Scott Bluestein - Nov 17, 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
Nov 17, 2021
Transactions value $
$59,595
Form type
4
Date filed
11/19/2021, 03:55 PM
Previous filing
Nov 16, 2021
Next filing
Jan 11, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Restricted Stock Units Award $63.6K +3.76K +2.36% $16.94 163K Nov 17, 2021 Direct F1
transaction HTGC Restricted Stock Units Disposed to Issuer -$9.05K -534 -0.33% $16.94 162K Nov 17, 2021 Direct F2
transaction HTGC Common Stock Award $9.05K +534 +0.06% $16.94 846K Nov 17, 2021 Direct F3
transaction HTGC Common Stock Tax liability -$4.01K -237 -0.03% $16.94 846K Nov 17, 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 November 17, 2021.
F2 Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 17, 2021.
F3 Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 17, 2021.
F4 Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 17, 2021.