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 |
|---|---|---|---|---|---|---|
| March 09, 2020 Filed Mar 11, 2020 20:07 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 106 | $14.08 | $1,492.48 |
DisclosureSEC source: 0001437749-20-004800 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,138 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:06 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 188 | $14.08 | $2,647.04 |
DisclosureSEC source: 0001437749-20-004799 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,691 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 09, 2020 Filed Apr 2, 2020 20:35 UTC Amendment |
Bluestein ScottChief Executive Officer
|
Tax withholdingRestricted Stock Units | 124 | $12.54 | $1,554.96 |
DisclosureSEC source: 0001437749-20-006923 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,175 F4 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Apr 2, 2020 20:35 UTC Amendment |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 14,621 | $12.54 | $183,347.34 |
DisclosureSEC source: 0001437749-20-006923 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,299 F1 · shares: Amount of securities originally reported as 13,021. F2 · price: Price originally reported as $14.08. F3 · balance_after: Amount of securities beneficially owned originally reported as 470,699. Read SEC document |
| March 09, 2020 Filed Apr 2, 2020 20:34 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingRestricted Stock Units | 22 | $12.54 | $275.88 |
DisclosureSEC source: 0001437749-20-006922 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,629 F4 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020 Read SEC document |
| March 09, 2020 Filed Apr 2, 2020 20:34 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,725 | $12.54 | $21,631.50 |
DisclosureSEC source: 0001437749-20-006922 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,651 F1 · shares: Amount of securities originally reported as 1,536. F2 · price: Price originally reported as $14.08. F3 · balance_after: Amount of securities beneficially owned originally reported as 55,462. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:04 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 42 | $12.54 | $526.68 |
DisclosureSEC source: 0001437749-20-013251 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,035 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:04 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 109 | $12.54 | $1,366.86 |
DisclosureSEC source: 0001437749-20-013251 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,077 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:04 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 109 | $12.54 | $1,366.86 |
DisclosureSEC source: 0001437749-20-013251 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,738 F1 · shares: The original Form 4 is being amended by this Form 4 to reflect the vesting of additional dividend equivalent shares on March 9, 2020. F2 · shares: Represents vested dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:03 UTC Amendment |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 858 | $12.54 | $10,759.32 |
DisclosureSEC source: 0001437749-20-013248 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,081 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:03 UTC Amendment |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 1,934 | $12.54 | $24,252.36 |
DisclosureSEC source: 0001437749-20-013248 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,939 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:03 UTC Amendment |
Bluestein ScottChief Executive Officer
|
GrantRestricted Stock Units | 1,934 | $12.54 | $24,252.36 |
DisclosureSEC source: 0001437749-20-013248 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 474,109 F1 · shares: The original Form 4 is being amended by this Form 4 to reflect the vesting of additional dividend equivalent shares on March 9, 2020. F2 · shares: Represents dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 9, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:23 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 1,970 | $14.41 | $28,387.70 |
DisclosureSEC source: 0001437749-20-001699 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,968 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 31, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:23 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 5,154 | $14.41 | $74,269.14 |
DisclosureSEC source: 0001437749-20-001699 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,938 F3 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:23 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 5,154 | $14.41 | $74,269.14 |
DisclosureSEC source: 0001437749-20-001699 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,926 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2020. F2 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:24 UTC |
Bluestein ScottChief Executive Officer
|
Tax withholdingCommon Stock | 40,359 | $14.41 | $581,573.19 |
DisclosureSEC source: 0001437749-20-001700 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,005 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 31, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:24 UTC |
Bluestein ScottChief Executive Officer
|
GrantCommon Stock | 91,001 | $14.41 | $1,311,324.41 |
DisclosureSEC source: 0001437749-20-001700 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 707,364 F3 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:24 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 91,001 | $14.41 | $1,311,324.41 |
DisclosureSEC source: 0001437749-20-001700 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 457,678 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2020. F2 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| January 24, 2020 Filed Jan 28, 2020 21:08 UTC |
Bluestein ScottChief Executive Officer
|
Disposition to issuerRestricted Stock Units | 505 | $14.38 | $7,261.90 |
DisclosureSEC source: 0001437749-20-001292 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 548,679 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 24, 2020. Read SEC document |
| January 24, 2020 Filed Jan 28, 2020 21:09 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 75 | $14.38 | $1,078.50 |
DisclosureSEC source: 0001437749-20-001293 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,080 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 24, 2020. Read SEC document |
| January 13, 2020 Filed Jan 13, 2020 22:12 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 9,541 | $14.15 | $135,005.15 |
DisclosureSEC source: 0001437749-20-000553 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,784 F2 · 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 13, 2021 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 13, 2020 Filed Jan 13, 2020 22:13 UTC |
Meyer Seth HChief Financial Officer
|
GrantCommon Stock | 75,618 | $14.15 | $1,069,994.70 |
DisclosureSEC source: 0001437749-20-000555 · rdgdoc.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,973 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 13, 2021 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 13, 2020 Filed Jan 13, 2020 22:12 UTC |
Bluestein ScottChief Executive Officer & Pres
|
GrantCommon Stock | 281,943 | $14.15 | $3,989,493.45 |
