Loo Wade - Mar 9, 2023 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s /Eileen Bagarella, Attorney-in-Fact for Wade Loo
Stock symbol
HTGC
Transactions as of
Mar 9, 2023
Transactions value $
$3,982
Form type
4
Date filed
3/13/2023, 04:14 PM
Previous filing
Nov 21, 2022
Next filing
Mar 21, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Disposed to Issuer $0 -164 -3.51% $0.00 4.51K Mar 9, 2023 Direct F1
transaction HTGC Common Stock Award $2.13K +139 +3.08% $15.32 4.65K Mar 9, 2023 Direct F2
transaction HTGC Common Stock Award $0 +164 +4.34% $0.00 3.94K Mar 9, 2023 By Trust F1, F3
transaction HTGC Common Stock Award $1.85K +121 +3.07% $15.31 4.06K Mar 9, 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 Loo Revocable Trust
F4 Shares acquired as dividend reinvestment shares.
F5 Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share.