Scott Bluestein - Jan 31, 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 31, 2022
Transactions value $
-$195,732
Form type
4
Date filed
2/1/2022, 03:14 PM
Previous filing
Jan 18, 2022
Next filing
Apr 14, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Restricted Stock Units Disposed to Issuer -$441K -24.7K -100% $17.88 0 Jan 31, 2022 Direct F1
transaction HTGC Common Stock Award $441K +24.7K +2.25% $17.88 1.12M Jan 31, 2022 Direct F2
transaction HTGC Common Stock Tax liability -$196K -10.9K -0.98% $17.88 1.11M Jan 31, 2022 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2022.
F2 Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2022.
F3 Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 31, 2022.