/Melanie Grace - 18 Aug 2021 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
General Counsel & CCO
Signature
/s/ /Melanie Grace
Issuer symbol
HTGC
Transactions as of
18 Aug 2021
Net transactions value
+$7,879
Form type
4
Filing time
20 Aug 2021, 16:45:51 UTC
Previous filing
03 Aug 2021
Next filing
27 Sep 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 $8,235 +485 +2.4% $16.98 21,098 18 Aug 2021 Direct F1
transaction HTGC Restricted Stock Units Disposed to Issuer $1,087 -64 -0.3% $16.98 21,034 18 Aug 2021 Direct F2
transaction HTGC Common Stock Award $1,087 +64 +0.1% $16.98 66,127 18 Aug 2021 Direct F3
transaction HTGC Common Stock Tax liability $357 -21 -0.03% $16.98 66,106 18 Aug 2021 Direct F4
* 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 August 18, 2021.
F2 Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on August 18, 2021.
F3 Represents Hercules, Inc. common stock received from vested dividend equivalent shares on August 18, 2021.
F4 Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on August 18, 2021.