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

Role
Chief Executive Officer
Signature
/s/ Eileen Bagarella, Attorney-in-fact for Scott Bluestein
Stock symbol
HTGC
Transactions as of
Oct 31, 2021
Transactions value $
-$193,027
Form type
4
Date filed
11/2/2021, 05:36 PM
Previous filing
Oct 18, 2021
Next filing
Nov 16, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Restricted Stock Units Disposed to Issuer -$435K -24.6K -13.68% $17.67 155K Oct 31, 2021 Direct F1
transaction HTGC Common Stock Award $435K +24.6K +2.7% $17.67 936K Oct 31, 2021 Direct F2
transaction HTGC Common Stock Tax liability -$193K -10.9K -1.17% $17.67 925K Oct 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 and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2021.
F2 Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 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 October 31, 2021.