Robert Badavas - Jun 18, 2024 Form 4/A 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/A
Date filed
6/24/2024, 05:00 PM
Date Of Original Report
Jun 21, 2024
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
holding HTGC Common Stock 107K Jun 18, 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 -1.7K -11.33% $0.00 13.3K Jun 18, 2024 Common Stock 1.7K $16.34 Direct F4
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 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.