Scott Bluestein - Jan 9, 2022 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
Jan 9, 2022
Transactions value $
-$852,811
Form type
4
Date filed
1/11/2022, 05:35 PM
Previous filing
Nov 19, 2021
Next filing
Jan 12, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Restricted Stock Units Disposed to Issuer -$2.34M -138K -84.78% $17.03 24.7K Jan 9, 2022 Direct F1
transaction HTGC Common Stock Award $2.34M +138K +16.26% $17.03 983K Jan 9, 2022 Direct F2
transaction HTGC Common Stock Tax liability -$853K -50.1K -5.09% $17.03 933K Jan 9, 2022 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 9, 2022.
F2 Represents Hercules, Inc. common stock received from released restricted stock units and dividend equivalent shares on January 9, 2022.
F3 Represents Hercules, Inc. common stock withheld to pay taxes applicable to the release of restricted stock units and dividend equivalent shares on January 9, 2022.