Last 12 months
Inside the activity.
25 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 14 | 0 |
| Mar 2026 | 10 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 417 | $16.98 | $7,080.66 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,011 F6 · balance_after: Originally reported as 925,199. Read SEC document |
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 939 | $16.98 | $15,944.22 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,428 F3 · shares: Originally reported as 1,127. F5 · balance_after: Originally reported as 925,616. Read SEC document |
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 939 | $16.98 | $15,944.22 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,623 F3 · shares: Originally reported as 1,127. F4 · balance_after: Originally reported as 179,983. Read SEC document |
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 4,144 | $16.98 | $70,365.12 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,562 F1 · shares: Originally reported as 3,017. F2 · balance_after: Originally reported as 181,110. Read SEC document |
| August 02, 2021 Filed Aug 2, 2021 17:45 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005107 · primarydocument.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,201 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 02, 2021 Filed Aug 2, 2021 21:45 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005106 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,819 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 02, 2021 Filed Aug 2, 2021 21:44 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005105 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,114 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 02, 2021 Filed Aug 2, 2021 21:44 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005104 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,923 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 10,884 | $17.27 | $187,966.68 |
DisclosureSEC source: 0001562180-21-005131 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,489 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 24,539 | $17.27 | $423,788.53 |
DisclosureSEC source: 0001562180-21-005131 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 935,373 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 24,539 | $17.27 | $423,788.53 |
DisclosureSEC source: 0001562180-21-005131 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,093 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 531 | $17.27 | $9,170.37 |
DisclosureSEC source: 0001562180-21-005132 · primarydocument.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,063 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 1,390 | $17.27 | $24,005.30 |
DisclosureSEC source: 0001562180-21-005132 · primarydocument.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,594 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 1,390 | $17.27 | $24,005.30 |
DisclosureSEC source: 0001562180-21-005132 · primarydocument.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,613 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2021. Read SEC document |
| July 17, 2021 Filed Jul 19, 2021 20:21 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 2,844 | $17.11 | $48,660.84 |
DisclosureSEC source: 0001562180-21-004975 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 910,834 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 17, 2021. Read SEC document |
| July 13, 2021 Filed Jul 15, 2021 20:11 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 271 | $17.25 | $4,674.75 |
DisclosureSEC source: 0001562180-21-004952 · primarydocument.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,237 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 13, 2021. Read SEC document |
| July 13, 2021 Filed Jul 15, 2021 20:09 UTC |
Meyer Seth HChief Financial Officer
|
Tax withholdingCommon Stock | 2,767 | $17.25 | $47,730.75 |
DisclosureSEC source: 0001562180-21-004951 · primarydocument.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,622 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 13, 2021. Read SEC document |
| July 13, 2021 Filed Jul 15, 2021 20:09 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 10,421 | $17.25 | $179,762.25 |
DisclosureSEC source: 0001562180-21-004950 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 913,678 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 13, 2021. Read SEC document |
| July 13, 2021 Filed Jul 27, 2021 21:37 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 304 | $17.25 | $5,244.00 |
DisclosureSEC source: 0001562180-21-005072 · primarydocument.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,204 F1 · shares: Securities disposed of originally reported as 271 shares. F2 · balance_after: Amount of securities beneficially owned originally reported as 65,237. Read SEC document |
| July 01, 2021 Filed Jul 6, 2021 16:17 UTC |
Loo WadeDirector
|
GrantCommon Stock | 1,091 | $17.17 | $18,732.47 |
DisclosureSEC source: 0001562180-21-004773 · primarydocument.xml · nonDerivative · entry 1 Loo Wade · CIK 0001668279 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,091 F1 · shares: Restricted stock issued as an automatic grant upon election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. 364 shares vest on October 19, 2021, 364 shares vest on February 6, 2022 and 363 shares vest on May 31, 2022.. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 20:03 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 3,472 | $17.28 | $59,996.16 |
DisclosureSEC source: 0001562180-21-004516 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,806 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 20:03 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 3,472 | $17.28 | $59,996.16 |
DisclosureSEC source: 0001562180-21-004514 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,101 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 20:03 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 3,472 | $17.28 | $59,996.16 |
DisclosureSEC source: 0001562180-21-004513 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,910 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| June 14, 2021 Filed Jun 15, 2021 20:11 UTC |
