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 |
|---|---|---|---|---|---|---|
| January 12, 2021 Filed Jan 14, 2021 21:16 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 9,253 | $14.59 | $135,001.27 |
DisclosureSEC source: 0001437749-21-000723 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,417 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions with one-third vesting on January 12, 2022 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 12, 2021 Filed Jan 14, 2021 21:15 UTC |
Meyer Seth HChief Financial Officer
|
GrantCommon Stock | 74,606 | $14.59 | $1,088,501.54 |
DisclosureSEC source: 0001437749-21-000722 · rdgdoc.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,814 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions with one-third vesting on January 12, 2022 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 12, 2021 Filed Jan 14, 2021 21:14 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 236,463 | $14.59 | $3,449,995.17 |
DisclosureSEC source: 0001437749-21-000721 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 920,047 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions with one-third vesting on January 12, 2022 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:53 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 327 | $14.80 | $4,839.60 |
DisclosureSEC source: 0001437749-21-000580 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,424 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 9, 2021. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:53 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 2,687 | $14.80 | $39,767.60 |
DisclosureSEC source: 0001437749-21-000580 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 683,584 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2021. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:52 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingRestricted Stock Units | 122 | $14.80 | $1,805.60 |
DisclosureSEC source: 0001437749-21-000579 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,434 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 9, 2021. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:52 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 427 | $14.80 | $6,319.60 |
DisclosureSEC source: 0001437749-21-000579 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,164 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2021. Read SEC document |
| December 18, 2020 Filed Dec 18, 2020 22:04 UTC |
BADAVAS ROBERT PDirector
|
GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-025632 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,452 Read SEC document |
| December 14, 2020 Filed Dec 16, 2020 22:17 UTC |
Meyer Seth HChief Financial Officer
|
Tax withholdingCommon Stock | 975 | $13.92 | $13,572.00 |
DisclosureSEC source: 0001437749-20-025487 · rdgdoc.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,208 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 14, 2020. Read SEC document |
| November 18, 2020 Filed Nov 18, 2020 17:08 UTC |
Foster Carol LDirector
|
PurchaseCommon Stock | 3,850 | $12.99 | $50,011.50 |
DisclosureSEC source: 0001437749-20-024170 · rdgdoc.xml · nonDerivative · entry 2 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,551 Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 17:08 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 308 | $11.49 | $3,538.92 |
DisclosureSEC source: 0001437749-20-024170 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,701 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 36 | $12.89 | $464.04 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 5 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,813 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 1,326 | $12.89 | $17,092.14 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,849 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 1,326 | $12.89 | $17,092.14 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,334 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingRestricted Stock Units | 29 | $12.89 | $373.81 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,660 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,439 | $12.89 | $18,548.71 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,689 F1 · shares: Represents dividend equivalent shares received on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 224 | $11.49 | $2,573.76 |
DisclosureSEC source: 0001437749-20-024171 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,969 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F2 · shares: 113 shares are held in The Koenig Family 1994 Trust Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 817 | $12.89 | $10,531.13 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 5 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 686,271 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 1,842 | $12.89 | $23,743.38 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687,088 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 1,842 | $12.89 | $23,743.38 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,751 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 181 | $12.89 | $2,333.09 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,593 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 11,113 | $12.89 | $143,246.57 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,774 F1 · shares: Represents dividend equivalent shares received on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:07 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 111 | $11.49 | $1,275.39 |
DisclosureSEC source: 0001437749-20-024168 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,847 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:07 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 154 | $11.49 | $1,769.46 |
DisclosureSEC source: 0001437749-20-024167 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,608 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 16, 2020 Filed Jan 12, 2021 21:51 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 36 | $12.89 | $464.04 |
DisclosureSEC source: 0001437749-21-000578 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,591 F3 · balance_after: The original Form 4 is being amended by this Form 4 to correct an administrative error that reflected the amount of securities beneficially owned as 36,813. Read SEC document |
| November 16, 2020 Filed Jan 12, 2021 21:51 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 104 | $12.89 | $1,340.56 |
DisclosureSEC source: 0001437749-21-000578 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,627 F2 · shares: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 36,849. shares. F2 · balance_after: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 36,849. shares. Read SEC document |
| November 16, 2020 Filed Jan 12, 2021 21:51 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 104 | $12.89 | $1,340.56 |
DisclosureSEC source: 0001437749-21-000578 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,556 F1 · shares: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 54,334. shares. F1 · balance_after: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 54,334. shares. Read SEC document |
| November 06, 2020 Filed Nov 10, 2020 16:15 UTC |
Hoffman Joseph FDirector
|
GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023375 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,124 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 |
| November 06, 2020 Filed Nov 10, 2020 16:14 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023371 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,569 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 |
| November 06, 2020 Filed Nov 10, 2020 21:17 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023379 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,454 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 |
| November 06, 2020 Filed Nov 10, 2020 21:16 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023376 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,736 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 |
| November 06, 2020 Filed Nov 10, 2020 21:15 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023373 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,745 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. F2 · shares: Held in The Koenig Family 1994 Trust Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:48 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 10,625 | $11.20 | $119,000.00 |
DisclosureSEC source: 0001437749-20-022402 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 685,246 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:48 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 23,956 | $11.20 | $268,307.20 |
DisclosureSEC source: 0001437749-20-022402 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 695,871 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:48 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 23,956 | $11.20 | $268,307.20 |
DisclosureSEC source: 0001437749-20-022402 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,661 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:47 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 462 | $11.20 | $5,174.40 |
DisclosureSEC source: 0001437749-20-022401 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,523 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:47 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 1,358 | $11.20 | $15,209.60 |
DisclosureSEC source: 0001437749-20-022401 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,985 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:47 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 1,358 | $11.20 | $15,209.60 |
DisclosureSEC source: 0001437749-20-022401 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,250 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2020. Read SEC document |
| October 17, 2020 Filed Oct 20, 2020 20:06 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 2,844 | $11.63 | $33,075.72 |
DisclosureSEC source: 0001437749-20-021332 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671,915 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 17, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:09 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 243 | $12.04 | $2,925.72 |
DisclosureSEC source: 0001437749-20-021135 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,617 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 9, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:09 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 3,402 | $12.04 | $40,960.08 |
DisclosureSEC source: 0001437749-20-021135 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,759 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingRestricted Stock Units | 34 | $12.04 | $409.36 |
DisclosureSEC source: 0001437749-20-021134 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,608 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 9, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 364 | $12.04 | $4,382.56 |
DisclosureSEC source: 0001437749-20-021134 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,627 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2020. Read SEC document |
| September 14, 2020 Filed Sep 16, 2020 20:11 UTC |
Meyer Seth HChief Financial Officer
|
Tax withholdingCommon Stock | 975 | $11.68 | $11,388.00 |
DisclosureSEC source: 0001437749-20-019768 · rdgdoc.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,183 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 14, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 17:06 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 320 | $11.93 | $3,817.60 |
DisclosureSEC source: 0001437749-20-018361 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,393 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 17:07 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 41 | $11.93 | $489.13 |
DisclosureSEC source: 0001437749-20-018364 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,190 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 171 | $11.48 | $1,963.08 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 5 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,276 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 385 | $11.48 | $4,419.80 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,447 F4 · shares: Represents Hercules, Inc. common stock received from released vested dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 385 | $11.48 | $4,419.80 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,330 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 180 | $11.48 | $2,066.40 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,715 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on August 17, 2020. 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.