Robert Badavas - Jun 18, 2024 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s/ /Eileen Bagarella, Attorney-in-Fact for Robert Badavas
Stock symbol
HTGC
Transactions as of
Jun 18, 2024
Transactions value $
-$50,112
Form type
4
Date filed
6/21/2024, 05:32 PM
Previous filing
Jun 26, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Options Exercise $27.8K +1.7K +40.15% $16.34 5.93K Jun 18, 2024 Direct
transaction HTGC Common Stock Sale -$33.3K -1.7K -28.65% $19.60 4.23K Jun 18, 2024 Direct
transaction HTGC Common Stock Options Exercise $217K +13.3K +314.12% $16.34 17.5K Jun 20, 2024 Direct
transaction HTGC Common Stock Sale -$262K -13.3K -75.85% $19.69 4.23K Jun 20, 2024 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HTGC Stock Option (Right to Buy) Options Exercise $0 -1.7K -11.33% $0.00 13.3K Jun 18, 2024 Common Stock 1.7K $16.34 Direct F2
transaction HTGC Stock Option (Right to Buy) Options Exercise $0 -13.3K -100% $0.00* 0 Jun 20, 2024 Common Stock 13.3K $16.34 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades at prices ranging from $19.61 USD to $19.815 USD; the price reported above reflects the weighted average sale price.
F2 Vested one-third each year starting July 8, 2015.