Meyer Seth HChief Financial Officer
|
Tax withholdingCommon Stock | 1,477 | $17.41 | $25,714.57 |
DisclosureSEC source: 0001562180-21-004269 · primarydocument.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,389 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 14, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 17:20 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 226 | $15.98 | $3,611.48 |
DisclosureSEC source: 0001437749-21-013065 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,997 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 561 | $16.95 | $9,508.95 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 5 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,100 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 1,264 | $16.95 | $21,424.80 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,661 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 1,264 | $16.95 | $21,424.80 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,632 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 70 | $16.95 | $1,186.50 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,896 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 4,638 | $16.95 | $78,614.10 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,966 F1 · shares: Represents dividend equivalent shares received on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 36 | $16.95 | $610.20 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 5 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,473 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 72 | $16.95 | $1,220.40 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,509 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 72 | $16.95 | $1,220.40 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,003 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingRestricted Stock Units | 10 | $16.95 | $169.50 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,075 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 508 | $16.95 | $8,610.60 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,085 F1 · shares: Represents dividend equivalent shares received on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:21 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 329 | $15.98 | $5,257.42 |
DisclosureSEC source: 0001437749-21-013067 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,438 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:20 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 92 | $15.98 | $1,470.16 |
DisclosureSEC source: 0001437749-21-013066 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,629 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:19 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 184 | $15.98 | $2,940.32 |
DisclosureSEC source: 0001437749-21-013064 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,334 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 04, 2021 Filed May 5, 2021 16:15 UTC |
Hoffman Joseph FDirector
|
Tax withholdingCommon Stock | 7,744 | $17.58 | $136,139.52 |
DisclosureSEC source: 0001437749-21-010900 · rdgdoc.xml · nonDerivative · entry 2 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,862 Read SEC document |
| May 04, 2021 Filed May 5, 2021 16:15 UTC |
Hoffman Joseph FDirector
|
Exercise / conversionCommon Stock | 10,000 | $13.62 | $136,200.00 |
DisclosureSEC source: 0001437749-21-010900 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,606 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 04, 2021 Filed May 5, 2021 20:16 UTC |
BADAVAS ROBERT PDirector
|
SaleCommon Stock | 10,000 | $17.49 | $174,900.00 |
DisclosureSEC source: 0001437749-21-010903 · rdgdoc.xml · nonDerivative · entry 2 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,452 Read SEC document |
| May 04, 2021 Filed May 5, 2021 20:16 UTC |
BADAVAS ROBERT PDirector
|
SaleCommon Stock | 10,000 | $17.51 | $175,100.00 |
DisclosureSEC source: 0001437749-21-010903 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,452 Read SEC document |
| May 03, 2021 Filed May 3, 2021 20:51 UTC |
CROWELL GAYLE ADirector
|
PurchaseCommon Stock | 377 | $17.50 | $6,597.50 |
DisclosureSEC source: 0001437749-21-010635 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,109 Read SEC document |
| May 03, 2021 Filed May 3, 2021 20:51 UTC |
Fallon Thomas JDirector
|
Tax withholdingCommon Stock | 9,400 | $17.53 | $164,782.00 |
DisclosureSEC source: 0001437749-21-010634 · rdgdoc.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,537 F1 · price: Average sale price. Shares sold at prices between $17.53 and $17.54. Read SEC document |
| May 03, 2021 Filed May 3, 2021 20:51 UTC |
Fallon Thomas JDirector
|
Exercise / conversionCommon Stock | 10,000 | $16.34 | $163,400.00 |
DisclosureSEC source: 0001437749-21-010634 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,937 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:24 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 10,820 | $17.41 | $188,376.20 |
DisclosureSEC source: 0001437749-21-010757 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 923,397 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:24 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 24,396 | $17.41 | $424,734.36 |
DisclosureSEC source: 0001437749-21-010757 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 934,217 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:24 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 24,396 | $17.41 | $424,734.36 |
DisclosureSEC source: 0001437749-21-010757 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,328 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:22 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 470 | $17.41 | $8,182.70 |
DisclosureSEC source: 0001437749-21-010756 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,437 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:22 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 1,383 | $17.41 | $24,078.03 |
DisclosureSEC source: 0001437749-21-010756 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,907 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.