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

Role
Chief Executive Officer
Signature
/s/ Eileen Bagarella, Attorney-in-fact for Scott Bluestein
Issuer symbol
HTGC
Transactions as of
31 Oct 2021
Net transactions value
-$193,027
Form type
4
Filing time
02 Nov 2021, 17:36:54 UTC
Previous filing
18 Oct 2021
Next filing
16 Nov 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 Disposed to Issuer $435,212 -24,630 -14% $17.67 155,353 31 Oct 2021 Direct F1
transaction HTGC Common Stock Award $435,212 +24,630 +2.7% $17.67 936,377 31 Oct 2021 Direct F2
transaction HTGC Common Stock Tax liability $193,027 -10,924 -1.2% $17.67 925,453 31 Oct 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.