Scott Bluestein - May 2, 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
May 2, 2023
Transactions value $
-$9,785,830
Form type
4
Date filed
5/3/2023, 05:27 PM
Previous filing
Apr 14, 2023
Next filing
Jul 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Performance Stock Units Disposed to Issuer -$21.8M -1.67M -100% $13.05 0 May 2, 2023 Direct F1
transaction HTGC Common Stock Award $21.8M +1.67M +136.42% $13.05 2.89M May 2, 2023 Direct F2
transaction HTGC Common Stock Tax liability -$9.79M -750K -25.92% $13.05 2.14M May 2, 2023 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents released performance unit award and dividend equivalent units converted to Issuers common stock on May 2, 2023.
F2 Represents Issuer's common stock received from released performance unit award and dividend equivalent units on May 2, 2023
F3 Represents Issuer's common stock withheld to pay taxes applicable to the release of performance stock unit award and dividend equivalent units on May 2, 2023