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

Role
General Counsel & CCO
Signature
/s/ /Melanie Grace
Stock symbol
HTGC
Transactions as of
Jul 31, 2021
Transactions value $
-$9,170
Form type
4
Date filed
8/3/2021, 05:05 PM
Previous filing
Jul 27, 2021
Next filing
Aug 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Restricted Stock Units Disposed to Issuer -$24K -1.39K -6.32% $17.27 20.6K Jul 31, 2021 Direct F1
transaction HTGC Common Stock Award $24K +1.39K +2.13% $17.27 66.6K Jul 31, 2021 Direct F2
transaction HTGC Common Stock Tax liability -$9.17K -531 -0.8% $17.27 66.1K 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.