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 17, 2020 Filed Aug 19, 2020 21:09 UTC |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 8,008 | $11.48 | $91,931.84 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,895 F1 · shares: Represents vested dividend equivalent shares received on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 43 | $11.48 | $493.64 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 5 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,991 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of released dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 112 | $11.48 | $1,285.76 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,034 F4 · shares: Represents Hercules Capital, Inc. common stock received from released vested dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 112 | $11.48 | $1,285.76 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,453 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 21:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingRestricted Stock Units | 25 | $11.48 | $287.00 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,565 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 |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,329 | $11.48 | $15,256.92 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,590 F1 · shares: Represents vested dividend equivalent shares issued on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:07 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 202 | $11.93 | $2,409.86 |
DisclosureSEC source: 0001437749-20-018363 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,363 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:05 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 178 | $11.93 | $2,123.54 |
DisclosureSEC source: 0001437749-20-018359 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,074 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 17, 2020 Filed Aug 25, 2020 20:21 UTC Amendment |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 876 | $11.48 | $10,056.48 |
DisclosureSEC source: 0001437749-20-018670 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 678,161 F3 · shares: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares as 171 shares and the amount of securities beneficially owned following the reported transaction as 677,276. F3 · balance_after: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares as 171 shares and the amount of securities beneficially owned following the reported transaction as 677,276. Read SEC document |
| August 17, 2020 Filed Aug 25, 2020 20:21 UTC Amendment |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 1,975 | $11.48 | $22,673.00 |
DisclosureSEC source: 0001437749-20-018670 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 679,037 F2 · shares: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock received from released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 677,447. F2 · balance_after: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock received from released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 677,447. Read SEC document |
| August 17, 2020 Filed Aug 25, 2020 20:21 UTC Amendment |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 1,975 | $11.48 | $22,673.00 |
DisclosureSEC source: 0001437749-20-018670 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,740 F1 · shares: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 441,330. F1 · balance_after: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 441,330. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:57 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 553 | $11.04 | $6,105.12 |
DisclosureSEC source: 0001437749-20-016512 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,922 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, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:57 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 1,446 | $11.04 | $15,963.84 |
DisclosureSEC source: 0001437749-20-016512 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,475 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:57 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 1,446 | $11.04 | $15,963.84 |
DisclosureSEC source: 0001437749-20-016512 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,261 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:55 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 11,340 | $11.04 | $125,193.60 |
DisclosureSEC source: 0001437749-20-016509 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,062 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, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:55 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 25,568 | $11.04 | $282,270.72 |
DisclosureSEC source: 0001437749-20-016509 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 688,402 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:55 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 25,568 | $11.04 | $282,270.72 |
DisclosureSEC source: 0001437749-20-016509 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433,887 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2020. Read SEC document |
| July 17, 2020 Filed Jul 20, 2020 20:18 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 11,372 | $10.73 | $122,021.56 |
DisclosureSEC source: 0001437749-20-015414 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 662,834 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 17, 2020. Read SEC document |
| July 17, 2020 Filed Aug 19, 2020 21:06 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 100 | $11.93 | $1,193.00 |
DisclosureSEC source: 0001437749-20-018360 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,354 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 20:12 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 44 | $10.02 | $440.88 |
DisclosureSEC source: 0001437749-20-015067 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,455 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 9, 2020. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 20:12 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 3,402 | $10.02 | $34,088.04 |
DisclosureSEC source: 0001437749-20-015067 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,206 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2020. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 20:11 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 410 | $10.02 | $4,108.20 |
DisclosureSEC source: 0001437749-20-015065 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,029 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2020. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 17:02 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 5,499 | $10.91 | $59,994.09 |
DisclosureSEC source: 0001437749-20-013246 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,073 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 12, 2020 Filed Jun 16, 2020 21:01 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 5,499 | $10.91 | $59,994.09 |
