, 17:23:08 UTC
Next filing
15 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 $78,614 +4,638 +2.3% $16.95 203,966 19 May 2021 Direct F1
transaction HTGC Restricted Stock Units Tax liability $1,186 -70 -0.03% $16.95 203,896 19 May 2021 Direct F2
transaction HTGC Restricted Stock Units Disposed to Issuer $21,425 -1,264 -0.62% $16.95 202,632 19 May 2021 Direct F3
transaction HTGC Common Stock Award $21,425 +1,264 +0.14% $16.95 924,661 19 May 2021 Direct F4
transaction HTGC Common Stock Tax liability $9,509 -561 -0.06% $16.95 924,100 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.