Fallon Thomas J - Mar 9, 2023 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s/ Eileen Bagarella, Attorney-in-Fact for Thomas J. Fallon
Stock symbol
HTGC
Transactions as of
Mar 9, 2023
Transactions value $
$130,365
Form type
4
Date filed
3/13/2023, 04:14 PM
Previous filing
Nov 21, 2022
Next filing
May 25, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Disposed to Issuer $0 -220 -3.49% $0.00 6.08K Mar 9, 2023 Direct F1
transaction HTGC Common Stock Award $2.86K +187 +3.08% $15.32 6.26K Mar 9, 2023 Direct F2
transaction HTGC Common Stock Award $0 +220 +0.33% $0.00 67.8K Mar 9, 2023 By Trust F1, F3
transaction HTGC Common Stock Award $128K +10K +14.76% $12.75 77.8K Mar 10, 2023 By Trust F3, 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 Held by the Fallon Family Revocable Trust
F4 Average sale price. Shares sold at prices between $12.74 and $12.76.
F5 Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share.