ROBERT P. BADAVAS - 18 Jun 2024 Form 4/A Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s/ /Eileen Bagarella, Attorney-in-Fact for Robert Badavas
Issuer symbol
HTGC
Transactions as of
18 Jun 2024
Net transactions value
-$50,112
Form type
4/A
Filing time
24 Jun 2024, 17:00:28 UTC
Date Of Original Report
21 Jun 2024
Previous filing
26 Jun 2023
Next filing
09 May 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Options Exercise $27,778 +1,700 +40% $16.34 5,934 18 Jun 2024 Direct
transaction HTGC Common Stock Sale $33,320 -1,700 -29% $19.60 4,234 18 Jun 2024 Direct
transaction HTGC Common Stock Options Exercise $217,322 +13,300 +314% $16.34 17,534 20 Jun 2024 Direct
transaction HTGC Common Stock Sale $261,892 -13,300 -76% $19.69 4,234 20 Jun 2024 Direct F1
holding HTGC Common Stock 107,452 18 Jun 2024 By Trust F2, F3

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 -1,700 -11% $0.000000 13,300 18 Jun 2024 Common Stock 1,700 $16.34 Direct F4
transaction HTGC Stock Option (Right to Buy) Options Exercise $0 -13,300 -100% $0.000000* 0 20 Jun 2024 Common Stock 13,300 $16.34 Direct F4
* 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 This Form 4 is being amended to add the reporting person's indirect holdings.
F3 Held by the Robert P. Badavas Trust of 2007
F4 Vested one-third each year starting July 8, 2015.