Scott Bluestein - Jan 11, 2023 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 11, 2023
Transactions value $
$4,213,472
Form type
4
Date filed
1/13/2023, 04:17 PM
Previous filing
Nov 22, 2022
Next filing
Jan 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Award $4.5M +333K +35.21% $13.50 1.28M Jan 11, 2023 Direct F1
transaction HTGC Common Stock Tax liability -$287K -21.2K -1.66% $13.50 1.26M Jan 11, 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 with one-third vesting on the one year anniversary of the grant 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.