Wade Loo - 17 Mar 2023 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s/Eileen Bagarella, Attorney-in Fact for Wade Loo
Issuer symbol
HTGC
Transactions as of
17 Mar 2023
Net transactions value
+$47,800
Form type
4
Filing time
21 Mar 2023, 16:57:22 UTC
Previous filing
13 Mar 2023
Next filing
25 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Purchase $47,800 +4,000 +99% $11.95 8,059 17 Mar 2023 By Trust F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Held by Loo Revocable Trust