DisclosureSEC source: 0001437749-20-000554 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 616,363 F2 · 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 13, 2021 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:12 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerCommon Stock | 469 | $14.01 | $6,570.69 |
DisclosureSEC source: 0001437749-20-000553 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,243 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2020. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerRestricted Stock Units | 114 | $14.01 | $1,597.14 |
DisclosureSEC source: 0001437749-20-000550 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,155 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 9, 2020. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 22:12 UTC |
Bluestein ScottChief Executive Officer & Pres
|
Disposition to issuerCommon Stock | 2,690 | $14.01 | $37,686.90 |
DisclosureSEC source: 0001437749-20-000554 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 334,420 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2020. Read SEC document |
| January 01, 2020 Filed Jan 13, 2020 22:11 UTC |
Bluestein ScottChief Executive Officer & Pres
|
Disposition to issuerRestricted Stock Units | 211 | $14.01 | $2,956.11 |
DisclosureSEC source: 0001437749-20-000551 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,184 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 9, 2020. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 21:06 UTC |
BADAVAS ROBERT PDirector
|
GiftCommon Stock | 17,500 | $14.20 | $248,500.00 |
DisclosureSEC source: 0001437749-19-024074 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,953 Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 22:53 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,453 | $13.91 | $20,211.23 |
DisclosureSEC source: 0001437749-19-023235 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,269 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 |
| November 18, 2019 Filed Nov 19, 2019 22:52 UTC |
Bluestein ScottChief Executive Officer & Pres
|
GrantRestricted Stock Units | 13,483 | $13.91 | $187,548.53 |
DisclosureSEC source: 0001437749-19-023234 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,395 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 |
| November 18, 2019 Filed Nov 20, 2019 16:08 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 152 | $13.91 | $2,114.32 |
DisclosureSEC source: 0001437749-19-023287 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,209 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:06 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 201 | $13.91 | $2,795.91 |
DisclosureSEC source: 0001437749-19-023285 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,163 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:09 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 94 | $13.91 | $1,307.54 |
DisclosureSEC source: 0001437749-19-023288 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,032 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:10 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 203 | $13.91 | $2,823.73 |
DisclosureSEC source: 0001437749-19-023289 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,503 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:07 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 199 | $13.91 | $2,768.09 |
DisclosureSEC source: 0001437749-19-023286 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,713 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 21:37 UTC |
BADAVAS ROBERT PDirector
|
GiftCommon Stock | 15,250 | $14.11 | $215,177.50 |
DisclosureSEC source: 0001437749-19-023129 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,453 Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 20:10 UTC |
Bluestein ScottChief Executive Officer & Pres
|
Disposition to issuerCommon Stock | 3,435 | $13.14 | $45,135.90 |
DisclosureSEC source: 0001437749-19-019972 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,110 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2019. Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 20:09 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerCommon Stock | 409 | $13.14 | $5,374.26 |
DisclosureSEC source: 0001437749-19-019971 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,712 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2019. Read SEC document |
| October 07, 2019 Filed Nov 20, 2019 16:05 UTC |
Foster Carol LDirector
|
SaleCommon Stock | 1,328 | $13.27 | $17,624.95 |
DisclosureSEC source: 0001437749-19-023283 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,057 Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 16:20 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 3,759 | $13.30 | $49,994.70 |
DisclosureSEC source: 0001437749-19-019261 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,385 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 |
| September 26, 2019 Filed Sep 30, 2019 16:22 UTC |
Hoffman Joseph FDirector
|
GrantCommon Stock | 3,759 | $13.30 | $49,994.70 |
DisclosureSEC source: 0001437749-19-019262 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,745 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. Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 20:24 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 3,759 | $13.30 | $49,994.70 |
DisclosureSEC source: 0001437749-19-019264 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,962 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 |
| September 26, 2019 Filed Sep 30, 2019 20:19 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 3,759 | $13.30 | $49,994.70 |
DisclosureSEC source: 0001437749-19-019260 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,938 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 |
| September 26, 2019 Filed Sep 30, 2019 20:18 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 3,759 | $13.30 | $49,994.70 |
DisclosureSEC source: 0001437749-19-019258 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,300 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 19, 2019 Filed Aug 20, 2019 16:20 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 94 | $12.74 | $1,197.56 |
DisclosureSEC source: 0001437749-19-017191 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,626 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:16 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 108 | $12.74 | $1,375.92 |
DisclosureSEC source: 0001437749-19-017187 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,755 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 16:19 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 109 | $12.74 | $1,388.66 |
DisclosureSEC source: 0001437749-19-017190 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,043 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:18 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 118 | $12.74 | $1,503.32 |
DisclosureSEC source: 0001437749-19-017189 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,541 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:17 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 109 | $12.74 | $1,388.66 |
DisclosureSEC source: 0001437749-19-017188 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,203 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:15 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 4,149 | $12.74 | $52,858.26 |
DisclosureSEC source: 0001437749-19-017186 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,703 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.