Scott Bluestein - Jul 31, 2021 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Chief Executive Officer
Signature
/s/ Melanie Grace, Attorney-in-fact for Scott Bluestein
Stock symbol
HTGC
Transactions as of
Jul 31, 2021
Transactions value $
-$187,967
Form type
4
Date filed
8/3/2021, 05:05 PM
Previous filing
Jul 19, 2021
Next filing
Dec 21, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Restricted Stock Units Disposed to Issuer -$424K -24.5K -12.11% $17.27 178K Jul 31, 2021 Direct F1
transaction HTGC Common Stock Award $424K +24.5K +2.69% $17.27 935K Jul 31, 2021 Direct F2
transaction HTGC Common Stock Tax liability -$188K -10.9K -1.16% $17.27 924K Jul 31, 2021 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2021.
F2 Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2021.
F3 Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 31, 2021.