Christian Follmann - 11 Jan 2023 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Chief Operating Officer
Signature
/s /Eileen Bagarella, Attorney-in-Fact for Christian Follmann
Issuer symbol
HTGC
Transactions as of
11 Jan 2023
Net transactions value
+$348,786
Form type
4
Filing time
13 Jan 2023, 16:17:18 UTC
Previous filing
21 Nov 2022
Next filing
17 Jan 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 Award $375,003 +27,778 +58% $13.50 75,454 11 Jan 2023 Direct F1
transaction HTGC Common Stock Tax liability $26,217 -1,942 -2.6% $13.50 73,512 11 Jan 2023 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on the one year anniversary of the grant date followed by quarterly vesting over the following 24 months.
F2 Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2023.