Thomas J. Fallon - 09 Mar 2023 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
09 Mar 2023
Net transactions value
+$130,365
Form type
4
Filing time
13 Mar 2023, 16:14:40 UTC
Previous filing
21 Nov 2022
Next filing
25 May 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 -220 -3.5% $0.000000 6,075 09 Mar 2023 Direct F1
transaction HTGC Common Stock Award $2,865 +187 +3.1% $15.32 6,262 09 Mar 2023 Direct F2
transaction HTGC Common Stock Award $0 +220 +0.33% $0.000000 67,751 09 Mar 2023 By Trust F1, F3
transaction HTGC Common Stock Award $127,500 +10,000 +15% $12.75 77,750 10 Mar 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.