DisclosureSEC source: 0001437749-20-013244 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,452 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 |
| May 21, 2020 Filed May 26, 2020 16:13 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 193 | $10.33 | $1,993.69 |
DisclosureSEC source: 0001437749-20-011736 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,574 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 115 | $11.14 | $1,281.10 |
DisclosureSEC source: 0001437749-20-011738 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,499 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on May 21, 2020. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 12,864 | $11.14 | $143,304.96 |
DisclosureSEC source: 0001437749-20-011738 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,614 F1 · shares: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 20 | $11.14 | $222.80 |
DisclosureSEC source: 0001437749-20-011737 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,707 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on May 21, 2020. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,561 | $11.14 | $17,389.54 |
DisclosureSEC source: 0001437749-20-011737 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,727 F1 · shares: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:12 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 253 | $10.33 | $2,613.49 |
DisclosureSEC source: 0001437749-20-011735 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,647 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:11 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 234 | $10.33 | $2,417.22 |
DisclosureSEC source: 0001437749-20-011734 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,161 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:11 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 116 | $10.33 | $1,198.28 |
DisclosureSEC source: 0001437749-20-011733 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,254 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:10 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 205 | $10.33 | $2,117.65 |
DisclosureSEC source: 0001437749-20-011732 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,896 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 504 | $10.26 | $5,171.04 |
DisclosureSEC source: 0001437749-20-009263 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,439 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, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 1,317 | $10.26 | $13,512.42 |
DisclosureSEC source: 0001437749-20-009263 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,943 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 1,317 | $10.26 | $13,512.42 |
DisclosureSEC source: 0001437749-20-009263 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,166 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 30, 2020. F4 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 10,305 | $10.26 | $105,729.30 |
DisclosureSEC source: 0001437749-20-009264 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,608 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, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 23,234 | $10.26 | $238,380.84 |
DisclosureSEC source: 0001437749-20-009264 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687,913 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 23,234 | $10.26 | $238,380.84 |
DisclosureSEC source: 0001437749-20-009264 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 446,750 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 30, 2020. F4 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:15 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 257 | $9.09 | $2,336.13 |
DisclosureSEC source: 0001437749-20-007597 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 471,918 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 9, 2020. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:15 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 3,402 | $9.09 | $30,924.18 |
DisclosureSEC source: 0001437749-20-007597 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 663,603 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2020. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:14 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingRestricted Stock Units | 37 | $9.09 | $336.33 |
DisclosureSEC source: 0001437749-20-007596 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,592 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 9, 2020. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:14 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 409 | $9.09 | $3,717.81 |
DisclosureSEC source: 0001437749-20-007596 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,559 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2020. Read SEC document |
| March 14, 2020 Filed Mar 17, 2020 21:04 UTC |
Meyer Seth HChief Financial Officer
|
Tax withholdingCommon Stock | 4,652 | $10.57 | $49,171.64 |
DisclosureSEC source: 0001437749-20-005482 · rdgdoc.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,321 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 14, 2020. Read SEC document |
| March 14, 2020 Filed Jun 16, 2020 21:03 UTC |
Meyer Seth HChief Financial Officer
|
Tax withholdingCommon Stock | 1,163 | $10.91 | $12,688.33 |
DisclosureSEC source: 0001437749-20-013247 · rdgdoc.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,158 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 14, 2020. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 16:07 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 172 | $14.08 | $2,421.76 |
DisclosureSEC source: 0001437749-20-004801 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,381 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:11 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,536 | $14.08 | $21,626.88 |
DisclosureSEC source: 0001437749-20-004806 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,462 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:09 UTC |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 13,021 | $14.08 | $183,335.68 |
DisclosureSEC source: 0001437749-20-004805 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 470,699 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:09 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 231 | $14.08 | $3,252.48 |
DisclosureSEC source: 0001437749-20-004803 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,394 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:08 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 214 | $14.08 | $3,013.12 |
DisclosureSEC source: 0001437749-20-004802 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,927 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. 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.