Thomas J. Fallon - 17 Nov 2022 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s/ Eileen Bagarella, Attorney-in-Fact for Thomas J. Fallon
Issuer symbol
HTGC
Transactions as of
17 Nov 2022
Net transactions value
+$3,093
Form type
4
Filing time
21 Nov 2022, 15:08:11 UTC
Previous filing
18 Aug 2022
Next filing
13 Mar 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Disposed to Issuer $0 -202 -3.2% $0.000000 6,074 17 Nov 2022 Direct F1
transaction HTGC Common Stock Award $3,093 +220 +3.6% $14.06 6,295 17 Nov 2022 Direct F2, F3
transaction HTGC Common Stock Award $0 +202 +0.3% $0.000000 67,531 17 Nov 2022 By Trust F1, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares previously reported as directly owned are now being reported as indirectly owned.
F2 Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan.
F3 Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was understated by 1 share.
F4 Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share.
F5 Held by the Fallon Family Revocable Trust